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, LLC PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
GOLDSTEIN PHILLIP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Dakos Andrew PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
Samuels Steven PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK, NJ 07663 |
 |  X |  |  |
/s/ Phillip Goldstein on behalf of Bulldog Investors, LLC | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Phillip Goldstein | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Andrew Dakos | 02/19/2014 | |
**Signature of Reporting Person | Date | |
/s/ Steven Samuels | 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) | Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of 998,412 shares of SVVC. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
(2) | Andrew Dakos is an owner of Bulldog Investors, LLC. He also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Mr. Dakos disclaims beneficial interest in shares held by such clients, except to the extent of any pecuniary interest therein. |
(3) | Steven Samuels is an owner of Bulldog Investors, LLC. He also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Mr. Samuels disclaims beneficial interest in shares held by such clients, except to the extent of any pecuniary interest therein. |
(4) | Phillip Goldstein is an owner of Bulldog Investors, LLC. He also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Mr. Goldstein disclaims beneficial interest in shares held by such clients, except to the extent of any pecuniary interest therein. |
(5) | Shares are held by Phillip Goldstein. |