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SCHEDULE Filed 2025-07-11 Event 2025-07-09 SEC 0001213900-25-063418 →

Ocean Capital LLC Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc.

Stake: 4.60% Shares: 1,405,171 CUSIP: 87677F105 Class: Common Shares, $0.01 par value

Item 4 — Purpose of Transaction

Item 4 is hereby supplemented to add the following paragraphs: On July 9, 2025, Ocean Capital, Mr. Hawk and the 2025 Nominees (collectively, the "2025 Participants") filed a definitive proxy statement and an accompanying BLUE proxy card with the SEC in connection with their solicitation of proxies for the 2025 Annual Meeting of stockholder (the "2025 Annual Meeting"). At the 2025 Annual Meeting, the 2025 Participants will seek stockholder approval of Ocean Capital's proposals to (i) elect the 2025 Nominees, consisting of Brent D. Rosenthal and Jose R. Izquierdo II, to serve as Class III directors on the Board, until their terms expire at the Issuer's 2028 annual meeting of stockholders or until their respective successors are duly elected and qualified, (ii) repeal any provision of, or amendment to, the Issuer's Amended and Restated Bylaws (the "Bylaws") adopted by the Board without the approval of the Issuer's stockholders subsequent to July 9, 2021, (iii) amend Article II, Section 8 of the Issuer's Bylaws to lower the quorum threshold for stockholder meetings from one-half to one-third of the outstanding shares entitled to vote and (iv) amend Article II, Section 8 of the Issuer's Bylaws to add a supermajority voting standard for all future amendments of that section. Details of the proposals, including information about the 2025 Nominees, can be found in the 2025 Participants' definitive proxy statement, which is available at no charge on the SEC's website http://www.sec.gov. The 2025 Participants are asking stockholders to vote on their BLUE proxy card "FOR ALL" the 2025 Nominees, "FOR" the proposal to repeal any provision of, or amendment to, the Issuer's Bylaws adopted by the Board without the approval of the Issuer's stockholders subsequent to July 9, 2021, "FOR" the proposal to amend Article II, Section 8 of the Issuer's Bylaws to lower the quorum threshold from one-half to one-third of the outstanding shares entitled to vote and "FOR" the proposal to amend Article II, Section 8 of the Issuer's Bylaws to add a supermajority voting standard for all future amendments of that section.

Cross-References

Insider Activity (last 365d)
0 transactions
0 buys · 0 sales · 0 awards/exercises
Issuer Cluster
3 13D/G filings on this issuer
2 other filings besides this one
Filer Track Record
36 filings by this filer
35 other filings in the data moat
Short Interest
Not in latest FINRA snapshot

Other 13D/G Filings on Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc.

FiledFormFilerStakeShares
2025-07-01 SCHEDULE Ocean Capital LLC 4.60% 1,405,171 view →
2024-07-03 SC Ocean Capital LLC view →

Other Filings by Ocean Capital LLC

FiledFormIssuerStakeShares
2026-01-20 SCHEDULE Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc. 8.80% 2,709,608 view →
2026-01-02 SCHEDULE Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc. 8.80% 2,709,608 view →
2025-07-11 SCHEDULE Puerto Rico Residents Tax-Free Fund IV, Inc. 6.90% 636,494 view →
2025-07-01 SCHEDULE Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc. 4.60% 1,405,171 view →
2025-03-17 SCHEDULE Puerto Rico Residents Tax-Free Fund, Inc. 12.10% 961,867 view →
2025-03-07 SCHEDULE Tax Free Fund for Puerto Rico Residents, Inc. 13.30% 1,479,364 view →
2025-01-27 SCHEDULE Tax Free Fund for Puerto Rico Residents, Inc. 13.30% 1,479,364 view →
2024-10-21 SC Puerto Rico Residents Tax-Free Fund, Inc. view →
2024-07-10 SC Puerto Rico Residents Tax-Free Fund, Inc. view →
2024-07-03 SC Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc. view →
2024-05-16 SC Puerto Rico Residents Tax-Free Fund VI, Inc. view →
2024-04-08 SC Tax Free Fund for Puerto Rico Residents, Inc. view →
2024-01-10 SC Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc. view →
2023-12-19 SC Puerto Rico Residents Tax-Free Fund, Inc. view →
2023-12-11 SC Tax Free Fund for Puerto Rico Residents, Inc. view →
2023-10-16 SC Puerto Rico Residents Tax-Free Fund VI, Inc. view →
2023-07-06 SC Puerto Rico Residents Tax-Free Fund, Inc. view →
2023-03-17 SC Tax Free Fund for Puerto Rico Residents, Inc. view →
2022-11-21 SC Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc. view →
2022-11-04 SC Puerto Rico Residents Tax-Free Fund, Inc. view →
Showing 20 of 35

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