0001144204-16-131081.txt : 20161102 0001144204-16-131081.hdr.sgml : 20161102 20161102150407 ACCESSION NUMBER: 0001144204-16-131081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161102 DATE AS OF CHANGE: 20161102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CORNERSTONE TOTAL RETURN FUND INC CENTRAL INDEX KEY: 0000033934 IRS NUMBER: 132727013 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O AST FUND SOLUTIONS STREET 2: 48 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 866-668-6558 MAIL ADDRESS: STREET 1: C/O AST FUND SOLUTIONS STREET 2: 48 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: EIS FUND INC DATE OF NAME CHANGE: 20020109 FORMER COMPANY: FORMER CONFORMED NAME: EXCELSIOR INCOME SHARES INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRADSHAW RALPH W CENTRAL INDEX KEY: 0001107682 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02363 FILM NUMBER: 161967565 MAIL ADDRESS: STREET 1: 1075 HENDERSONVILLE ROAD STREET 2: SUITE 250 CITY: ASHEVILLE STATE: NC ZIP: 28803 4 1 v452004_4.xml OWNERSHIP DOCUMENT X0306 4 2016-10-31 0 0000033934 CORNERSTONE TOTAL RETURN FUND INC CRF 0001107682 BRADSHAW RALPH W 1075 HENDERSONVILLE ROAD SUITE 250 ASHEVILLE NC 28803 1 1 0 0 President Common Stock 2016-10-31 4 X 0 46 13.69 A 48 D Common Stock 2016-10-31 4 X 0 1024 13.69 A 7020 I By IRA Non-transferable rights were issued to stockholders of record as of September 23, 2016 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock, which purchase is reflected in this filing. The total shares in Item 5 includes 1,278 shares acquired through the Issuer's dividend reinvestment plan. /s/ Ralph W. Bradshaw 2016-11-02