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