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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bulldog Investors General Partnership PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
Opportunity Income Plus LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
OPPORTUNITY PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
Calapasas West Partners LP PARK 80 WEST, 250 PEHLE AVE., STE 708 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
Full Value Special Situations Fund LP PARK 80 WEST, 250 PEHLE AVE., STE 708 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
Full Value Offshore Fund, Ltd. PARK 80 WEST 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
FULL VALUE PARTNERS LP PARK 80 WEST 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
MCM Opportunity Partners LP PARK 80 WEST 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
STEADY GAIN PARTNERS LP PARK 80 WEST 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X | |||
MERCURY PARTNERS L P PARK 80 WEST 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
X |
/s/ Phillip Goldstein - Manager of the Managing General Partner - Bulldog Investors General Partnership | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Opportunity Income Plus, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Opportunity Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Calapasas West Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Special Situations Fund, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Offshore Fund, Ltd. | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - MCM Opportunity Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Barry Swidler Member of the General Partner - Steady Gain Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Glenn Goodstein Member of the General Partner - Mercury Partners, LP | 12/05/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares are held by Opportunity Income Plus, LP. |
(2) | Shares are held by Bulldog Investors General Partnership. |
(3) | Certain of such shares are also held indirectly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, MCM Opportunity Partners, LP, Steady Gain Partners, LP, and Mercury Partners, LP (the "Funds"). Each Fund disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest. |