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LIPSON ARTHUR D 4

Accession 0000921895-09-001896

CIK 0001235511other
View on SEC.govCompany Profile

Filed

Jul 9, 8:00 PM ET

Accepted

Jul 10, 8:20 PM ET

Size

28.2 KB

Accession

0000921895-09-001896

Insider Transaction Report

Form 4
Period: 2009-07-08
MBIA CAPITAL/CLAYMORE MAN DUR INV GRD MUNI FUNDMZF
WESTERN INVESTMENT LLC
10% Owner
Transactions
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-08$11.01/sh−7,000$77,070→ 6,886 total(indirect: By Western Investment Hedged Partners)
    From: 2008-06-25Exp: 2010-05-05→ Common Stock, par value $0.001 (7,000 underlying)
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-08$11.01/sh−6,000$66,060→ 6,000 total(indirect: By Western Investment Total Return Fund)
    From: 2008-05-13Exp: 2010-05-05→ Common Stock, par value $0.001 (6,000 underlying)
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-09$11.15/sh−6,000$66,900→ 0 total(indirect: By Western Investment Total Return Fund)
    From: 2008-05-13Exp: 2010-05-05→ Common Stock, par value $0.001 (6,000 underlying)
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-08$11.01/sh−7,000$77,070→ 7,934 total(indirect: By Western Investment Total Return Ptnrs)
    From: 2008-06-26Exp: 2010-05-05→ Common Stock, par value $0.001 (7,000 underlying)
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-09$11.15/sh−7,934$88,464→ 0 total(indirect: By Western Investment Total Return Ptnrs)
    From: 2008-06-26Exp: 2010-05-05→ Common Stock, par value $0.001 (7,934 underlying)
  • SaleSwap

    Equity Swap (obligation to sell)

    2009-07-09$11.15/sh−6,886$76,779→ 0 total(indirect: By Western Investment Hedged Partners)
    From: 2008-06-25Exp: 2010-05-05→ Common Stock, par value $0.001 (6,886 underlying)
Footnotes (4)
  • [F1]For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, (the "Act") and the Rules promulgated thereunder, as the investment manager of WITRL and the general partner of each of WIHP and WITRP, WILLC may be deemed to beneficially own the shares of common stock underlying the cash settled equity swap contracts entered into between a securities broker ("Broker") and each of WIHP, WITRL and WITRP. As the managing member of WILLC, Mr. Lipson may be deemed to beneficially own the shares of common stock underlying the cash settled equity swap contracts entered into between Broker and WIHP, WITRL and WITRP, respectively. Each of Mr. Lipson and WILLC disclaim such beneficial ownership except to the extent of his or its pecuniary interest therein, if any.
  • [F2]On July 8 and July 9, 2009, WIHP and Broker amended the cash settled equity swap contract originally entered into on June 25, 2008 between Broker and WIHP so as to remove a notional 7,000 and the remaining notional 6,886 shares of common stock of the Issuer, respectively.
  • [F3]On July 8 and July 9, 2009, WITRL and Broker amended the cash settled equity swap contract originally entered into on May 13, 2008 between Broker and WITRL so as to remove a notional 6,000 and the remaining notional 6,000 shares of common stock of the Issuer, respectively.
  • [F4]On July 8 and July 9, 2009, WITRP and Broker amended the cash settled equity swap contract originally entered into on June 26, 2008 between Broker and WITRP so as to remove a notional 7,000 and the remaining notional 7,934 shares of common stock of the Issuer, respectively.

Documents

1 file

Issuer

MBIA CAPITAL/CLAYMORE MAN DUR INV GRD MUNI FUND

CIK 0001235511

→
Entity typeother

Related Parties

1
  • filerCIK 0001257108

Filing Metadata

Form type
4
Filed
Jul 9, 8:00 PM ET
Accepted
Jul 10, 8:20 PM ET
Size
28.2 KB
View on SEC.gov