-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OuVMQZ45kudR/IgUW+5XYV3dC+BfHLi3ezsprapnXaRJbDyKFiiXuYr7i2+NX9V2 EcbTp+BHIi/vrnfIGTtH0g== 0001364773-09-000006.txt : 20090421 0001364773-09-000006.hdr.sgml : 20090421 20090421153502 ACCESSION NUMBER: 0001364773-09-000006 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090421 DATE AS OF CHANGE: 20090421 GROUP MEMBERS: ANDREW DAKOS GROUP MEMBERS: BULLDOG INVESTORS GENERAL PARTNERSHIP GROUP MEMBERS: PHILLIP GOLDSTEIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FRANKLIN UNIVERSAL TRUST CENTRAL INDEX KEY: 0000833040 IRS NUMBER: 943077602 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79684 FILM NUMBER: 09761581 BUSINESS ADDRESS: STREET 1: ONE FRANKLIN PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94403-1906 BUSINESS PHONE: 650-312-2000 MAIL ADDRESS: STREET 1: ONE FRANKLIN PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94403-1906 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Bulldog Investors General Partnership CENTRAL INDEX KEY: 0001364773 IRS NUMBER: 562585535 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 BUSINESS PHONE: 9147475262 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 SC 13D/A 1 thirda.txt DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT N/A 1. NAME OF REPORTING PERSON Bulldog Investors General Partnership and 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 516,098 8. SHARED VOTING POWER 299,932 9. SOLE DISPOSITIVE POWER 816,030 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 816,030 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] 13. PERCENT OF CLASS REPRESENTED BY ROW 11 3.25% 14. TYPE OF REPORTING PERSON IA This statement constitutes amendment No.5 to the Schedule 13D filed by Bulldog Investors, Phillip Goldstein and Andrew Dakos on March 16, 2006. Except as specifically set forth herein, the Schedule 13D remains unmodified. Item 5 is amended as follows: ITEM 5. INTEREST IN SECURITIES OF THE ISSUER As per N-CSR filed on 4/30/08 there were 25,131,894 shares of FT outstanding . The percentage set forth in item 5 was derived using such number. a) Bulldog Investors, and Phillip Goldstein beneficially own an aggregate of 816,030 shares of FT or 3.25% of the outstanding shares. b) Power to vote and dispose of securities resides either with Mr. Goldstein or clients. c) During the past 60 days the following shares of FT were sold: Date Shares Price 02/20/09 6,000 $3.9900 02/23/09 3,000 $3.9600 02/24/09 13,100 $3.9225 02/25/09 8,000 $4.0000 02/26/09 8,200 $3.9539 02/27/09 3,050 $3.9200 03/02/09 700 $3.8500 03/06/09 500 $3.4500 03/09/09 3,300 $3.3500 03/10/09 7,500 $3.4393 03/11/09 12,000 $3.5208 03/12/09 1,900 $3.6000 03/12/09 10,100 $3.5900 03/13/09 2,267 $3.6039 03/16/09 25,000 $3.6694 03/17/09 3,100 $3.6713 03/18/09 25,000 $3.6650 03/18/09 300 $3.7000 03/19/09 10,000 $3.7076 03/20/09 16,900 $3.7040 03/23/09 25,000 $3.8304 03/24/09 70,300 $3.8145 03/25/09 29,700 $3.8511 03/25/09 5,000 $3.8500 03/26/09 15,000 $3.8821 03/26/09 10,000 $3.8500 03/26/09 3,500 $3.8900 03/27/09 10,300 $3.8532 03/31/09 17,435 $3.8071 04/01/09 47,600 $3.7965 04/02/09 10,000 $3.8600 04/02/09 28,800 $3.8581 04/03/09 5,900 $3.9000 04/03/09 46,000 $3.8829 04/06/09 7,185 $3.8500 04/07/09 6,900 $3.8196 04/08/09 21,563 $3.8615 04/09/09 9,932 $3.9245 04/13/09 9,835 $3.9108 04/14/09 18,230 $3.9094 04/15/09 17,819 $3.9568 04/16/09 50,000 $3.9910 04/17/09 48,300 $4.0349 04/20/09 3,000 $4.0000 d) Beneficiaries of managed accounts are entitled to receive any dividends or sales proceeds. e) NA ITEM 7. MATERIAL TO BE FILED AS EXHIBITS NA 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: 4/21/2009 By: /s/ Phillip Goldstein Name: Phillip Goldstein President, Kimball and Winthrop, Inc. Managing General Partner, BIGP -----END PRIVACY-ENHANCED MESSAGE-----