0001144204-12-057017.txt : 20121019 0001144204-12-057017.hdr.sgml : 20121019 20121019162218 ACCESSION NUMBER: 0001144204-12-057017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120315 FILED AS OF DATE: 20121019 DATE AS OF CHANGE: 20121019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-06111 FILM NUMBER: 121152619 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MEXICO EQUITY & INCOME FUND INC CENTRAL INDEX KEY: 0000863900 IRS NUMBER: 133576061 STATE OF INCORPORATION: MD FISCAL YEAR END: 0731 BUSINESS ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES, LLC STREET 2: 615 EAST MICHIGAN STREET, LC-2 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4147654499 MAIL ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES, LLC STREET 2: 615 EAST MICHIGAN STREET, LC-2 CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: MEXICO CONVERTIBLE ADVANTAGE FUND INC DATE OF NAME CHANGE: 19900807 FORMER COMPANY: FORMER CONFORMED NAME: MEXICO ADVANTAGE FUND INC DATE OF NAME CHANGE: 19900805 4 1 v326247_4.xml OWNERSHIP DOCUMENT X0306 4 2012-03-15 0 0000863900 MEXICO EQUITY & INCOME FUND INC MXE 0001067621 GOLDSTEIN PHILLIP C/O MEXICO EQUITY AND INCOME FUND, INC. 615 EAST MICHIGAN STREET, 4TH FLOOR MILWAUKEE WI 53202 1 0 0 0 Common Stock 2012-03-15 4 J 0 13888 A 13888 I See footnote Common Stock 43145 I See footnote Common Stock 35042 I See footnote Common Stock 8021 I See footnote Common Stock 10323 I See footnote Common Stock 1 D The reported securities are held by Calapasas West Partners, LP ("Calapasas West"). Calapasas Investment Partnership, LP was dissolved on March 15, 2012 and the reported securities were transferred to Calapasas West. The Reporting Person is a managing member of Bulldog Holdings, LLC, the sole member of Full Value Advisors, LLC, which is the general partner of Calapasas West. The Reporting Person is also a managing member of Brooklyn Capital Management, LLC, the investment adviser to Calapasas West ("BCM"). BCM has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities. The reported securities are held by Opportunity Partners, LP ("Opportunity Partners"). The Reporting Person is a limited partner of Opportunity Partners. The Reporting Person is also a managing member of Bulldog Holdings, LLC, the sole member of Kimball & Winthrop, LLC, which is the general partner of Opportunity Partners. In addition, the Reporting Person is a managing member of Brooklyn Capital Management, LLC, the investment adviser to Opportunity Partners ("BCM"). BCM has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities. The reported securities are held by Full Value Partners, LP ("Full Value"). The Reporting Person is a limited partner of Full Value. The Reporting Person is also a managing member of Bulldog Holdings, LLC, the sole member of Full Value Advisors, LLC, which is the general partner of Full Value. In addition, the Reporting Person is a managing member of Brooklyn Capital Management, LLC, the investment adviser to Full Value ("BCM"). BCM has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities. The reported securities are held by Opportunity Income Plus, LP ("Opportunity Income"). The Reporting Person is a limited partner of Opportunity Income. The Reporting Person is also a managing member of Bulldog Holdings, LLC, the sole member of SPAR Advisors LLC, which is the general partner of Opportunity Income. In addition, the Reporting Person is a managing member of Brooklyn Capital Management, LLC, the investment adviser to Opportunity Income ("BCM"). BCM has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities. The reported securities are held by Steady Gain Partners, LP ("Steady Gain"). The Reporting Person is a managing member of Brooklyn Capital Management, LLC, the investment adviser to Steady Gain ("BCM"). BCM has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities. /s/ Phillip Goldstein 2012-10-19