0001567619-18-007262.txt : 20181203 0001567619-18-007262.hdr.sgml : 20181203 20181203175316 ACCESSION NUMBER: 0001567619-18-007262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20181129 FILED AS OF DATE: 20181203 DATE AS OF CHANGE: 20181203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21168 FILM NUMBER: 181214977 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Banc of America Preferred Funding Corp CENTRAL INDEX KEY: 0001565450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21168 FILM NUMBER: 181214978 BUSINESS ADDRESS: STREET 1: 214 NORTH TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: (980) 386-4161 MAIL ADDRESS: STREET 1: 214 NORTH TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blue Ridge Investments, L.L.C. CENTRAL INDEX KEY: 0001453700 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21168 FILM NUMBER: 181214979 BUSINESS ADDRESS: STREET 1: ONE BRYANT PARK CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 980-254-4395 MAIL ADDRESS: STREET 1: ONE BRYANT PARK CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN MUNICIPAL FUND INC. CENTRAL INDEX KEY: 0001178839 IRS NUMBER: 522372415 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2124768800 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER COMPANY: FORMER CONFORMED NAME: NEUBERGER BERMAN MUNICIPAL FUND, INC. DATE OF NAME CHANGE: 20180831 FORMER COMPANY: FORMER CONFORMED NAME: NEUBERGER BERMAN INTERMEDIATE MUNICIPAL FUND INC DATE OF NAME CHANGE: 20020726 4 1 doc1.xml FORM 4 X0306 4 2018-11-29 0 0001178839 NEUBERGER BERMAN MUNICIPAL FUND INC. NBH 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE NC 28255 0 0 1 0 0001565450 Banc of America Preferred Funding Corp 214 NORTH TRYON STREET CHARLOTTE NC 28255 0 0 1 0 0001453700 Blue Ridge Investments, L.L.C. ONE BRYANT PARK NEW YORK NY 10036 0 0 1 0 Variable Rate Municipal Term Preferred Shares 2018-11-29 4 J 0 918 D 1794 I By Subsidiary Variable Rate Municipal Term Preferred Shares 2018-11-29 4 J 0 918 A 1794 I By Subsidiary The 1,794 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 918 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. This 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. Each 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. /s/ Ronnie Ojera (BANK OF AMERICA CORPORATION) 2018-12-03 /s/ Michael Jentis (BANC OF AMERICA PREFERRED FUNDING CORPORATION) 2018-12-03 /s/ James W. Brewer (BLUE RIDGE INVESTMENTS, L.L.C.) 2018-12-03 EX-99.1 2 jfa.htm
EXHIBIT 99.1

JOINT FILING AGREEMENT

Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.
Date: December 3, 2018     BANK OF AMERICA CORPORATION
By:  /s/ Ronnie Ojera
Name:  Ronnie Ojera
Title:  Attorney-in-fact

BANC OF AMERICA PREFERRED FUNDING CORPORATION
By:  /s/ Michael Jentis
Name:  Michael Jentis
Title:  Authorized Signatory

BLUE RIDGE INVESTMENTS, L.L.C.
By:  /s/ James W. Brewer
Name:  James W. Brewer
Title:  Director


 EX-99.2 3 jfi.htm
JOINT FILER INFORMATION


Item
  
Information
Name:
  
Banc of America Preferred Funding Corporation
 
Address:
  
214 North Tryon Street
Charlotte, North Carolina 28255
Date of Event Requiring Statement (Month/Day/Year):
 
  
November 29, 2018
Issuer Name and Ticker or Trading Symbol:
 
  
Neuberger Berman Municipal Fund Inc. (NBH)
Relationship of Reporting Person(s) to Issuer:
 
  
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
  
Not Applicable
Individual or Joint/Group Filing:
 
  
Form filed by More than One Reporting Person
Signature:
  
Banc of America Preferred Funding Corporation
 
 
By: /s/ Michael Jentis 
Name: Michael Jentis
Title: Authorized Signatory
Date: December 3, 2018
 

 

Item
  
Information
Name:
  
Blue Ridge Investments, L.L.C.
 
Address:
  
One Bryant Park
New York, New York 10036
Date of Event Requiring Statement (Month/Day/Year):
 
  
November 29, 2018
Issuer Name and Ticker or Trading Symbol:
 
  
Neuberger Berman Municipal Fund Inc. (NBH)
Relationship of Reporting Person(s) to Issuer:
 
  
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
  
Not Applicable
Individual or Joint/Group Filing:
 
  
Form filed by More than One Reporting Person
Signature:
  
Blue Ridge Investments, L.L.C.
 
 
By: /s/ James W. Brewer 
Name: James W. Brewer
Title: Director
Date: December 3, 2018
 




EX-99.3 4 vtmp.htm
EXHIBIT 99.3

VMTP SHARE HOLDINGS


Owner
# of VMTP Shares
% of total VMTP Shares
Banc of America Preferred Funding Corporation
1,794
100%
Blue Ridge Investments, L.L.C.
0
0%