0000851169-16-000001.txt : 20160519
0000851169-16-000001.hdr.sgml : 20160519
20160519163659
ACCESSION NUMBER: 0000851169-16-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121026
FILED AS OF DATE: 20160519
DATE AS OF CHANGE: 20160519
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BROOKFIELD TOTAL RETURN FUND INC
CENTRAL INDEX KEY: 0000851169
IRS NUMBER: 132529369
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: BROOKFIELD PLACE
STREET 2: 250 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
BUSINESS PHONE: 212-549-8328
MAIL ADDRESS:
STREET 1: BROOKFIELD PLACE
STREET 2: 250 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
FORMER COMPANY:
FORMER CONFORMED NAME: HELIOS TOTAL RETURN FUND INC
DATE OF NAME CHANGE: 20090107
FORMER COMPANY:
FORMER CONFORMED NAME: HYPERION BROOKFIELD TOTAL RETURN FUND INC
DATE OF NAME CHANGE: 20070620
FORMER COMPANY:
FORMER CONFORMED NAME: HYPERION TOTAL RETURN FUND INC
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RUSSELL-DOWE MICHELLE LYN
CENTRAL INDEX KEY: 0001305496
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-05820
FILM NUMBER: 161663631
MAIL ADDRESS:
STREET 1: BROOKFIELD INVESTMENT MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 250 VESEY ST., 15 FL
CITY: NEW YORK
STATE: X1
ZIP: 10281-1023
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2012-10-26
0
0000851169
BROOKFIELD TOTAL RETURN FUND INC
HTR.R
0001305496
RUSSELL-DOWE MICHELLE LYN
BROOKFIELD INVESTMENT MANAGEMENT INC.
BROOKFIELD PLACE, 250 VESEY ST., 15 FL
NEW YORK
X1
10281-1023
UNITED STATES
0
0
0
1
Portfolio Manager
Common Stock
2012-10-26
4
P
0
265
21.5
A
765
I
Spouse
Common Stock
2012-10-26
4
P
0
166
22.59
A
931
I
Spouse
Common Stock
2012-10-26
4
P
0
385
21.5
A
1853.75
D
Common Stock
2012-10-26
4
P
0
696
22.59
A
2737
D
Shares purchased through the exercise of stock purchase rights issued to the spouse of the Reporting Person in connection with the issuer's rights offfering.
Effective August 22, 2012, the issuer affected a 1 for 4 reverse stock split for its shares. The amount of securities beneficially owned following the reported transaction has been adjusted to reflect the reverse stock split. This amount does not include shares held indirectly by the Reporting Person as those shares are reflected in the third and fourth lines of this form.
Shares purchased through the exercise of stock purchase rights acquired by the spouse of the Reporting Person in connection with the Issuer's rights offering.
This amount does not include shares held indirectly by the Reporting Person as those shares are reflected in the second line of this Form 4.
Shares purchased through the exercise of stock purchase rights issued to the Reporting Person in connection with the Issuer's rights offering.
Effective August 22, 2012, the Issuer affected a for 4 reverse stock split for its shares. The amount of securities beneficially owned following the reported transaction has been adjusted to reflect the reverse stock split. This amount does not include shares held directly by the Reporting Person as those shares are reflected in the first and second lines of this Form 4.
Shares purchased through the exercise of stock purchase rights acquired by the Reporting Person in connection with the Issuer's rights offering.
The amount of securities listed herein also includes 187.25 shares acquired through dividend reinvestment between September 26, 2012 and May 18, 2016. This amount does not include shares held directly by the Reporting Person as those shares are reflected in the first and second lines of this Form 4.
/s/Michelle L. Russell-Dowe, by Waheed Olowa
2016-05-19