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