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