SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Virtus Total Return Fund [ DCA ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 09/08/2016 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock(1)(2)(3) | 787,622 | D(4) | ||||||||
| Common Stock(1)(2)(3) | 300,035 | D(5) | ||||||||
| Common Stock(1)(2)(3) | 81,994 | D(6) | ||||||||
| Common Stock(1)(2)(3) | 820,600 | D(7) | ||||||||
| Common Stock(1)(2)(3) | 578,590 | D(8) | ||||||||
| Common Stock(1)(2)(3) | 368,316 | D(9) | ||||||||
| Common Stock(1)(2)(3) | 09/08/2016 | P | 98,223 | A | $4.6573 | 546,800 | D(10) | |||
| Common Stock(1)(2)(3) | 09/09/2016 | P | 35,276 | A | $4.5949 | 582,076 | D(10) | |||
| Common Stock(1)(2)(3) | 140,885 | D(11) | ||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. |
| 2. Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. |
| 3. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. |
| 4. Shares of Common Stock beneficially owned by Opportunity Partners, LP. |
| 5. Shares of Common Stock beneficially owned by Calapasas West Partners, LP. |
| 6. Shares of Common Stock beneficially owned by Full Value Special Situations Fund, LP. |
| 7. Shares of Common Stock beneficially owned by Full Value Partners, LP. |
| 8. Shares of Common Stock beneficially owned by Steady Gain Partners, LP. |
| 9. Shares of Common Stock beneficially owned by Mercury Partners, LP. |
| 10. Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. |
| 11. Shares of Common Stock beneficially owned by MCM Opportunity Partners, LP. |
| /s/ Phillip Goldstein - Manager of the General Partner - Opportunity Partners, LP | 09/12/2016 | |
| /s/ Stephanie Darling, as attorney-in-fact for Barry Swidler - Managing Member of the General Partner - Steady Gain Partners, LP | 09/12/2016 | |
| /s/ Stephanie Darling, as attorney-in-fact for Glenn Goodstein - Member of the General Partner - Mercury Partners, LP | 09/12/2016 | |
| /s/ Phillip Goldstein - Manager of the Managing General Partner - Bulldog Investors General Partnership | 09/12/2016 | |
| /s/ Phillip Goldstein - Manager of the General Partner - MCM Opportunity Partners, LP | 09/12/2016 | |
| /s/ Phillip Goldstein - Manager of the General Partner - Full Value Special Situations Fund, LP | 09/12/2016 | |
| /s/ Phillip Goldstein - Manager of the General Partner - Full Value Partners, LP | 09/12/2016 | |
| /s/ Phillip Goldstein - Manager of the General Partner - Calapasas West Partners, LP | 09/12/2016 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||