0001655099-16-000044.txt : 20161206 0001655099-16-000044.hdr.sgml : 20161206 20161206170636 ACCESSION NUMBER: 0001655099-16-000044 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: Shipley Mark CENTRAL INDEX KEY: 0001521802 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05820 FILM NUMBER: 162036914 MAIL ADDRESS: STREET 1: C/O BROOKFIELD INVESTMENT MANAGEMENT INC STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 15TH FL CITY: NEW YORK STATE: NY ZIP: 10281-1023 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-12-05 0 0000851169 BROOKFIELD TOTAL RETURN FUND INC HTR 0001521802 Shipley Mark C/O BROOKFIELD INVESTMENT MANAGEMENT INC BROOKFIELD PLACE, 250 VESEY ST, 15TH FL NEW YORK NY 10281-1023 0 0 0 1 Adviser's Portfolio Manager Common Stock 2016-12-05 4 D 0 311.76 D 0 D Includes 8.04 shares acquired through dividend reinvestment between Septemebr 26, 2016 and December 5, 20165. Disposed of pursuant to an agreement and plan of reorganization between issuer and Brookfield Real Assets Income Fund Inc. [NYSE: RA] in exchange for 298 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 Mark Shipley 2016-12-06