SEC Form 4 · accession 0001567619-18-007264
NEUBERGER BERMAN NEW YORK MUNICIPAL FUND INC. · NBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 5:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001178841
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Variable Rate Municipal Term Preferred SharesF1,F2,F3 | Nov 29, 2018 | J | 342 | — | D | 483 | I | By Subsidiary |
| Variable Rate Municipal Term Preferred SharesF1,F2,F3 | Nov 29, 2018 | J | 342 | — | A | 483 | I | By Subsidiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 483 variable rate municipal term preferred shares shown in Table I represent variable rate municipal term preferred shares of the Issuer (the "VMTP Shares") that were beneficially owned in part by Banc of America Preferred Funding Corporation ("PFC") and in part by Blue Ridge Investments, L.L.C. ("Blue Ridge"). The 342 VMTP Shares beneficially owned by Blue Ridge were transferred from Blue Ridge to PFC for a purchase price of $100,000 per share and all VMTP Shares are now beneficially owned by PFC. Each of PFC and Blue Ridge is a wholly owned subsidiary of Bank of America Corporation.
- F2This statement is jointly filed by Bank of America Corporation, PFC and Blue Ridge. Bank of America Corporation holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary PFC.
- F3Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.