0001398344-17-003938.txt : 20170327 0001398344-17-003938.hdr.sgml : 20170327 20170327122344 ACCESSION NUMBER: 0001398344-17-003938 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170322 FILED AS OF DATE: 20170327 DATE AS OF CHANGE: 20170327 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: 17714660 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: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 17714666 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 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: 17714663 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: 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: 17714659 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: 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: 17714658 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: 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: 17714664 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: 17714667 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: 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: 17714661 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: Opportunity Income Plus LP CENTRAL INDEX KEY: 0001581172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21680 FILM NUMBER: 17714665 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: 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: 17714662 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 4 1 fp0024807_4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-22 1 0001310445 Virtus Total Return Fund DCA 0001364773 Bulldog Investors General Partnership PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., STE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001067621 GOLDSTEIN PHILLIP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001581172 Opportunity Income Plus LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001581073 MCM 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 0001164363 FULL VALUE PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 1 See Explanation of Responses 0001580881 Calapasas West Partners LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., 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 0000812885 MERCURY PARTNERS L P 5650 EL CAMINO REAL SUITE 155 CARLSBAD CA 92008 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 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 Common Stock 2017-03-22 4 S 0 2636634 4.8707 D 1553860 D This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). 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 March 23, 2017. 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 were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017. /s/ Phillip Goldstein on behalf of Full Value Partners, LP 2017-03-27 /s/ Phillip Goldstein on behalf of Opportunity Income Plus, LP 2017-03-27 /s/ Phillip Goldstein 2017-03-27 /s/ Phillip Goldstein on behalf of Mercury Partners, LP 2017-03-27 /s/ Phillip Goldstein on behalf of Full Value Special Situations Fund, LP 2017-03-27 /s/ Phillip Goldstein on behalf of MCM Opportunities Partners LP 2017-03-27 /s/ Phillip Goldstein on behalf of Calapasas West Partners LP 2017-03-27 /s/ Phillip Goldstein on behalf of Opportunity Partners LP 2017-03-27 /s/ Phillip Goldstein on behalf of Bulldog Investors General Partnership 2017-03-27 /s/ Phillip Goldstein on behalf of Steady Gain Partners, LP 2017-03-27