3//SEC Filing
NASSAU ASSET MANAGEMENT LLC 3
Accession 0001818695-20-000003
CIK 0001504545other
Filed
Jul 23, 8:00 PM ET
Accepted
Jul 24, 5:36 PM ET
Size
9.5 KB
Accession
0001818695-20-000003
Insider Transaction Report
Form 3
Gass Phillip J.
Other
Holdings
- 0(indirect: SEE FOOTNOTE)
Series D Mandatory Redeemable Preferred Stock
- 0(indirect: SEE FOOTNOTE)
Series E Mandatory Redeemable Preferred Stock
NASSAU ASSET MANAGEMENT LLC
10% OwnerOther
Holdings
- 0(indirect: SEE FOOTNOTE)
Series D Mandatory Redeemable Preferred Stock
- 0(indirect: SEE FOOTNOTE)
Series E Mandatory Redeemable Preferred Stock
Footnotes (5)
- [F1]The shares of Series D Mandatory Redeemable Preferred Stock reported in this Form 3 (the "Series D Shares") are held as follows: (i) Nassau Life Insurance Company ("NNY") is the registered holder of 100,000 Series D Shares, (ii) Nassau Life and Annuity Company ("NLA") is the registered holder of 200,000 Series D Shares and (iii) PHL Variable Insurance Company ("PHL") is the registered holder of 200,000 shares of Series D Mandatory Preferred Stock.
- [F2]The shares of Series E Mandatory Redeemable Preferred Stock reported in this Form 3 (the "Series E Shares" and together with the Series D Shares, the "Subject Securities") are held as follows: (i) NNY is the registered holder of 400,000 Series E Shares, and (ii) NLA is the registered holder of 300,000 Series E Shares.
- [F3]Nassau Asset Management LLC ("Namco") serves as Investment Manager of NNY, NLA, and PHL (the "Insurance Companies") pursuant to separate Investment Management Agreements between Namco, on the one hand, and each of the Insurance Companies, respectively, on the other hand (the "IMAs"). Under the terms of the IMAs, Namco has shared voting and investment power over the Subject Securities. As Investment Manager of the Insurance Companies, Namco may be deemed a beneficial owner, for purposes of Section 13(d) of the Act, of the Subject Securities. Namco disclaims beneficial ownership of the Subject Securities other than for the purpose of determining their respective obligations under Section 13(d) of the Act, and the filing of this report shall not be deemed an admission that Namco is or was the beneficial owner of the Subject Securities for any other purpose. Namco disclaims any pecuniary interest in the Subject Securities.
- [F4]Phillip J. Gass ("Mr. Gass") indirectly owns Subject Securities and, as Director, Chairman and Chief Executive Officer of each of the Insurance Companies and Namco, has voting and investment power over securities held in the portfolio of each Insurance Company, including the Subject Securities. Therefore Mr. Gass may be deemed a beneficial owner, for purposes of Section 13(d) of the Act, of the Subject Securities. Mr. Gass disclaims beneficial ownership of the Subject Securities other than for the purpose of determining their respective obligations under Section 13(d) of the Act, and the filing of this report shall not be deemed an admission that Mr. Gass is or was the beneficial owner of the Subject Securities for any other purpose. Mr. Gass disclaims any pecuniary interest in the Subject Securities.
- [F5]The Reporting Persons disclaim group status and neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that they have formed a group.
Documents
Issuer
BrandywineGLOBAL-Global Income Opportunities Fund Inc
CIK 0001504545
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001818695
Filing Metadata
- Form type
- 3
- Filed
- Jul 23, 8:00 PM ET
- Accepted
- Jul 24, 5:36 PM ET
- Size
- 9.5 KB