0001655099-16-000043.txt : 20161206 0001655099-16-000043.hdr.sgml : 20161206 20161206165904 ACCESSION NUMBER: 0001655099-16-000043 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161205 FILED AS OF DATE: 20161206 DATE AS OF CHANGE: 20161206 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: MCFARLAND STUART A CENTRAL INDEX KEY: 0001249307 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05820 FILM NUMBER: 162036844 MAIL ADDRESS: STREET 1: C/O FORTRESS INVESTMENT GROUP STREET 2: 1345 AVE OF THE AMERICAS 46TH FL CITY: NEW YORK STATE: NY ZIP: 10105 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-12-05 0 0000851169 BROOKFIELD TOTAL RETURN FUND INC HTR 0001249307 MCFARLAND STUART A C/O BROOKFIELD INVESTMENT MGMT INC BROOKFIELD PLACE, 250 VESEY ST., 15TH FL NEW YORK NY 10281-1023 1 0 0 0 Common Stock 2016-12-05 4 D 0 3128 D 0 D Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 2,997 shares of RA common stock having a net asset value of $25.00 per share on the effective date of the reorganization. /s/Waheed Olowa, on behalf of Stuart A. McFarland 2016-12-06