0001504304-13-000017.txt : 20131018 0001504304-13-000017.hdr.sgml : 20131018 20131018161028 ACCESSION NUMBER: 0001504304-13-000017 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20131018 DATE AS OF CHANGE: 20131018 GROUP MEMBERS: ANDREW DAKOS GROUP MEMBERS: BULLDOG INVESTORS, LLC GROUP MEMBERS: PHILLIP GOLDSTEIN GROUP MEMBERS: STEVEN SAMUELS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HELIOS STRATEGIC INCOME FUND, INC CENTRAL INDEX KEY: 0001275902 IRS NUMBER: 270081847 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79954 FILM NUMBER: 131159546 BUSINESS ADDRESS: STREET 1: BROOKFIELD INVESTMENT MANAGEMENT INC STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 10TH FL CITY: NEW YORK STATE: NY ZIP: 10281-1023 BUSINESS PHONE: 2125498328 MAIL ADDRESS: STREET 1: BROOKFIELD INVESTMENT MANAGEMENT INC STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 10TH FL CITY: NEW YORK STATE: NY ZIP: 10281-1023 FORMER COMPANY: FORMER CONFORMED NAME: HELIOS STRATEGIC INCOME FUND INC DATE OF NAME CHANGE: 20090107 FORMER COMPANY: FORMER CONFORMED NAME: RMK STRATEGIC INCOME FUND INC DATE OF NAME CHANGE: 20040109 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Bulldog Investors, LLC CENTRAL INDEX KEY: 0001504304 IRS NUMBER: 270926182 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 FORMER COMPANY: FORMER CONFORMED NAME: Brooklyn Capital Management LLC DATE OF NAME CHANGE: 20101026 SC 13D/A 1 thirda.txt SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 10/16/13 1. NAME OF REPORTING PERSON Bulldog Investors, LLC, Phillip Goldstein, Andrew Dakos, Steven Samuels 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 DE ___________________________________________________________ 7. SOLE VOTING POWER 236,486 8. SHARED VOTING POWER 223,835 9. SOLE DISPOSITIVE POWER 236,486 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 223,835 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 460,321 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 7.76% 14. TYPE OF REPORTING PERSON IA, IN _______________________________________________________ Item 1. SECURITY AND ISSUER This statement constitutes Amendment #1 to the schedule 13d filed September 30, 2013. Except as specifically set forth herein, the Schedule 13d remains unmodified. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As per the N-CSR filed on June 6, 2013, there were 5,930,400 shares outstanding as of March 31, 2013. The percentage set forth herein was derived using such number. Phillip Goldstein, Andrew Dakos and Steven Samuels own Bulldog Investors, LLC, a registered investment adviser. As of 10/17/13, Bulldog Investors, LLC is deemed to be the beneficial owner of 460,321 shares of HSA (representing 7.76% of HSA's outstanding shares) solely by virtue of Bulldog Investors, LLC's power to direct the vote of, and dispose of, these shares. These 460,321 shares of HSA include 236,486 shares (representing 3.99% of HSA's outstanding shares) that are beneficially owned by the following entities over which Messrs. Goldstein, Dakos and Samuels exercise control: Opportunity Partners LP, Calapasas West Partners, LP, Opportunity Income Plus, LP, Full Value Special Situations Fund,LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, and MCM Opportunity Partners, LP. (collectively, the Bulldog Investors Funds). The Bulldog Investors Funds may be deemed to constitute a group. All other shares included in the aforementioned 460,321 shares of HSA beneficially owned by Bulldog Investors, LLC (solely by virtue of its power to sell or direct the vote of these shares) are also beneficially owned by clients of Bulldog Investors, LLC who are not members of any group. The total number of these "non-group" shares is 223,835 shares (representing 3.77% of HSA's outstanding shares). (b) Bulldog Investors, LLC has sole power to dispose of and vote 236,486 shares. Bulldog Investors, LLC has shared power to dispose of and vote 223,835 shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more than 5% of HSA's shares) share this power with Bulldog Investors, LLC. Messrs. Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC. c) Since the last filing on 9/30/13 the following shares of HSA were purchased: 09/30/13 31,514 6.3471 10/01/13 3,677 6.3500 10/02/13 6,448 6.3178 10/03/13 7,000 6.3496 10/04/13 3,112 6.3500 10/07/13 6,507 6.3357 10/16/13 6,516 6.3500 The following shares of HSA were sold: 10/11/13 (1,447) 6.5500 10/14/13 (100) 6.5500 d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or sales proceeds. e) N/A ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. N/A 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: 10/18/13/30/2013 By: /S/ Phillip Goldstein Name: Phillip Goldstein By: /S/ Andrew Dakos Name: Andrew Dakos By: /S/ Steven Samuels Name: Steven Samuels Bulldog Investors, LLC By: /s/ Andrew Dakos Andrew Dakos, Member Footnote 1: The reporting persons disclaim beneficial ownership except to the extent of any pecuniary interest therein.