0001462180-11-000056.txt : 20110920
0001462180-11-000056.hdr.sgml : 20110920
20110920112735
ACCESSION NUMBER: 0001462180-11-000056
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20110920
DATE AS OF CHANGE: 20110920
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BROOKLYN CAPITAL MANAGEMENT
GROUP MEMBERS: BULLDOG INVESTORS
GROUP MEMBERS: PHILLIP GOLDSTEIN
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND
CENTRAL INDEX KEY: 0001280226
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-84468
FILM NUMBER: 111098789
BUSINESS ADDRESS:
STREET 1: 2455 CORPORATE WEST DRIVE
CITY: LISLE
STATE: IL
ZIP: 60532
BUSINESS PHONE: 630-505-3700
MAIL ADDRESS:
STREET 1: 2455 CORPORATE WEST DRIVE
CITY: LISLE
STATE: IL
ZIP: 60532
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors
CENTRAL INDEX KEY: 0001462180
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
SC 13D/A
1
thirda.txt
SCHEDULE 13D
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
09/19/2011
1. NAME OF REPORTING PERSON
Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
858,912
8. SHARED VOTING POWER
289,691
9. SOLE DISPOSITIVE POWER
1,148,603
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,148,603
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
7.46%
14. TYPE OF REPORTING PERSON
IA
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #3 to the schedule 13d
filed July 29, 2011. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
Except for the shares owned by Special Opportunities Fund, which will be
voted in the same proportion as the votes case cast by all other
stockholders of the issuer, the filing group intends to vote its shares
in favor of the conversion of the Fund into an open-end fund.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the N-CSR filed on March 9th, 2011 there were 15,407,000 shares of
common stock outstanding as of 12/31/2010 The percentage set forth in item 5
was derived using such number. Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos beneficially own an aggregate of 1,148,603
shares of TYW or 7.46% of the outstanding shares.Power to dispose of and vote
securities resides either with Mr. Goldstein, Mr. Dakos or with clients.
c) Since the last filing on 9/9/11 the following shares of TYW were
purchased:
Date: Shares: Price:
09/09/11 4,313 11.0000
09/09/11 500 10.9500
09/12/11 5,152 10.9500
09/13/11 14,244 10.8060
09/14/11 5,452 10.8843
09/15/11 14,615 10.9758
09/16/11 13,547 11.0386
d) Beneficiaries of managed accounts are entitled to receive any
dividends or sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
none
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.
Dated: 9/20/2011
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos