SEC Form 4: Paloma Partners Management Co sold $2,914,500 worth of Series E Auction Preferred Shares (134 units at $21,750.00), sold $4,219,500 worth of Series A Auction Preferred Shares (194 units at $21,750.00), sold $3,567,000 worth of Series B Auction Preferred Shares (164 units at $21,750.00), sold $7,960,500 worth of Series C Auction Preferred Shares (366 units at $21,750.00) and sold $3,349,500 worth of Series D Auction Preferred Shares (154 units at $21,750.00)
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Finance/Investors Services
Finance
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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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)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/21/2023 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 02/21/2023 | S | 194 | D | $21,750 | 0 | I | See Explanation of Responses(1)(2) | ||
| Series B Auction Preferred Shares | 02/21/2023 | S | 164 | D | $21,750 | 0 | I | See Explanation of Responses(1)(2) | ||
| Series C Auction Preferred Shares | 02/21/2023 | S | 366 | D | $21,750 | 0 | I | See Explanation of Responses(1)(2) | ||
| Series D Auction Preferred Shares | 02/21/2023 | S | 154 | D | $21,750 | 0 | I | See Explanation of Responses(1)(2) | ||
| Series E Auction Preferred Shares | 02/21/2023 | S | 134 | D | $21,750 | 0 | I | See Explanation of Responses(1)(2) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| 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. |
| Paloma Partners Management Company, By: /s/ Douglas W. Ambrose, Executive Vice President | 02/23/2023 | |
| 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 | 02/23/2023 | |
| Paloma International, L.P., By: Paloma Partners Management Company, general partner, By: /s/ Douglas W. Ambrose, Executive Vice President | 02/23/2023 | |
| Paloma Partners Advisors LP, By: Paloma Partners Advisors, Inc., General Partner, By: /s/ Donald S. Sussman, President | 02/23/2023 | |
| Paloma Partners Advisors, Inc., By: /s/ Donald S. Sussman, President | 02/23/2023 | |
| /s/ Gregory Hayt | 02/23/2023 | |
| /s/ Donald S. Sussman | 02/23/2023 | |
| ** 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 Number. | ||