0001504304-15-000106.txt : 20150724
0001504304-15-000106.hdr.sgml : 20150724
20150724133055
ACCESSION NUMBER: 0001504304-15-000106
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150724
DATE AS OF CHANGE: 20150724
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS GROUP OF FUNDS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: BDCA VENTURE, INC.
CENTRAL INDEX KEY: 0001444706
IRS NUMBER: 262582882
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-84489
FILM NUMBER: 151004160
BUSINESS ADDRESS:
STREET 1: 5251 DTC PARKWAY, SUITE 1100
CITY: Greenwood Village
STATE: CO
ZIP: 80111
BUSINESS PHONE: 720-889-0139
MAIL ADDRESS:
STREET 1: 5251 DTC PARKWAY, SUITE 1100
CITY: Greenwood Village
STATE: CO
ZIP: 80111
FORMER COMPANY:
FORMER CONFORMED NAME: KEATING CAPITAL INC
DATE OF NAME CHANGE: 20080908
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
7/24/15
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
622,348
8. SHARED VOTING POWER
518,569
9. SOLE DISPOSITIVE POWER
622,348
_______________________________________________________
10. SHARED DISPOSITIVE POWER
518,569
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,140,917 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
11.65%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Bulldog Investors Group of Funds
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
622,348
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
622,348
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
622,348 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.35%
14. TYPE OF REPORTING PERSON
IC
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
622,348
8. SHARED VOTING POWER
518,569
9. SOLE DISPOSITIVE POWER
622,348
_______________________________________________________
10. SHARED DISPOSITIVE POWER
518,569
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,140,917 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
11.65%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
622,348
8. SHARED VOTING POWER
518,569
9. SOLE DISPOSITIVE POWER
622,348
_______________________________________________________
10. SHARED DISPOSITIVE POWER
518,569
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,140,917 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
11.65%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
622,348
8. SHARED VOTING POWER
518,569
9. SOLE DISPOSITIVE POWER
622,348
_______________________________________________________
10. SHARED DISPOSITIVE POWER
518,569
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,140,917 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
11.65%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #4 to the schedule 13d
filed March 23, 2015. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
Please see attached letter to the Secretary of the SEC.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the 10-Q filed on May 15, 2015, there were 9,793,994 shares of
common stock outstanding as of May 13, 2015. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of July 23, 2015, Bulldog Investors, LLC is deemed to be the beneficial
owner of 1,140,917 shares of BDCV (representing 11.65% of BDCV's outstanding
shares) solely by virtue of Bulldog Investors LLC's power to direct the vote
of,and dispose of, these shares. These 1,140,917 shares of BDCV include 622,348
shares (representing 6.35% of BDCV's outstanding shares) that are beneficially
owned by the following entities over which Messrs. Goldstein, Dakos and
Samuels exercise control: Opportunity Partners LP, Calapasas West Partners LP,
Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd.,
Full Value Partners, LP, Opportunity Income Plus, LP, and MCM Opportunity
Partners, LP (collectively, "Bulldog Investors Group of Funds"). Bulldog
Investors Group of Funds may be deemed to constitute a group. All other shares
included in the aforementioned 1,140,917 shares of BDCV beneficially owned by
Bulldog Investors LLC (solely by virtue of its power to sell or direct the vote
of these shares) are also beneficially owned by clients of Bulldog Investors,LLC
who are not members of any group. The total number of these "non-group" shares
is 518,569 shares (representing 5.30% of BDCV's outstanding shares).
(b)Bulldog Investors,LLC has sole power to dispose of and vote 622,348 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 518,569 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of BDCV's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) Since the last filing on June 11, 2015 the following shares of BDCV were
purchased:
Date: Shares: Price:
06/17/15 4,600 4.8000
06/18/15 5,294 4.7500
06/19/15 21,176 4.7469
06/29/15 862 4.5000
07/07/15 178 4.6944
07/08/15 400 4.6200
07/09/15 10,000 4.7820
07/10/15 1,000 4.6000
d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or
sales proceeds.
e) N/A
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
N/A
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit A
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 7/24/15
By: /S/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.
Exhibit A:
Bulldog Investors, LLC, 250 Pehle Avenue, Suite 708, Saddle Brook, NJ 07663
(201) 201-881-7109 // Fax: (201) 556-0097 // sdarling@bulldoginvestors.com
July 24, 2015
VIA FIRST CLASS MAIL
Brent J. Fields
Secretary
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-1090
Release No. IC-31598; File No. 812-14368; Business Development Corporation
of America, et al.
Request For Hearing Prior to Issuance of an Order Under Sections 17(d) and
57(i) of the Investment Company Act of 1940 (the "Act") and Rule 17d-1 Under
the Act to Permit Certain Joint Transactions Otherwise Prohibited by
Sections 17(d) and 57(a)(4) of the Act and Rule 17d-1 Under the Act
Dear Mr. Fields:
By letter to you dated June 8, 2015, Bulldog Investors, LLC ("Bulldog")
requested that the Commission hold a hearing prior to issuing the above-
referenced order.
In light of recent events regarding BDCA Venture, Inc. ("BDCA Venture"),
including our understanding that steps are being taken to request that BDCA
Venture be removed from the exemptive application seeking the above-referenced
order, we hereby withdraw our request.
Any comments or questions regarding this request may be addressed to the
undersigned at (410) 658-7491, email: sdarling@bulldoginvestors.com.
Very truly yours,
/S/ Stephanie Darling
Stephanie Darling
General Counsel
cc: James A. Tanaka, General Counsel, RCS Capital, 405 Park Avenue,
14th Floor, New York, NY, 10022
Robert Errett, Office of the Secretary of the U.S. Securities and
Exchange Commission (via email: errettr@sec.gov)