FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Goldman Sachs MLP Income Opportunities Fund [ GMZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/28/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Shares of Beneficial Interest | 09/28/2020 | J(1) | 8,062.143(3) | D | (1) | 0 | D | |||
Shares of Beneficial Interest | 09/28/2020 | J(2) | 689.2857(3) | D | (2) | 0 | I | By Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Effective as of September 25, 2020, the Goldman Sachs MLP Income Opportunities Fund (the "Target Fund") was reorganized into the Goldman Sachs MLP and Energy Renaissance Fund (the "Acquiring Fund," and such reorganization, the "Reorganization"). Common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the Valuation Time, as defined in the Agreement and Plan of Reorganization, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of September 25, 2020, the Target Fund reported a NAV per share of $10.626812 and the Acquiring Fund reported a NAV per share of $8.117044. The conversion ratio for the Target Fund's common shares was 1.30919729. The Reporting Person received 10,554.94 common shares of the Acquiring Fund in exchange for his 8,062.143 common shares of the Target Fund. |
2. Effective as of September 25, 2020, the Goldman Sachs MLP Income Opportunities Fund (the "Target Fund") was reorganized into the Goldman Sachs MLP and Energy Renaissance Fund (the "Acquiring Fund," and such reorganization, the "Reorganization"). Common shareholders of the Target Fund received common shares of the Acquiring Fund having a value equal to the aggregate NAV of the Target Fund common shares surrendered as determined at the Valuation Time, as defined in the Agreement and Plan of Reorganization, less the costs of the Reorganization (although cash was distributed for any fractional shares). As of September 25, 2020, the Target Fund reported a NAV per share of $10.626812 and the Acquiring Fund reported a NAV per share of $8.117044. The conversion ratio for the Target Fund's common shares was 1.30919729. The Reporting Person's spouse received 902.411 common shares of the Acquiring Fund in exchange for her 689.2857 common shares of the Target Fund. |
3. In addition, on April 13, 2020, the Acquiring Fund effected a 9-for-1 reverse share split and the Target Fund effected a 7-for-1 reverse share split, which are reflected in the share information herein. |
/s/ Jessica Moran, Attorney-in-fact | 09/30/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |