Form 4 - Statement of changes in beneficial ownership of securities
September 07 2023 - 2:33PM
Edgar (US Regulatory)
SEC Form 4
| 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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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| BROOKFIELD PUBLIC SECURITIES GROUP LLC |
| 225 LIBERTY STREET, SUITE 4300 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Brookfield Real Assets Income Fund Inc.
[ RA ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
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PORTFOLIO MANAGER
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3. Date of Earliest Transaction
(Month/Day/Year)
08/30/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
08/30/2023 |
|
P |
|
294 |
A |
$13.4482
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294 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
/s/ Craig Ruckman, Attorney-in-Fact |
09/07/2023 |
|
** 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. |
POWER OF ATTORNEY
Gaal Surugeon
The undersigned hereby constitutes
and appoints the individuals named on Schedule A attached hereto (each, an “Attorney-in-fact” and collectively, the “Attorneys-in-fact”)
and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, the undersigned's
true and lawful attorney-in-fact to:
| 1. | as may be required, prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the United
States Securities and Exchange Commission (the “SEC”) a Form ID Application Acknowledgement on the Electronic Data Gathering,
Analysis, and Retrieval system (“EDGAR”) of the SEC, including amendments thereto, and any other documents necessary or appropriate
to obtain EDGAR codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Sections 13(d),
13(g) or Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”), or any rule or regulation of the SEC;
and |
| 2. | prepare, submit, execute for and on behalf of the undersigned, (i) Schedules 13D and 13G (and any amendments thereto) in accordance
with Sections 13(d) and 13(g) of the Act, and (ii) Forms 3, 4 and 5 (and any amendments thereto) in accordance with Section 16(a) the
Act and the rules and regulations thereunder for and on behalf of the undersigned, in the undersigned’s capacity as a reporting
person, under Section 13 or Section 16, of the applicable registered investment companies (and any successor companies) listed on Schedule
A attached hereto, as amended from time to time, and any other registered investment company affiliated with or established by, or which
is advised or administered by, Brookfield Public Securities Group LLC or any successor firm in a similar such capacity, for which the
undersigned becomes a reporting person, under Section 13 or Section 16 (each, a “Fund”); and |
| 3. | do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any
such Schedule 13D, Schedule 13G, Form 3, 4, or 5, or other form or report, complete and execute any amendment or amendments thereto, and
timely file such form with the SEC and any stock exchange or similar authority; and |
| 4. | seek or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the
securities of any such Fund from any broker or financial institution, and the undersigned hereby authorizes any such person to release
such information to each of the Attorneys-in-fact and approves and ratifies any such release of information; and |
| 5. | take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such Attorney-in-fact, may
be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by
such Attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms
and conditions as such Attorney-in-fact may approve in such Attorney-in-fact's discretion. |
The undersigned hereby grants
to each such Attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming
all that such Attorney-in-fact, or such Attorney-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of
this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing Attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming, nor is any Fund assuming, any of the undersigned's responsibilities
to comply with Section 13 and Section 16 of the Act.
This Power of Attorney shall
remain in full force and effect until (a) the undersigned is no longer required to file Schedules 13D and 13G and Forms 3, 4, and 5 with
respect to the undersigned's holdings of and transactions in securities issued by any Fund, unless earlier revoked by the undersigned
in a signed writing delivered to the foregoing Attorneys-in-fact or (b) only with respect to each Attorney-in-fact, as applicable, at
the time which such Attorney-in-fact is no longer employed by Brookfield Asset Management Inc., Brookfield Public Securities Group LLC,
or any other registered investment company affiliated with, established by, or successor to, the foregoing entities (“Brookfield”).
For the avoidance of doubt, the termination or lapse of employment of any Attorney-in-fact with Brookfield shall not affect the validity
of this Power of Attorney with respect to the remaining Attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned
has caused this Power of Attorney to be executed as of this 6th day of September, 2023.
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/s/ Gaal Surugeon |
| |
|
| |
Gaal Surugeon |
SCHEDULE A
FUND NAME AND SYMBOL
| 1. | Brookfield Real Assets Income Fund Inc. (RA) |
INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT,
WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION
POWER OF ATTORNEY
Gaal Surugeon
The undersigned hereby constitutes
and appoints the individuals named on Schedule A attached hereto (each, an “Attorney-in-fact” and collectively, the “Attorneys-in-fact”)
and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, the undersigned's
true and lawful attorney-in-fact to:
| 1. | as may be required, prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the United
States Securities and Exchange Commission (the “SEC”) a Form ID Application Acknowledgement on the Electronic Data Gathering,
Analysis, and Retrieval system (“EDGAR”) of the SEC, including amendments thereto, and any other documents necessary or appropriate
to obtain EDGAR codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Sections 13(d),
13(g) or Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”), or any rule or regulation of the SEC;
and |
| 2. | prepare, submit, execute for and on behalf of the undersigned, (i) Schedules 13D and 13G (and any amendments thereto) in accordance
with Sections 13(d) and 13(g) of the Act, and (ii) Forms 3, 4 and 5 (and any amendments thereto) in accordance with Section 16(a) the
Act and the rules and regulations thereunder for and on behalf of the undersigned, in the undersigned’s capacity as a reporting
person, under Section 13 or Section 16, of the applicable registered investment companies (and any successor companies) listed on Schedule
A attached hereto, as amended from time to time, and any other registered investment company affiliated with or established by, or which
is advised or administered by, Brookfield Public Securities Group LLC or any successor firm in a similar such capacity, for which the
undersigned becomes a reporting person, under Section 13 or Section 16 (each, a “Fund”); and |
| 3. | do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any
such Schedule 13D, Schedule 13G, Form 3, 4, or 5, or other form or report, complete and execute any amendment or amendments thereto, and
timely file such form with the SEC and any stock exchange or similar authority; and |
| 4. | seek or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the
securities of any such Fund from any broker or financial institution, and the undersigned hereby authorizes any such person to release
such information to each of the Attorneys-in-fact and approves and ratifies any such release of information; and |
| 5. | take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such Attorney-in-fact, may
be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by
such Attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms
and conditions as such Attorney-in-fact may approve in such Attorney-in-fact's discretion. |
The undersigned hereby grants
to each such Attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming
all that such Attorney-in-fact, or such Attorney-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of
this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing Attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming, nor is any Fund assuming, any of the undersigned's responsibilities
to comply with Section 13 and Section 16 of the Act.
This Power of Attorney shall
remain in full force and effect until (a) the undersigned is no longer required to file Schedules 13D and 13G and Forms 3, 4, and 5 with
respect to the undersigned's holdings of and transactions in securities issued by any Fund, unless earlier revoked by the undersigned
in a signed writing delivered to the foregoing Attorneys-in-fact or (b) only with respect to each Attorney-in-fact, as applicable, at
the time which such Attorney-in-fact is no longer employed by Brookfield Asset Management Inc., Brookfield Public Securities Group LLC,
or any other registered investment company affiliated with, established by, or successor to, the foregoing entities (“Brookfield”).
For the avoidance of doubt, the termination or lapse of employment of any Attorney-in-fact with Brookfield shall not affect the validity
of this Power of Attorney with respect to the remaining Attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned
has caused this Power of Attorney to be executed as of this 6th day of September, 2023.
| |
/s/ Gaal Surugeon |
| |
|
| |
Gaal Surugeon |
SCHEDULE A
FUND NAME AND SYMBOL
| 1. | Brookfield Real Assets Income Fund Inc. (RA) |
INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT,
WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION
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