0001398344-16-016840.txt : 20160816 0001398344-16-016840.hdr.sgml : 20160816 20160816104852 ACCESSION NUMBER: 0001398344-16-016840 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160812 FILED AS OF DATE: 20160816 DATE AS OF CHANGE: 20160816 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Virtus Total Return Fund CENTRAL INDEX KEY: 0001310445 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: 800-248-7971 MAIL ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: DCA Total Return Fund DATE OF NAME CHANGE: 20090421 FORMER COMPANY: FORMER CONFORMED NAME: Dividend Capital Realty Income Allocation Fund DATE OF NAME CHANGE: 20041202 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: 811-21680 FILM NUMBER: 161835124 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Full Value Offshore Fund, Ltd. CENTRAL INDEX KEY: 0001584439 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161835125 BUSINESS ADDRESS: STREET 1: C.O MAPLES CORPORATE SERVICES LIMITED STREET 2: P.O. BOX 309, UGLAND HOUSE CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 1-345-949-8066 MAIL ADDRESS: STREET 1: C.O MAPLES CORPORATE SERVICES LIMITED STREET 2: P.O. BOX 309, UGLAND HOUSE CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Opportunity Income Plus LP CENTRAL INDEX KEY: 0001581172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161835126 BUSINESS ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 881-7100 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 4 1 fp0021004_4.xml OWNERSHIP DOCUMENT X0306 4 2016-08-12 0 0001310445 Virtus Total Return Fund DCA 0001581172 Opportunity Income Plus LP PARK 80 WEST 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001584439 Full Value Offshore Fund, Ltd. PARK 80 WEST - PLAZA TWO 250 PEHLE AVE. SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001067621 GOLDSTEIN PHILLIP 60 HERITAGE DRIVE PLEASANTVILLE NY 10570 0 0 1 1 See Explanation of Responses Common Stock 2016-08-12 4 P 0 453 4.6087 A 140510 D Common Stock 2016-08-15 4 P 0 547 4.6126 A 141057 D Common Stock 288662 D Common Stock 20196 D 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. 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. 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. Shares of Common Stock beneficially owned by Full Value Offshore Fund, Ltd. Shares of Common Stock beneficially owned by Opportunity Income Plus Fund, LP. Shares of Common Stock beneficially owned by Phillip Goldstein. Mr. Goldstein is an owner of Bulldog Investors, LLC, an investment adviser registered with the Securities and Exchange Commission, and as a result may be deemed to have a beneficial interest in certain shares of Common Stock of the Issuer indirectly owned by Bulldog Investors, LLC. Such holdings are included in a separate Form 4 filed on behalf of Bulldog Investors, LLC. Mr. Goldstein disclaims beneficial interest in such shares reported by Bulldog Investors, LLC, except to the extent of any pecuniary interest therein. /s/ Phillip Goldstein on behalf of Full Value Offshore Fund, Ltd 2016-08-16 /s/ Phillip Goldstein - Manager of the General Partner of Opportunity Income Plus, LP 2016-08-16 /s/ Phillip Goldstein 2016-08-16