UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bulldog Investors General Partnership PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Opportunity Income Plus LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
OPPORTUNITY PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Calapasas West Partners LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Full Value Special Situations Fund LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Full Value Offshore Fund, Ltd. PARK 80 WEST - PLAZA TWO P250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
FULL VALUE PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
MCM Opportunity Partners LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
STEADY GAIN PARTNERS LP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
MERCURY PARTNERS L P Â |
 |  X |  |  |
/s/ Phillip Goldstein - Manager of the Managing General Partner - Bulldog Investors General Partnership | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Opportunity Income Plus, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Opportunity Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Calapasas West Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Special Situations Fund, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Offshore Fund, Ltd. | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - Full Value Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein - Manager of the General Partner - MCM Opportunity Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Barry Swidler - Member of the General Partner - Steady Gain Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Glenn Goodstein - Member of the General Partner - Mercury Partners, LP | 02/19/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares are held by Bulldog Investors General Partnership. |
(2) | Shares are held by Opportunity Income Plus, LP. |
(3) | Shares are held indirectly by Opportunity Partners, LP through Bulldog Investors General Partnership. |
(4) | Shares are held indirectly by Calapasas West Partners, LP through Bulldog Investors General Partnership. |
(5) | Shares are held indirectly by Full Value Special Situations Fund, LP through Bulldog Investors General Partnership. |
(6) | Shares are held indirectly by Full Value Offshore Fund, Ltd. through Bulldog Investors General Partnership. |
(7) | Shares are held indirectly by Full Value Partners, LP through Bulldog Investors General Partnership. |
(8) | Shares are held by Full Value Partners, LP. |
(9) | Shares are held indirectly by MCM Opportunity Partners, LP through Bulldog Investors General Partnership. |
(10) | Shares are held indirectly by Steady Gain Partners, LP through Bulldog Investors General Partnership. |
(11) | Shares are held indirectly by Mercury Partners, LP through Bulldog Investors General Partnership. |