0001242538-14-000001.txt : 20140624 0001242538-14-000001.hdr.sgml : 20140624 20140605133253 ACCESSION NUMBER: 0001242538-14-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140605 DATE AS OF CHANGE: 20140605 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKFIELD TOTAL RETURN FUND INC CENTRAL INDEX KEY: 0000851169 IRS NUMBER: 132529369 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: BROOKFIELD PLACE STREET 2: 250 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10281-1023 BUSINESS PHONE: 212-549-8328 MAIL ADDRESS: STREET 1: BROOKFIELD PLACE STREET 2: 250 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10281-1023 FORMER COMPANY: FORMER CONFORMED NAME: HELIOS TOTAL RETURN FUND INC DATE OF NAME CHANGE: 20090107 FORMER COMPANY: FORMER CONFORMED NAME: HYPERION BROOKFIELD TOTAL RETURN FUND INC DATE OF NAME CHANGE: 20070620 FORMER COMPANY: FORMER CONFORMED NAME: HYPERION TOTAL RETURN FUND INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DRAKE RODMAN L CENTRAL INDEX KEY: 0001242538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05820 FILM NUMBER: 14893167 MAIL ADDRESS: STREET 1: C/O BROOKFIELD INVESTMENT MANAGEMENT INC STREET 2: BROOKFIELD PLACE, 250 VESEY ST, 15TH FL CITY: NEW YORK STATE: NY ZIP: 10281-1023 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-06-05 0 0000851169 BROOKFIELD TOTAL RETURN FUND INC HTR 0001242538 DRAKE RODMAN L C/O BROOKFIELD INVESTMENT MANAGEMENT INC BROOKFIELD PLACE, 250 VESEY ST, 15TH FL NEW YORK NY 10281-1023 1 0 0 0 Common Stock 2014-06-05 4 P 0 390 24.531 A 6711.6282 I Parent of Philip L. Drake Common Stock 2014-06-05 4 P 0 610 24.531 A 7321.6282 I Parent of Stephan R. Drake Philip L. Drake Trust Total shares own by the Trust is 1,152.3906 after this filing Stephan R. Drake Trust Total Shares own by the Trust is 1,372.3906 after this filing /s/Waheed Olowa, on behalf of Rodman L. Drake 2014-06-05