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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Rivus Bond Fund | NYSE:BDF | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 18.92 | 0.00 | 01:00:00 |
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
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
MBIA INC |
2. Issuer Name
and
Ticker or Trading Symbol
RIVUS BOND FUND [ BDF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __ X __ Other (specify below) Parent of Inv. Adv. See Foot.1 |
113 KING STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
ARMONK, NY 10504 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ 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 | ||||||
Shares of Beneficial Interest | 9/21/2011 | S | 1199 | D | $18.45 | 321606 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 1800 | D | $18.46 | 319806 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 2472 | D | $18.47 | 317334 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 100 | D | $18.48 | 317234 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 1400 | D | $18.50 | 315834 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 464 | D | $18.505 | 315370 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 100 | D | $18.5075 | 315270 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 746 | D | $18.51 | 314524 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 300 | D | $18.515 | 314224 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 2483 | D | $18.53 | 311741 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 1900 | D | $18.54 | 309841 | D | |||
Shares of Beneficial Interest | 9/21/2011 | S | 136 | D | $18.55 | 309705 | D | |||
Shares of Beneficial Interest | 9/22/2011 | S | 10370 | D | $18.45 | 299335 | D | |||
Shares of Beneficial Interest | 9/22/2011 | S | 500 | D | $18.4525 | 298835 | D | |||
Shares of Beneficial Interest | 9/22/2011 | S | 100 | D | $18.455 | 298735 | D | |||
Shares of Beneficial Interest | 9/22/2011 | S | 100 | D | $18.46 | 298635 | D | |||
Shares of Beneficial Interest | 9/23/2011 | S | 8000 | D | $18.45 | 290635 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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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: |
Remarks:
This filing is made on behalf of MBIA Inc. ("MBIA"). Cutwater Investor Services Corp., the issuer's investment adviser, is an indirect wholly owned subsidiary of MBIA. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
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||||
Director | 10% Owner | Officer | Other | ||
MBIA INC
113 KING STREET ARMONK, NY 10504 |
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|
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Parent of Inv. Adv. See Foot.1 |
Signatures
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/s/Gail D. Makode, AVP, CCO & Asst. Secy. of MBIA Inc. | 9/23/2011 | |
** 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. |
1 Year Rivus Bond Fund Chart |
1 Month Rivus Bond Fund Chart |
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