0001504304-14-000025.txt : 20140626
0001504304-14-000025.hdr.sgml : 20140626
20140620153432
ACCESSION NUMBER: 0001504304-14-000025
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140620
DATE AS OF CHANGE: 20140620
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: 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: 14932705
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 - PLAZA TWO
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 - PLAZA TWO
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
6/17/14
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
419,746
8. SHARED VOTING POWER
305,515
9. SOLE DISPOSITIVE POWER
419,746
_______________________________________________________
10. SHARED DISPOSITIVE POWER
305,515
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
725,261(Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
12.23%
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
419,746
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
419,746
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
419,746
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
7.08%
14. TYPE OF REPORTING PERSON
IC
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
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
419,746
8. SHARED VOTING POWER
305,515
9. SOLE DISPOSITIVE POWER
419,746
_______________________________________________________
10. SHARED DISPOSITIVE POWER
305,515
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
725,261(Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
12.23%
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
419,746
8. SHARED VOTING POWER
305,515
9. SOLE DISPOSITIVE POWER
419,746
_______________________________________________________
10. SHARED DISPOSITIVE POWER
305,515
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
725,261(Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
12.23%
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
419,746
8. SHARED VOTING POWER
305,515
9. SOLE DISPOSITIVE POWER
419,746
_______________________________________________________
10. SHARED DISPOSITIVE POWER
305,515
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
725,261(Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
12.23%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #4 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
As per the N-CSR filed on June 6, 2014, there were 5,930,400 shares
outstanding as of March 31, 2014. The percentages set forth herein were
derived using such number. Phillip Goldstein, Andrew Dakos and Steven
Samuels own Bulldog Investors, LLC, a registered investment adviser.
As of 6/20/14, Bulldog Investors, LLC is deemed to be the beneficial
owner of 725,261 shares of HSA (representing 12.23% 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 725,261 shares of HSA include
419,746 shares (representing 7.08% 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 725,261 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 305,515
shares (representing 5.15% of HSA's outstanding shares).
c) During the last 60 days the following shares of HSA were sold:
Date Shares Price
06/12/14 (32,204) 6.9501
06/13/14 (11,600) 6.9305
06/16/14 (7,265) 6.9506
06/17/14 (9,286) 6.8858
06/18/14 (1,800) 6.9028
06/19/14 (110) 6.9000
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: 6/20/14
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