0001398344-16-015228.txt : 20160715
0001398344-16-015228.hdr.sgml : 20160715
20160715113601
ACCESSION NUMBER: 0001398344-16-015228
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160713
FILED AS OF DATE: 20160715
DATE AS OF CHANGE: 20160715
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Virtus Total Return Fund
CENTRAL INDEX KEY: 0001310445
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 101 MUNSON STREET
CITY: GREENFIELD
STATE: MA
ZIP: 01301
BUSINESS PHONE: 800-248-7971
MAIL ADDRESS:
STREET 1: 100 PEARL STREET
CITY: HARTFORD
STATE: CT
ZIP: 06103
FORMER COMPANY:
FORMER CONFORMED NAME: DCA Total Return Fund
DATE OF NAME CHANGE: 20090421
FORMER COMPANY:
FORMER CONFORMED NAME: Dividend Capital Realty Income Allocation Fund
DATE OF NAME CHANGE: 20041202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCM Opportunity Partners LP
CENTRAL INDEX KEY: 0001581073
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769041
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 881-7100
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STEADY GAIN PARTNERS LP
CENTRAL INDEX KEY: 0001316669
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769043
BUSINESS ADDRESS:
STREET 1: 10 WENWOOD DRIVE
CITY: BROOKVILLE
STATE: NY
ZIP: 11545
BUSINESS PHONE: 7183837000
MAIL ADDRESS:
STREET 1: 10 WENWOOD DRIVE
CITY: BROOKVILLE
STATE: NY
ZIP: 11545
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OPPORTUNITY PARTNERS LP
CENTRAL INDEX KEY: 0000896017
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769044
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 NAME:
FORMER CONFORMED NAME: OPPORTUNITY PARTNERS L P
DATE OF NAME CHANGE: 19980303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Calapasas West Partners LP
CENTRAL INDEX KEY: 0001580881
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769046
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST, 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 881-7100
MAIL ADDRESS:
STREET 1: PARK 80 WEST, 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FULL VALUE PARTNERS LP
CENTRAL INDEX KEY: 0001164363
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769047
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bulldog Investors General Partnership
CENTRAL INDEX KEY: 0001364773
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769045
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST, 250 PEHLE AVENUE
STREET 2: SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201-556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST, 250 PEHLE AVENUE
STREET 2: SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MERCURY PARTNERS L P
CENTRAL INDEX KEY: 0000812885
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769042
BUSINESS ADDRESS:
STREET 1: 5650 EL CAMINO REAL
STREET 2: SUITE 155
CITY: CARLSBAD
STATE: CA
ZIP: 92008
BUSINESS PHONE: 310-268-2625
MAIL ADDRESS:
STREET 1: 5650 EL CAMINO REAL
STREET 2: SUITE 155
CITY: CARLSBAD
STATE: CA
ZIP: 92008
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Full Value Special Situations Fund LP
CENTRAL INDEX KEY: 0001580999
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21680
FILM NUMBER: 161769048
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 881-7100
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE., STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
4
1
fp0020350_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-07-13
0
0001310445
Virtus Total Return Fund
DCA
0001580999
Full Value Special Situations Fund LP
PARK 80 WEST
250 PEHLE AVE., STE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001164363
FULL VALUE PARTNERS LP
PARK 80 WEST
250 PEHLE AVE. SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001316669
STEADY GAIN PARTNERS LP
10 WENWOOD DRIVE
BROOKVILLE
NY
11545
0
0
1
1
See Explanation of Responses
0000812885
MERCURY PARTNERS L P
5650 EL CAMINO REAL
SUITE 155
CARLSBAD
CA
92008
0
0
1
1
See Explanation of Responses
0001581073
MCM Opportunity Partners LP
PARK 80 WEST
250 PEHLE AVE., STE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001580881
Calapasas West Partners LP
PARK 80 WEST, 250 PEHLE AVE., STE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0001364773
Bulldog Investors General Partnership
PARK 80 WEST, 250 PEHLE AVENUE
SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
0000896017
OPPORTUNITY PARTNERS LP
PARK 80 WEST - PLAZA TWO
250 PEHLE AVE., SUITE 708
SADDLE BROOK
NJ
07663
0
0
1
1
See Explanation of Responses
Common Stock
787622
D
Common Stock
300035
D
Common Stock
81994
D
Common Stock
820600
D
Common Stock
578590
D
Common Stock
368316
D
Common Stock
2016-07-13
4
P
0
33906
4.552
A
139064
D
Common Stock
2016-07-14
4
P
0
18933
4.5603
A
157997
D
Common Stock
140885
D
This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission.
Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
Shares of Common Stock beneficially owned by Opportunity Partners, LP.
Shares of Common Stock beneficially owned by Calapasas West Partners, LP.
Shares of Common Stock beneficially owned by Full Value Special Situations Fund, LP.
Shares of Common Stock beneficially owned by Full Value Partners, LP.
Shares of Common Stock beneficially owned by Steady Gain Partners, LP.
Shares of Common Stock beneficially owned by Mercury Partners, LP.
Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein.
Shares of Common Stock beneficially owned by MCM Opportunity Partners, LP.
/s/ Phillip Goldstein - Manager of the General Partner - Opportunity Partners, LP
2016-07-15
/s/ Stephanie Darling, as attorney-in-fact for Barry Swidler - Managing Member of the General Partner - Steady Gain Partners, LP
2016-07-15
/s/ Stephanie Darling, as attorney-in-fact for Glenn Goodstein - Member of the General Partner - Mercury Partners, LP
2016-07-15
/s/ Phillip Goldstein - Manager of the Managing General Partner - Bulldog Investors General Partnership
2016-07-15
/s/ Phillip Goldstein - Manager of the General Partner - MCM Opportunity Partners, LP
2016-07-15
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Special Situations Fund, LP
2016-07-15
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Partners, LP
2016-07-15
/s/ Phillip Goldstein - Manager of the General Partner - Calapasas West Partners, LP
2016-07-15