0000913849-16-000652.txt : 20161102
0000913849-16-000652.hdr.sgml : 20161102
20161102163217
ACCESSION NUMBER: 0000913849-16-000652
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161027
FILED AS OF DATE: 20161102
DATE AS OF CHANGE: 20161102
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FRANKLIN LTD DURATION INCOME TRUST
CENTRAL INDEX KEY: 0001233087
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403
BUSINESS PHONE: 650-312-2000
MAIL ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON LTD DURATION INCOME TRUST
DATE OF NAME CHANGE: 20060111
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON LIMITED DURATION INCOME TRUST
DATE OF NAME CHANGE: 20030718
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON STRATEGIC INCOME TRUST
DATE OF NAME CHANGE: 20030515
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RIVERNORTH CAPITAL PARTNERS, L.P.
CENTRAL INDEX KEY: 0001456771
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21357
FILM NUMBER: 161968279
BUSINESS ADDRESS:
STREET 1: 325 N. LASALLE ST.
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: (312)832-1440
MAIL ADDRESS:
STREET 1: 325 N. LASALLE ST.
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001447578
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21357
FILM NUMBER: 161968280
BUSINESS ADDRESS:
STREET 1: 325 N. LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: 312-832-0409
MAIL ADDRESS:
STREET 1: 325 N. LASALLE STREET
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
FORMER NAME:
FORMER CONFORMED NAME: RIVERNORTH CAPITAL MANAGEMENT, INC.
DATE OF NAME CHANGE: 20081009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RiverNorth Institutional Partners, L.P.
CENTRAL INDEX KEY: 0001480795
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21357
FILM NUMBER: 161968281
BUSINESS ADDRESS:
STREET 1: 325 N. LASALLE ST.
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: 312-832-0426
MAIL ADDRESS:
STREET 1: 325 N. LASALLE ST.
STREET 2: SUITE 645
CITY: CHICAGO
STATE: IL
ZIP: 60654
4
1
form4_110116.xml
OWNERSHIP DOCUMENT
X0306
4
2016-10-27
0
0001233087
FRANKLIN LTD DURATION INCOME TRUST
FTF
0001447578
RIVERNORTH CAPITAL MANAGEMENT, LLC
325 N. LASALLE STREET
SUITE 645
CHICAGO
IL
60654
0
0
1
0
0001456771
RIVERNORTH CAPITAL PARTNERS, L.P.
325 N. LASALLE STREET
SUITE 645
CHICAGO
IL
60654
0
0
1
0
0001480795
RiverNorth Institutional Partners, L.P.
325 N. LASALLE STREET
SUITE 645
CHICAGO
IL
60654
0
0
1
0
Auction Rate Preferred Shares
2016-10-27
4
P
0
24
A
1820
I
By Affiliates
Each of the reporting persons disclaim beneficial ownership of these securities for purposes of Section 16 except to the extent of its pecuniary interest therein.
93.5% of par.
646 Auction Rate Preferred Shares are held by RiverNorth Capital Partners, L.P., 1,165 shares are held by RiverNorth Institutional Partners L.P. and 9 shares are held in a separate account managed by RiverNorth Capital Management, LLC. RiverNorth Capital Management, LLC is the general partner of RiverNorth Capital Partners, L.P. and RiverNorth Institutional Partners, L.P. The Auction Rate Preferred Shares reported herein represent the combined holdings in three series of Auction Rate Preferred Shares, which are treated as one class of securities for purposes of this report.
/s/Marcus Collins, General Counsel and Chief Compliance Officer
2016-11-01