0000895421-22-000170.txt : 20220210
0000895421-22-000170.hdr.sgml : 20220210
20220210115552
ACCESSION NUMBER: 0000895421-22-000170
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20220210
DATE AS OF CHANGE: 20220210
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Virtus Dividend, Interest & Premium Strategy Fund
CENTRAL INDEX KEY: 0001260563
STANDARD INDUSTRIAL CLASSIFICATION: LOAN BROKERS [6163]
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86058
FILM NUMBER: 22612318
BUSINESS ADDRESS:
STREET 1: 101 MUNSON STREET
CITY: GREENFIELD
STATE: MA
ZIP: 01301
BUSINESS PHONE: (866) 270-7598
MAIL ADDRESS:
STREET 1: 101 MUNSON STREET
CITY: GREENFIELD
STATE: MA
ZIP: 01301
FORMER COMPANY:
FORMER CONFORMED NAME: AllianzGI DIVIDEND, INTEREST & PREMIUM STRATEGY FUND
DATE OF NAME CHANGE: 20200508
FORMER COMPANY:
FORMER CONFORMED NAME: AllianzGI NFJ DIVIDEND, INTEREST & PREMIUM STRATEGY FUND
DATE OF NAME CHANGE: 20130502
FORMER COMPANY:
FORMER CONFORMED NAME: NFJ DIVIDEND, INTEREST & PREMIUM STRATEGY FUND
DATE OF NAME CHANGE: 20050124
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: MORGAN STANLEY
CENTRAL INDEX KEY: 0000895421
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 363145972
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-761-4000
MAIL ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
FORMER COMPANY:
FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO
DATE OF NAME CHANGE: 19980326
FORMER COMPANY:
FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO
DATE OF NAME CHANGE: 19960315
SC 13G
1
VirtusDividendNFJ.txt
MS INITIAL
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)*
Virtus Dividend, Interest & Premium Strategy Fund
-----------------------------------------------------
(Name of Issuer)
Common Stock
-----------------------------------------------------
(Title of Class of Securities)
92840R101
-----------------------------------------------------
(CUSIP Number)
December 31, 2021
-----------------------------------------------------
(Date Of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Persons who respond to the collection of information contained in this form are
not required to respond unless the form displays a currently valid OMB control
number.
SEC 1745 (3-06)
CUSIP No.92840R101 13G Page 2 of 8 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley
I.R.S. # 36-3145972
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 3,279,276
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
7,856,902
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
7,856,902
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
8.3%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
HC, CO
--------------------------------------------------------------------------------
CUSIP No.92840R101 13G Page 3 of 8 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Parametric Portfolio Associates LLC
I.R.S. # 20-0292745
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 3,279,276
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
7,856,902
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
7,856,902
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
8.3%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
IA
--------------------------------------------------------------------------------
CUSIP No.92840R101 13G Page 4 of 8 Pages
--------------------------------------------------------------------------------
Item 1. (a) Name of Issuer:
Virtus Dividend, Interest & Premium Strategy Fund
--------------------------------------------------------------
(b) Address of Issuer's Principal Executive Offices:
101 MUNSON STREET
GREENFIELD MA 01301
UNITED STATES OF AMERICA
--------------------------------------------------------------
Item 2. (a) Name of Person Filing:
(1) Morgan Stanley
(2) Parametric Portfolio Associates LLC
--------------------------------------------------------------
(b) Address of Principal Business Office, or if None, Residence:
(1) 1585 Broadway New York, NY 10036
(2) 800 Fifth Avenue, Suite 2800, Seattle, WA 98104
--------------------------------------------------------------
(c) Citizenship:
(1) Delaware.
(2) Delaware.
--------------------------------------------------------------
(d) Title of Class of Securities:
Common Stock
--------------------------------------------------------------
(e) CUSIP Number:
92840R101
--------------------------------------------------------------
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the Act
(15 U.S.C. 78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [x] An investment adviser in accordance with Sections
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F);
(g) [x] A parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] A non-U.S. institution in accordance with section
240.13d-1(b)(1)(ii)(J);
(k) [ ] Group, in accordance with sections 240.13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with
sections 240.13d-1(b)(1)(ii)(J), please specify the type
of institution: Not Applicable
CUSIP No.92840R101 13G Page 5 of 8 Pages
--------------------------------------------------------------------------------
Item 4. Ownership as of December 31, 2021.*
(a) Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b) Percent of Class:
See the response(s) to Item 11 on the attached cover page(s).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary which Acquired
the Security Being Reported on By the Parent Holding Company.
See Exhibit 99.2
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certification.
(1) By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any
transaction having that purpose or effect.
* In Accordance with the Securities and Exchange Commission Release
No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the
securities beneficially owned, or that may be deemed to be beneficially owned,
by certain operating units (collectively, the "MS Reporting Units") of Morgan
Stanley and its subsidiaries and affiliates (collectively, "MS"). This filing
does not reflect securities, if any, beneficially owned by any operating units
of MS whose ownership of securities is disaggregated from that of the MS
Reporting Units in accordance with the Release.
CUSIP No.92840R101 13G Page 6 of 8 Pages
--------------------------------------------------------------------------------
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
Date: February 10, 2022
Signature: /s/ Christopher O'Hara
--------------------------------------------------------------------
Name/Title: Christopher O'Hara/Authorized Signatory, Morgan Stanley
--------------------------------------------------------------------
MORGAN STANLEY
Date: February 10, 2022
Signature: /s/ Cindy Kim
--------------------------------------------------------------------
Name/Title: Cindy Kim/Authorized Signatory,
Parametric Portfolio Associates LLC
--------------------------------------------------------------------
Parametric Portfolio Associates LLC
EXHIBIT NO. EXHIBITS PAGE
----------- ---------- ----
99.1 Joint Filing Agreement 7
99.2 Item 7 Information 8
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.92840R101 13G Page 7 of 8 Pages
--------------------------------------------------------------------------------
EXHIBIT NO. 99.1 TO SCHEDULE 13G
JOINT FILING AGREEMENT
---------------------------------------------------
February 10, 2022
---------------------------------------------------
MORGAN STANLEY and Parametric Portfolio Associates LLC hereby
agree that, unless differentiated, this Schedule 13G is filed on
behalf of each of the parties.
MORGAN STANLEY
BY: /s/ Christopher O'Hara
---------------------------------------------------------------------
Christopher O'Hara/Authorized Signatory, Morgan Stanley
Parametric Portfolio Associates LLC
BY: /s/ Cindy Kim
---------------------------------------------------------------------
Cindy Kim/Authorized Signatory,
Parametric Portfolio Associates LLC
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.92840R101 13G Page 8 of 8 Pages
--------------------------------------------------------------------------------
EXHIBIT NO. 99.2
------------------
ITEM 7 INFORMATION
The securities being reported on by Morgan Stanley as a parent
holding company are owned, or may be deemed to be beneficially owned, by
Parametric Portfolio Associates LLC, a wholly-owned subsidiary of Morgan
Stanley.