# EDGAR Filing Document

**Accession Number:** 0001847305
**File Stem:** 0001213900-26-012752
**Filing Date:** 2026-2
**Character Count:** 10211
**Document Hash:** 1e5611324b704932d82d642e10a59877
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-26-012752.hdr.sgml**: 20260205

**ACCESSION NUMBER**: 0001213900-26-012752

**CONFORMED SUBMISSION TYPE**: DFRN14A

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260205

**DATE AS OF CHANGE**: 20260205

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc.
- **CENTRAL INDEX KEY:** 0001847305

**ORGANIZATION NAME:**
- **EIN:** 660654627
- **STATE OF INCORPORATION:** PR
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** DFRN14A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 811-23678
- **FILM NUMBER:** 26602771

**BUSINESS ADDRESS:**
- **STREET 1:** 250 MUNOZ RIVERA
- **STREET 2:** TENTH FLOOR
- **CITY:** SAN JUAN
- **STATE:** PR
- **ZIP:** 00918
- **BUSINESS PHONE:** 787-250-3600

**MAIL ADDRESS:**
- **STREET 1:** 250 MUNOZ RIVERA
- **STREET 2:** TENTH FLOOR
- **CITY:** SAN JUAN
- **STATE:** PR
- **ZIP:** 00918

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Puerto Rico Fixed Income Fund IV, Inc.
- **DATE OF NAME CHANGE:** 20210222
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ocean Capital LLC
- **CENTRAL INDEX KEY:** 0001838395

**ORGANIZATION NAME:**
- **EIN:** 660833476
- **STATE OF INCORPORATION:** PR
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** DFRN14A

**BUSINESS ADDRESS:**
- **STREET 1:** METRO OFFICE PARK
- **STREET 2:** 8 CALLE #1, SUITE 401
- **CITY:** GUAYNABO
- **STATE:** PR
- **ZIP:** 00968
- **BUSINESS PHONE:** 787-979-2165

**MAIL ADDRESS:**
- **STREET 1:** METRO OFFICE PARK
- **STREET 2:** 8 CALLE #1, SUITE 401
- **CITY:** GUAYNABO
- **STATE:** PR
- **ZIP:** 00968

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 14A**

Proxy Statement Pursuant to Section 14(a) of

the Securities Exchange Act of 1934

(Amendment No. 1)

Filed by the Registrant ☐ <br> Filed by a Party other than the Registrant ☒

Check the appropriate box:

☐ Preliminary Proxy Statement

☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))

☒ Definitive Proxy Statement

☐ Definitive Additional Materials

☐ Soliciting Material under §240.14a-12

**TAX-FREE FIXED INCOME FUND IV FOR PUERTO RICO RESIDENTS, Inc.**

(Name of Registrant as Specified in its Charter)

**Ocean Capital LLC**

**WILLIAM Heath Hawk**

**Brent D. Rosenthal** 

**JOSÉ R. IZQUIERDO II**

(Name Of Person(s) Filing Proxy Statement, if Other Than the Registrant)

Payment of Filing Fee (Check all boxes that apply):

☒ No fee required. <br> ☐ Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. <br> ☐ Fee paid previously with preliminary materials.

**2025 ANNUAL MEETING OF STOCKHOLDERS OF**

**TAX-FREE FIXED INCOME FUND IV FOR PUERTO RICO RESIDENTS, Inc.**

**AMENDMENT NO. 1 TO PROXY STATEMENT**

**OF**

**OCEAN CAPITAL LLC**

**annual meeting of** **STOCKHOLDERS**

**scheduled to be held on March 16, 2026**

***Please vote the <u>BLUE</u> Proxy Card (i) "FOR" the election of our highly qualified nominees, (ii) "FOR" our proposal to repeal any provision of, or amendment to, the Bylaws adopted by the Board without stockholder approval subsequent to July 9, 2021, (iii) "FOR" our proposal to amend Article II, Section 8 of the Bylaws to lower the quorum threshold for stockholder meetings from one-half to one-third of the outstanding shares entitled to vote and (iv) "FOR" our proposal to amend Article II, Section 8 to add a supermajority voting standard for all future amendments of such section.***

**Please sign, date and mail the enclosed <u>BLUE</u> Proxy Card today!**

Ocean Capital LLC, a Puerto Rico limited liability company ("Ocean Capital," "we," "us," or "ours"), is filing this amendment (this "Amendment") to its definitive proxy statement dated July 10, 2025 (the "Proxy Statement") in connection with (i) the election of each of our two nominees, Brent D. Rosenthal and José R. Izquierdo II, to the board of directors (the "Board") of Tax-Free Fixed Income Fund IV for Puerto Rico Residents, Inc. (the "Fund"), (ii) our proposal to repeal any provision of, or amendment to, the Bylaws adopted by the Board without stockholder approval subsequent to July 9, 2021, (iii) our proposal to amend Article II, Section 8 of the Bylaws to lower the quorum threshold for stockholder meetings from one-half to one-third of the outstanding shares entitled to vote and (iv) our proposal to amend Article II, Section 8 to add a supermajority voting standard for all future amendments of such section, each at the 2025 annual meeting of stockholders (the "2025 Annual Meeting").

**THE PROXY STATEMENT, AS AMENDED BY THIS AMENDMENT, RELATES ONLY TO THE 2025 ANNUAL MEETING AND NOT TO THE FUND'S 2021 ANNUAL MEETINGS OF STOCKHOLDERS (THE "2021 ANNUAL MEETING").** For more information about the Fund's 2021 Annual Meeting, which was initially scheduled to be held on July 29, 2021, has since been adjourned numerous times, and is now scheduled to be held on May 21, 2026, please refer to Ocean Capital's proxy statement filed with the Securities and Exchange Commission (the "SEC") on July 28, 2021, as amended by amendments filed on August 2, 2021, August 30, 2021, September 17, 2021, September 28, 2021, October 13, 2021, November 1, 2021, November 9, 2021, December 3, 2021, January 18, 2022, February 22, 2022, March 22, 2022, May 12, 2022, June 14, 2022, August 2, 2022, September 27, 2022, December 19, 2022, March 14, 2023, June 6, 2023, August 7, 2023, November 7, 2023, January 18, 2024, April 24, 2024, July 23, 2024, October 24, 2024, December 27, 2024, January 24, 2025, April 29, 2025, June 26, 2025 and October 30, 2025 and as may be further amended from time to time.

According to the Fund's revised preliminary proxy statement (the "Fund Proxy Statement") filed with the SEC on January 26, 2026, the 2025 Annual Meeting will be held virtually at 11:30 a.m. Atlantic Standard Time (11:30 a.m. Eastern Daylight Time) on March 16, 2026. The 2025 Annual Meeting was initially scheduled to be held on July 17, 2025, but was canceled on July 16, 2025.

According to the Fund Proxy Statement, any stockholder of record wishing to participate in the 2025 Annual Meeting must register at https://viewproxy.com/UBSPuertoRico/broadridgevsm/ no later than 5:00 p.m. Atlantic Standard Time (5:00 p.m. Eastern Daylight Time) on March 12, 2026. According to the Fund Proxy Statement, Broadridge will then e-mail you the meeting login information and instructions for attending and voting at the 2025 Annual Meeting. Stockholders whose shares are held in "street name" must obtain legal proxies from their brokers, banks, trust companies or other nominees and follow the link above to register their shares, in order to participate in the 2025 Annual Meeting.

**WE URGE YOU TO VOTE ON OUR <u>BLUE</u> PROXY CARD (I) <u>FOR</u> THE ELECTION OF EACH OF OUR NOMINEES, (II) <u>FOR</u> OUR PROPOSAL TO REPEAL ANY PROVISION OF, OR AMENDMENT TO, THE BYLAWS ADOPTED BY THE BOARD WITHOUT STOCKHOLDER APPROVAL SUBSEQUENT TO JULY 9, 2021, (III) <u>FOR</u> OUR PROPOSAL TO AMEND ARTICLE II, SECTION 8 OF THE BYLAWS TO LOWER THE QUORUM THRESHOLD FOR STOCKHOLDER MEETINGS FROM ONE-HALF TO ONE-THIRD OF THE OUTSTANDING SHARES ENTITLED TO VOTE AND (IV) <u>FOR</u> OUR PROPOSAL TO AMEND ARTICLE II, SECTION 8 TO ADD A SUPERMAJORITY VOTING STANDARD FOR ALL FUTURE AMENDMENTS OF SUCH SECTION.**

According to the Fund Proxy Statement, the new record date for the 2025 Annual Meeting is February 5, 2026. Stockholders who have already voted do not need to recast their votes unless they wish to change their votes. Proxies previously submitted will be voted at the reconvened meeting unless properly revoked. Stockholders who have not already voted are encouraged to do so promptly using the instructions provided in their voting instruction form or proxy card.

**REVOCATION OF PROXIES**

If you are a stockholder of record, you may change your proxy instructions or revoke your proxy at any time before your proxy is voted at the 2025 Annual Meeting. Proxies may be revoked by any of the following actions:

● signing, dating and returning the enclosed  **<u>BLUE</u>** Proxy Card (the latest dated proxy is the one that counts);

● submitting a proxy with new voting instructions using the internet or telephone voting system as indicated on the  **<u>BLUE</u>** Proxy Card;

● delivering a written notice of revocation or a later dated proxy for the 2025 Annual Meeting to Ocean Capital LLC, c/o Sodali & Co, 430 Park Avenue, 14th Floor, New York, NY 10022, or to the secretary of the Fund; or

● registering for, attending and voting at the 2025 Annual Meeting (although attendance at the 2025 Annual Meeting will not, by itself, revoke a proxy).

If your shares are held in a brokerage account by a broker, bank or other nominee, you should follow the instructions provided by your broker, bank or other nominee. If you attend the 2025 Annual Meeting and you beneficially own shares but are not the record owner, your mere attendance at the 2025 Annual Meeting **WILL NOT** be sufficient to revoke your prior given proxy. You must have written authority from the record owner (e.g., by obtaining a legal proxy) to vote your shares held in its name at the 2025 Annual Meeting.

**ADDITIONAL INFORMATION AND WHERE TO FIND IT**

Stockholders can obtain copies of Ocean Capital's definitive proxy statement, any amendments or supplements to the proxy statement, and other documents filed by Ocean Capital with the SEC for no charge at the SEC's website at www.sec.gov.

If you have any questions or require any assistance with voting your shares, please contact our proxy solicitor, Sodali & Co, at the address and telephone numbers set forth below. **Additionally, if you are a fund advisor with clients who wish to vote for our nominees by voting on the <u>BLUE</u> Proxy Card, please contact our proxy solicitor for assistance.**

![](image_001.jpg)

430 Park Avenue, 14th Floor

New York, NY 10022

Stockholders Call Toll Free: (800) 662-5200

Banks, Brokers, Trustees and Other Nominees Call Collect: (203) 658-9400

Email: ocean@investor.sodali.com