0001504304-14-000007.txt : 20140207 0001504304-14-000007.hdr.sgml : 20140207 20140207161433 ACCESSION NUMBER: 0001504304-14-000007 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140207 DATE AS OF CHANGE: 20140207 GROUP MEMBERS: ANDREW DAKOS GROUP MEMBERS: BULLDOG INVESTORS GROUP OF FUNDS GROUP MEMBERS: BULLDOG INVESTORS, LLC GROUP MEMBERS: PHILLIP GOLDSTEIN GROUP MEMBERS: STEVEN SAMUELS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN ASSET INFLATION MANAGEMENT FUND INC. CENTRAL INDEX KEY: 0001283721 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81242 FILM NUMBER: 14584495 BUSINESS ADDRESS: STREET 1: 125 BROAD STREET STREET 2: C/O SALOMON BROTHERS ASSET MANGE CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-291-2556 MAIL ADDRESS: STREET 1: 125 BROAD STREET STREET 2: C/O SALOMON BROTHERS ASSET MANGE CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: SALOMON BROTHERS INFLATION MANAGEMENT FUND INC DATE OF NAME CHANGE: 20040315 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 02/03/14 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] 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 607,713 8. SHARED VOTING POWER 414,244 9. SOLE DISPOSITIVE POWER 607,713 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 414,244 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 1,021,957 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 14.47% 14. TYPE OF REPORTING PERSON IA _______________________________________________________ 1. NAME OF REPORTING PERSON Bulldog Investors Group of Funds 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 607,713 8. SHARED VOTING POWER 0 9. SOLE DISPOSITIVE POWER 607,713 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 607,713 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 8.60% 14. TYPE OF REPORTING PERSON IC ___________________________________________________________ 1. NAME OF REPORTING PERSON Phillip Goldstein 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 607,713 8. SHARED VOTING POWER 414,244 9. SOLE DISPOSITIVE POWER 607,713 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 414,244 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 1,021,957 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 14.47% 14. TYPE OF REPORTING PERSON IN ______________________________________________________________ 1. NAME OF REPORTING PERSON Andrew Dakos 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] 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 607,713 8. SHARED VOTING POWER 414,244 9. SOLE DISPOSITIVE POWER 607,713 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 414,244 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 1,021,957 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 14.47% 14. TYPE OF REPORTING PERSON IN _____________________________________________________________ 1. NAME OF REPORTING PERSON Steven Samuels 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] 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 607,713 8. SHARED VOTING POWER 414,244 9. SOLE DISPOSITIVE POWER 607,713 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 414,244 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 1,021,957 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 14.47% 14. TYPE OF REPORTING PERSON IN ____________________________________________________________ Item 1. SECURITY AND ISSUER This statement constitutes Amendment #5 to the schedule 13d filed November 22, 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-CSRS filed on August 29, 2013, there were 7,062,862 shares of common stock outstanding as of June 30, 2013. The percentages set forth herein were derived using such number. Phillip Goldstein, Andrew Dakos and Steven Samuels own Bulldog Investors, LLC, a registered investment advisor. As of February 6, 2014, Bulldog Investors, LLC is deemed to be the beneficial owner of 1,021,957 shares of IMF (representing 14.47% of IMF's outstanding shares) solely by virtue of Bulldog Investors LLC's power to direct the vote of, and dispose of, these shares. These 1,021,957 shares of IMF include 607,713 shares (representing 8.60% of IMF'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, Full Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd., Full Value Partners, LP, Opportunity Income Plus, LP, and MCM Opportunity Partners, LP (collectively, "Bulldog Investors Funds"). Bulldog Investors Funds may be deemed to constitute a group. All other shares included in the aforementioned 1,021,957 shares of IMF 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 414,244 shares (representing 5.87% of IMF's outstanding shares). (b) Bulldog Investors, LLC has sole power to dispose of and vote 607,7135 shares. Bulldog Investors, LLC has shared power to dispose of and vote 414,244 shares. Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more than 5% of IMF'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 1/13/14 the following shares of IMF were purchased: Date Shares Price 01/13/14 8,542 17.1719 01/14/14 5,300 17.1050 01/15/14 2,407 17.0939 01/16/14 8,499 17.1178 01/17/14 3,100 17.1082 02/03/14 10,750 17.6818 02/03/14 50,000 17.6500 02/06/14 3,200 17.6177 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 Footnote 1: The reporting persons disclaim beneficial ownership except to the extent of any pecuniary interest therein. 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: 02/07/14 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 OPPORTUNITY PARTNERS, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP CALAPASAS WEST PARTNERS, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP FULL VALUE SPECIAL SITUATIONS FUND, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP FULL VALUE OFFSHORE FUND, LTD. By: /s/ Andrew Dakos Andrew Dakos, Director FULL VALUE PARTNERS, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP OPPORTUNITY INCOME PLUS FUND, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP MCM OPPORTUNITY PARTNERS, LP By: /s/ Andrew Dakos Andrew Dakos, Manager of the GP