Statement of Changes in Beneficial Ownership (4)
23 Février 2023 - 10:36PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Paloma Partners Management Co |
2. Issuer Name and Ticker or Trading Symbol
EATON VANCE LTD DURATION INCOME FUND
[
EVV
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
TWO AMERICAN LANE, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2023 |
|
(Street)
GREENWICH, CT 06836
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Series A Auction Preferred Shares | 2/21/2023 | | S | | 194 | D | $21750 | 0 | I | See Explanation of Responses (1)(2) |
| Series B Auction Preferred Shares | 2/21/2023 | | S | | 164 | D | $21750 | 0 | I | See Explanation of Responses (1)(2) |
| Series C Auction Preferred Shares | 2/21/2023 | | S | | 366 | D | $21750 | 0 | I | See Explanation of Responses (1)(2) |
| Series D Auction Preferred Shares | 2/21/2023 | | S | | 154 | D | $21750 | 0 | I | See Explanation of Responses (1)(2) |
| Series E Auction Preferred Shares | 2/21/2023 | | S | | 134 | D | $21750 | 0 | I | See Explanation of Responses (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. |
| (2) | Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Paloma Partners Management Co
TWO AMERICAN LANE
GREENWICH, CT 06836 |
| X |
|
|
Sunrise Partners Limited Partnership
MAPLES CORPORATE SERVICES LIMITED
P.O. BOX 309, UGLAND HOUSE
GRAND CAYMAN, E9 KY1-1104 |
| X |
|
|
PALOMA INTERNATIONAL L P
MAPLES CORPORATE SERVICES LIMITED
P.O. BOX 309, UGLAND HOUSE
GRAND CAYMAN, E9 KY1-1104 |
| X |
|
|
Paloma Partners Advisors LP
888 E. LAS OLAS BLVD.
FORT LAUDERDALE, FL 33301 |
| X |
|
|
PALOMA PARTNERS ADVISORS, INC.
C/O PALOMA PARTNERS ADVISORS LP
888 E. LAS OLAS BLVD.
FORT LAUDERDALE, FL 33301 |
| X |
|
|
Hayt Gregory S.
C/O PALOMA PARTNERS MANAGEMENT COMPANY
TWO AMERICAN LANE
GREENWICH, CT 06836 |
| X |
|
|
SUSSMAN S DONALD
C/O PALOMA PARTNERS ADVISORS LP
888 E. LAS OLAS BLVD.
FT. LAUDERDALE, FL 33301 |
| X |
|
|
Signatures
|
| Paloma Partners Management Company, By: /s/ Douglas W. Ambrose, Executive Vice President | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| Sunrise Partners Limited Partnership, By: Paloma International, L.P., parent holder, By: Paloma Partners Management Company, general partner, By: /s/ Douglas W. Ambrose, Executive Vice President | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| Paloma International, L.P., By: Paloma Partners Management Company, general partner, By: /s/ Douglas W. Ambrose, Executive Vice President | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| Paloma Partners Advisors LP, By: Paloma Partners Advisors, Inc., General Partner, By: /s/ Donald S. Sussman, President | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| Paloma Partners Advisors, Inc., By: /s/ Donald S. Sussman, President | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| /s/ Gregory Hayt | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| /s/ Donald S. Sussman | | 2/23/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
Eaton Vance Limited Dura... (AMEX:EVV)
Graphique Historique de l'Action
De Mai 2024 à Juin 2024
Eaton Vance Limited Dura... (AMEX:EVV)
Graphique Historique de l'Action
De Juin 2023 à Juin 2024
