0001398344-16-018339.txt : 20160912 0001398344-16-018339.hdr.sgml : 20160912 20160912095055 ACCESSION NUMBER: 0001398344-16-018339 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160908 FILED AS OF DATE: 20160912 DATE AS OF CHANGE: 20160912 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Virtus Total Return Fund CENTRAL INDEX KEY: 0001310445 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: 800-248-7971 MAIL ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: DCA Total Return Fund DATE OF NAME CHANGE: 20090421 FORMER COMPANY: FORMER CONFORMED NAME: Dividend Capital Realty Income Allocation Fund DATE OF NAME CHANGE: 20041202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERCURY PARTNERS L P CENTRAL INDEX KEY: 0000812885 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880264 BUSINESS ADDRESS: STREET 1: 5650 EL CAMINO REAL STREET 2: SUITE 155 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 310-268-2625 MAIL ADDRESS: STREET 1: 5650 EL CAMINO REAL STREET 2: SUITE 155 CITY: CARLSBAD STATE: CA ZIP: 92008 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FULL VALUE PARTNERS LP CENTRAL INDEX KEY: 0001164363 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880266 BUSINESS ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Full Value Special Situations Fund LP CENTRAL INDEX KEY: 0001580999 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880267 BUSINESS ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 881-7100 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bulldog Investors General Partnership CENTRAL INDEX KEY: 0001364773 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880269 BUSINESS ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVENUE STREET 2: SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201-556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVENUE STREET 2: SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calapasas West Partners LP CENTRAL INDEX KEY: 0001580881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880270 BUSINESS ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 881-7100 MAIL ADDRESS: STREET 1: PARK 80 WEST, 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OPPORTUNITY PARTNERS LP CENTRAL INDEX KEY: 0000896017 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880268 BUSINESS ADDRESS: STREET 1: PARK 80 WEST - PLAZA TWO STREET 2: 250 PEHLE AVE., SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST - PLAZA TWO STREET 2: 250 PEHLE AVE., SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 FORMER NAME: FORMER CONFORMED NAME: OPPORTUNITY PARTNERS L P DATE OF NAME CHANGE: 19980303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEADY GAIN PARTNERS LP CENTRAL INDEX KEY: 0001316669 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880265 BUSINESS ADDRESS: STREET 1: 10 WENWOOD DRIVE CITY: BROOKVILLE STATE: NY ZIP: 11545 BUSINESS PHONE: 7183837000 MAIL ADDRESS: STREET 1: 10 WENWOOD DRIVE CITY: BROOKVILLE STATE: NY ZIP: 11545 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCM Opportunity Partners LP CENTRAL INDEX KEY: 0001581073 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 161880271 BUSINESS ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 881-7100 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE., STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 4 1 fp0021547_4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-08 0 0001310445 Virtus Total Return Fund DCA 0001580999 Full Value Special Situations Fund LP PARK 80 WEST 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001164363 FULL VALUE PARTNERS LP PARK 80 WEST 250 PEHLE AVE. SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001316669 STEADY GAIN PARTNERS LP 10 WENWOOD DRIVE BROOKVILLE NY 11545 0 0 1 1 See Explanation of Responses 0000812885 MERCURY PARTNERS L P 5650 EL CAMINO REAL SUITE 155 CARLSBAD CA 92008 0 0 1 1 See Explanation of Responses 0001581073 MCM Opportunity Partners LP PARK 80 WEST 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001580881 Calapasas West Partners LP PARK 80 WEST, 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001364773 Bulldog Investors General Partnership PARK 80 WEST, 250 PEHLE AVENUE SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0000896017 OPPORTUNITY PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses Common Stock 787622 D Common Stock 300035 D Common Stock 81994 D Common Stock 820600 D Common Stock 578590 D Common Stock 368316 D Common Stock 2016-09-08 4 P 0 98223 4.6573 A 546800 D Common Stock 2016-09-09 4 P 0 35276 4.5949 A 582076 D Common Stock 140885 D This Form 4 is filed jointly by Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, Bulldog Investors General Partnership, MCM Opportunity Partners, LP, Full Value Offshore Fund, Ltd., Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two related reports related to the same transaction(s) for the Section 13(d) group being filed with the Securities and Exchange Commission. Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on May 23, 2016. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. Shares of Common Stock beneficially owned by Opportunity Partners, LP. Shares of Common Stock beneficially owned by Calapasas West Partners, LP. Shares of Common Stock beneficially owned by Full Value Special Situations Fund, LP. Shares of Common Stock beneficially owned by Full Value Partners, LP. Shares of Common Stock beneficially owned by Steady Gain Partners, LP. Shares of Common Stock beneficially owned by Mercury Partners, LP. Shares of Common Stock beneficially owned by Bulldog Investors General Partnership. The general partners of Bulldog Investors General Partnership include Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP and MCM Opportunity Partners. Each such general partner disclaims beneficial ownership in such shares except to the extent of its pecuniary interest therein. Shares of Common Stock beneficially owned by MCM Opportunity Partners, LP. /s/ Phillip Goldstein - Manager of the General Partner - Opportunity Partners, LP 2016-09-12 /s/ Stephanie Darling, as attorney-in-fact for Barry Swidler - Managing Member of the General Partner - Steady Gain Partners, LP 2016-09-12 /s/ Stephanie Darling, as attorney-in-fact for Glenn Goodstein - Member of the General Partner - Mercury Partners, LP 2016-09-12 /s/ Phillip Goldstein - Manager of the Managing General Partner - Bulldog Investors General Partnership 2016-09-12 /s/ Phillip Goldstein - Manager of the General Partner - MCM Opportunity Partners, LP 2016-09-12 /s/ Phillip Goldstein - Manager of the General Partner - Full Value Special Situations Fund, LP 2016-09-12 /s/ Phillip Goldstein - Manager of the General Partner - Full Value Partners, LP 2016-09-12 /s/ Phillip Goldstein - Manager of the General Partner - Calapasas West Partners, LP 2016-09-12