0001504304-13-000013.txt : 20130930
0001504304-13-000013.hdr.sgml : 20130930
20130930155728
ACCESSION NUMBER: 0001504304-13-000013
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130930
DATE AS OF CHANGE: 20130930
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: JAVELIN MORTGAGE INVESTMENT CORP.
CENTRAL INDEX KEY: 0001552890
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 455517523
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-87204
FILM NUMBER: 131123285
BUSINESS ADDRESS:
STREET 1: 3001 OCEAN DRIVE
STREET 2: SUITE 201
CITY: VERO BEACH
STATE: FL
ZIP: 32963
BUSINESS PHONE: 772-617-4340
MAIL ADDRESS:
STREET 1: 3001 OCEAN DRIVE
STREET 2: SUITE 201
CITY: VERO BEACH
STATE: FL
ZIP: 32963
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
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
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
9/27/13
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC, Phillip Goldstein,
Andrew Dakos, Steven Samuels
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
447,509
8. SHARED VOTING POWER
497,948
9. SOLE DISPOSITIVE POWER
447,509
_______________________________________________________
10. SHARED DISPOSITIVE POWER
497,948
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
945,457 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
7.0%
14. TYPE OF REPORTING PERSON
IA, IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #1 to the schedule 13d
filed August 16, 2013. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the 10-Q filed on August 5, 2013, there were 13,500,050 shares
outstanding as of August 2, 2013. The percentage set forth herein was derived
using such number. Phillip Goldstein, Andrew Dakos and Steven Samuels own
Bulldog Investors, LLC, a registered investment adviser. As of 9/27/2013,
Bulldog Investors, LLC is deemed to be the beneficial owner of 945,457 shares
of JMI (representing 7.00% of JMI's outstanding shares) solely by virtue of
Bulldog Investors, LLC's power to direct the vote of, and dispose of, these
shares. These 945,457 shares of JMI include 447,509 shares (representing 3.31%
of JMI'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,
and MCM Opportunity Partners, LP. (collectively, the Bulldog Investors Funds).
The Bulldog Investors Funds may be deemed to constitute a group. All other
shares included in the aforementioned 945,457 shares of JMI 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 497,948 shares (representing 3.69% of JMI's
outstanding shares).
(b) Bulldog Investors, LLC has sole power to dispose of and vote 447,509
shares. Bulldog Investors, LLC has shared power to dispose of and vote 497,948
shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially
own more than 5% of JMI'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 8/16/13 the following shares of JMI were purchased:
08/16/13 75,000 11.8897
08/19/13 29,388 10.8375
09/20/13 46,769 11.7022
09/24/13 4,754 11.8477
09/25/13 25,000 11.9328
09/27/13 25,000 11.8481
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
None
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: 9/30/2013
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.