0001209191-14-071913.txt : 20141201 0001209191-14-071913.hdr.sgml : 20141201 20141201163517 ACCESSION NUMBER: 0001209191-14-071913 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141128 FILED AS OF DATE: 20141201 DATE AS OF CHANGE: 20141201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND CENTRAL INDEX KEY: 0001162027 IRS NUMBER: 000000000 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129692124 MAIL ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE NATIONAL MUNICIPAL INCOME FUND DATE OF NAME CHANGE: 20011108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: UBS Group AG CENTRAL INDEX KEY: 0001610520 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-10573 FILM NUMBER: 141258130 BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 BUSINESS PHONE: 41-44-234-1111 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-11-28 0 0001162027 ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND AFB 0001610520 UBS Group AG BAHNHOFSTRASSE 45 PO BOX CH-8098 ZURICH V8 SWITZERLAND 0 0 1 0 Auction Preferred Stock 1049 I By subsidiary - see footnote This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two-wholly owned subsidiaries of UBS AG to which UBS AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. Cusip No 01864V203, 01864V302, 01864V401, 01864V500 Pursuant to the Global Relief Letter referred to below, this filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. The Shares reported herein represent UBS Group AG's combined holdings in multiple series of auction preferred securities of the issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities -- Global Exemptive Relief letter ("Global Relief Letter") issued by the staff of the Securities and Exchange Commission (SEC) on September 22, 2008. UBS Group AG undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, complete information regarding transaction(s) outlined above, as required by the Global Relief Letter. The event triggering notification is the acquisition of UBS AG by UBS Group AG through the completion of a share transfer offer on 28 November 2014 in which the shareholders of UBS AG became shareholders of UBS Group AG and their shares in UBS AG were transferred to UBS Group AG. As a result, UBS Group AG controls UBS AG. /s/ Anthony DeFilippis 2014-12-01 /s/ William Chandler 2014-12-01