FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/15/2025 |
3. Issuer Name and Ticker or Trading Symbol
Callodine Specialty Income Fund [ CALIX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class I Shares | 2,500,000(1) | D | |
Class I Shares | 2,500,000(2) | I | By East Asset Management, LLC(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Adam Gusky may be deemed to have voting and dispositive power over shares of the issuer held by East Asset Management, LLC ("EAM") due to his position as chief investment officer of EAM. However, Mr. Gusky does not have any pecuniary interest in those shares and so no shares of the issuer are beneficially owned by Mr. Gusky as determined under Rule 16a-1(a)(2). |
2. These shares are held directly by EAM. Revocable trusts, with Terrence M. Pegula as the trustee having investment control, are the sole members of EAM. As such, Terrence M. Pegula may be deemed to share beneficial ownership of the shares held by EAM. Terrence M. Pegula disclaim any beneficial ownership of the shares held by EAM other than to the extent of any pecuniary interest he may have therein. |
/s/ Gary L. Hagerman, Jr., Chief Financial Officer, on behalf of East Asset Management, LLC | 08/22/2025 | |
/s/ Terrence M. Pegula | 08/22/2025 | |
/s/ Adam Samuel Gusky | 08/22/2025 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |