0001258897-13-000624.txt : 20131030
0001258897-13-000624.hdr.sgml : 20131030
20131030115240
ACCESSION NUMBER: 0001258897-13-000624
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20130831
FILED AS OF DATE: 20131030
DATE AS OF CHANGE: 20131030
EFFECTIVENESS DATE: 20131030
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Invesco Trust for Investment Grade Municipals
CENTRAL INDEX KEY: 0000880892
IRS NUMBER: 363797841
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06471
FILM NUMBER: 131178329
BUSINESS ADDRESS:
STREET 1: 1555 PEACHTREE STREET, N.E.
STREET 2: SUITE 1800
CITY: ATLANTA
STATE: 2Q
ZIP: 30309
BUSINESS PHONE: 404-439-3217
MAIL ADDRESS:
STREET 1: 1555 PEACHTREE STREET, N.E.
STREET 2: SUITE 1800
CITY: ATLANTA
STATE: 2Q
ZIP: 30309
FORMER COMPANY:
FORMER CONFORMED NAME: Invesco Van Kampen Trust for Investment Grade Municipals
DATE OF NAME CHANGE: 20100601
FORMER COMPANY:
FORMER CONFORMED NAME: VAN KAMPEN TRUST FOR INVESTMENT GRADE MUNICIPALS
DATE OF NAME CHANGE: 20040707
FORMER COMPANY:
FORMER CONFORMED NAME: VAN KAMPEN TRUST FOR INVSTMENT GRADE MUNICIPALS
DATE OF NAME CHANGE: 19981006
NSAR-A
1
606601answer.fil
NSAR-A
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PAGE 2
008 D050005 Australia
008 D060005 3000
008 A000006 Invesco Hong Kong Limited
008 B000006 S
008 C000006 801-47856
008 D010006 HONG KONG
008 D050006 HONG KONG
008 A000007 Invesco Senior Secured Management, Inc.
008 B000007 S
008 C000007 801-38119
008 D010007 NEW YORK
008 D020007 NY
008 D030007 10036
008 D040007 2727
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010 C010001 Houston
010 C020001 TX
010 C030001 77046
012 A000001 COMPUTERSHARE TRUST COMPANY, N.A.
012 B000001 85-11340
012 C010001 PROVIDENCE
012 C020001 RI
012 C030001 02940
012 C040001 3078
013 A000001 PricewaterhouseCoopers, LLP
013 B010001 HOUSTON
013 B020001 TX
013 B030001 77002
013 B040001 5678
015 A000001 STATE STREET TRUST AND BANK, CO.
015 B000001 C
015 C010001 BOSTON
015 C020001 MA
015 C030001 02111
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022 A000001 CITIGROUP GLOBAL MARKETS INC.
022 B000001 11-2418191
022 C000001 28045
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PAGE 3
022 A000002 J.P. MORGAN SECURITIES INC.
022 B000002 13-3299429
022 C000002 23585
022 D000002 8010
022 A000003 GOLDMAN, SACHS & CO.
022 B000003 13-5108880
022 C000003 12529
022 D000003 16289
022 A000004 MORGAN STANLEY & CO., INC.
022 B000004 13-2655998
022 C000004 11475
022 D000004 13470
022 A000005 SIEBERT, BRANDFORD, SHANK & CO., L.L.C.
022 B000005 13-3932653
022 C000005 7747
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022 A000006 WELLS FARGO SECURITIES, LLC
022 B000006 56-2326000
022 C000006 8556
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022 A000007 BANC OF AMERICA SECURITIES LLC
022 B000007 56-2058405
022 C000007 10376
022 D000007 2781
022 A000008 LOOP CAPITAL MARKETS LLC
022 B000008 36-4164012
022 C000008 2803
022 D000008 2707
022 A000009 GUGGENHEIM SECURITIES, LLC
022 B000009 52-2144448
022 C000009 2530
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022 B000010 41-0953246
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PAGE 9
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SIGNATURE KELLI GALLEGOS
TITLE ASST VP & TREASURER
EX-99.77C VOTES
2
dex9977c.txt
EX-99.77C
Sub-Item 77C
SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS
INVESCO TRUST FOR INVESTMENT GRADE MUNICIPALS
An Annual Meeting ("Meeting") of Shareholders of Invesco Trust for Investment
Grade Municipals (the "Trust") was held on August 2, 2013. The Meeting was held
for the following purpose:
(1). Elect three Class III Trustees, two by the holders of Common Shares and
holders of Preferred Shares of the Trust voting together as a single
class, and one by the holders of Preferred Shares of the Trust, voting
separately, each of whom will serve for a three-year term or until a
successor has been duly elected and qualified.
The results of the voting on the above matter were as follows:
VOTES VOTES
MATTER VOTES FOR AGAINST ABSTAIN
------ ---------- --------- -------
(1) R. Craig Kennedy............................. 46,408,717 2,757,773 16,285
Colin D. Meadows............................. 46,412,083 2,749,362 21,331
Hugo F. Sonnenschein (P)..................... 2,733 0 0
--------
(P) Election of Trustee by preferred shareholders only.
EX-99.77E LEGAL
3
dex9977e.txt
EX-99.77E
SUB-ITEM 77E
LEGAL PROCEEDINGS
INVESCO TRUST FOR INVESTMENT GRADE MUNICIPALS
A shareholder demand letter dated August 6, 2010, contains allegations that
the Board and certain individuals breached their fiduciary duties to the
Invesco Trust for Investment Grade Municipals and wasted Trust assets by
causing the Trust to redeem Auction Rate Preferred Securities (ARPS) at par
value at the expense of the Trust and common shareholders. The shareholders
claimed that the Trust was not obliged to provide liquidity to preferred
shareholders, the redemptions were improperly motivated to benefit the Adviser,
and the market value and fair value of the ARPS were less than par at the time
they were redeemed. The shareholders demand that 1) the Board take action
against the Adviser and the individuals named to recover damages and 2) the
Board refrain from authorizing further redemptions of repurchases of ARPS by
the Trust at prices in excess of fair value or market value at the time of the
transaction. According to the demand letter, if the Trust does not take
appropriate action, the shareholders will commence a shareholder derivative
action on behalf of the Trust. The Board formed a Special Litigation Committee
("SLC") to investigate these claims and to make a recommendation to the Board
regarding whether pursuit of these claims is in the best interests of the
Trusts. Upon completion of its evaluation, the SLC recommended that the Board
reject the demands specified in the shareholder demand letters, after which the
Board publicly announced on June 24, 2011, that it had adopted the SLC's
recommendation and voted to reject the demands.
The Trust received a different shareholder demand letter on July 5, 2011
regarding similar allegations. An original derivative shareholder complaint was
filed by common shareholders on behalf of Invesco Trust for Investment Grade
Municipals and was served on October 3, 2011 in Averbuch v. Arch. The complaint
contained allegations that certain Trustees, Van Kampen Asset Management, and
Morgan Stanley (collectively, "Defendants") breached their fiduciary duties by
wasting Trust assets. More specifically, the Plaintiff alleged that the
Defendants caused the Trust to redeem Auction Rate Preferred Securities
("ARPS") at their liquidation value, which was allegedly higher than market
value. The Plaintiff further contended that the redemption was at the expense
of the Trust and its common shareholders, unfairly benefitted preferred
shareholders and Defendants, unjustly enriched Defendants, and was financed by
the sale of Trust assets. Additionally, the Plaintiff claimed that the ARPS
were replaced with less favorable financing. The Plaintiffs seek 1)
declarations that the Defendants breached their fiduciary duties and were
unjustly enriched; 2) an injunction against the advisors from serving as
advisor to the Trust and collecting fees; 3) an injunction against individual
Defendants from further breaches of fiduciary duties; and 4) monetary relief,
expenses, and punitive damages. The Board informed Plaintiffs of the existing
Special Litigation Committee ("SLC") and its investigation into the Trust's
redemption of ARPS. On August 30, 2011, a quorum of the Independent Trustees
adopted the SLC's recommendation and voted to reject the plaintiffs July 2011
demands underlying the Complaint. After the Plaintiffs filed an amended
complaint, the Trust filed a motion to dismiss on April 1, 2013. On August 27,
2013 the motion to dismiss was granted with prejudice. On September 25, 2013,
the Plaintiff filed a notice of appeal.
Management of Invesco and the Trust believe that the outcome of the
proceedings described above will not have a material adverse effect on the
Trust or on the ability of Invesco to provide ongoing services to the Trust.
EX-99.77Q1E OTHR EXH
4
dex9977q1e.txt
EX-99.77Q1E
Sub-Item 77Q1(e)
AMENDMENT NO. 1
TO
MASTER INVESTMENT ADVISORY AGREEMENT
THIS Amendment dated December 3, 2012, amends the Master Investment Advisory
Agreement (the "Agreement") dated August 27, 2012, by and between Invesco Van
Kampen Trust for Investment Grade Municipals, a Delaware Statutory Trust (the
"Trust"), and Invesco Advisers, Inc., a Delaware Corporation (the "Adviser").
RECITALS
WHEREAS, the Trust desires to amend the Agreement to change the name of the
Trust from Invesco Van Kampen Trust for Investment Grade Municipals to Invesco
Trust for Investment Grade Municipals;
NOW THEREFORE, the parties agree as follows:
1. Appendix A is deleted in its entirety and replaced with the following:
"APPENDIX A
COMPENSATION TO THE ADVISER
The Trust shall pay the Adviser, out of its assets, as full compensation for
all services rendered, an advisory fee for the Trust set forth below. Such fee
shall be calculated by applying the following annual rates to the average daily
manage assets of the Trust for the calendar year.
FUND NAME ADVISORY FEE RATE
--------- ------------------------------------
Invesco Trust for Investment Grade
Municipals .55% on managed assets"
"Managed assets" for this purpose means the Trust's net assets, plus assets
attributable to outstanding preferred shares and the amount of any borrowings
incurred for the purpose of leverage (whether or not such borrowed amounts are
reflected in the Trust's financial statements for purposes of generally
accepted accounting principles).
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed in duplicate by their respective officers on the day and year first
written above.
INVESCO TRUST FOR INVESTMENT GRADE
MUNICIPALS
Attest:
/s/ Peter Davidson By: /s/ John M. Zerr
------------------------------- ------------------------------
ASSISTANT SECRETARY Name: John M. Zerr
Title: Senior Vice President
(SEAL)
Attest: INVESCO ADVISERS, INC.
/s/ Peter Davidson By: /s/ John M. Zerr
------------------------------- ------------------------------
ASSISTANT SECRETARY Name: John M. Zerr
Title: Senior Vice President
(SEAL)
2
Sub-Item 77Q1(e)
MEMORANDUM OF AGREEMENT
(AFFILIATED MONEY MARKET FUND ADVISORY FEE WAIVER)
This Memorandum of Agreement is entered into as of the dates indicated on
Exhibit "A" between Invesco Advantage Municipal Income Trust II, Invesco Bond
Fund, Invesco California Value Municipal Income Trust, Invesco Dynamic Credit
Opportunities Fund, Invesco High Income Trust II, Invesco Municipal Opportunity
Trust, Invesco Municipal Trust, Invesco Pennsylvania Value Municipal Income
Trust, Invesco Senior Income Trust, Invesco Senior Loan Fund, Invesco Trust for
Investment Grade Municipals, Invesco Trust for Investment Grade New York
Municipals and Invesco Van Kampen Exchange Fund (each a "Fund" and
collectively, the "Funds") and Invesco Advisers, Inc. ("Invesco").
For and in consideration of the mutual terms and agreements set forth
herein and other good and valuable consideration, the receipt and sufficiency
of which is hereby acknowledged, the Funds and Invesco agree as follows:
1. Each Fund and Invesco agree that until the expiration date, if any, of
the commitment set forth on the attached Exhibit "A" occurs, as such
Exhibit "A" is amended from time to time, Invesco will waive advisory
fees payable by an Investing Fund (defined below) in an amount equal
to 100% of the net advisory fee Invesco receives on the Uninvested
Cash (defined below) from the Affiliated Money Market Fund (defined
below) in which the Investing Fund invests (the "Waiver").
i. Invesco's Fund Accounting Group will calculate, and apply, the
Waiver monthly, based upon the average investment of Uninvested
Cash made by the Investing Fund during the previous month in an
Affiliated Money Market Fund.
ii. The Waiver will not apply to those investing Funds that do not
charge an advisory fee, either due to the terms of their
advisory agreement, or as a result of contractual or voluntary
fee waivers.
iii. The Waiver will not apply to cash collateral for securities
lending.
For purposes of the paragraph above, the following terms shall have
the following meanings:
(a) "Affiliated Money Market Fund" - any existing or future fund
managed by Invesco or its affiliates that holds itself out as a
money market fund and complies with Rule 2a-7 under the
Investment Company Act of 1940, as amended;
(b) "Investing Fund" - any Fund investing Uninvested Cash in an
Affiliated Money Market Fund; and
(c) "Uninvested Cash" - cash available and uninvested by a Fund that
may result from a variety of sources, including dividends or
interest received on portfolio securities, unsettled securities
transactions, strategic reserves, matured investments, proceeds
from liquidation of investment securities, dividend payments, or
new investor capital.
2. Neither a Fund nor Invesco may remove or amend the Waiver to a Fund's
detriment prior to requesting and receiving the approval of the Fund's
Board of Trustee/Managing General Partners to remove or amend such
Waiver. Invesco will not have any right to reimbursement of any amount
so waived.
Subject to the foregoing paragraphs, each of the Funds and Invesco agree
to review the then-current waivers for each Fund listed on the Exhibit on a
date prior to the Expiration Date to determine whether such waivers should be
amended, continued or terminated. The waivers will expire upon the Expiration
Date unless the Funds and Invesco have agreed to continue them. The Exhibit
will be amended to reflect any such agreement.
Nothing in this Memorandum of Agreement is intended to affect any other
memorandum of agreement executed by any Fund or Invesco with respect to any
other fee waivers, expense reimbursements and/or expense limitations.
IN WITNESS WHEREOF, each Fund and Invesco have entered into this
Memorandum of Agreement as of the dates indicated on Exhibit "A".
INVESCO ADVANTAGE MUNICIPAL INCOME TRUST II
INVESCO BOND FUND
INVESCO CALIFORNIA VALUE MUNICIPAL INCOME TRUST
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
INVESCO HIGH INCOME TRUST II
INVESCO MUNICIPAL OPPORTUNITY TRUST
INVESCO MUNICIPAL TRUST
INVESCO PENNSYLVANIA VALUE MUNICIPAL INCOME TRUST
INVESCO SENIOR INCOME TRUST
INVESCO SENIOR LOAN FUND
INVESCO TRUST FOR INVESTMENT GRADE MUNICIPALS
INVESCO TRUST FOR INVESTMENT GRADE NEW YORK MUNICIPALS
INVESCO VAN KAMPEN EXCHANGE FUND
By: /s/ John M. Zerr
------------------------------
Title: Senior Vice President
INVESCO ADVISERS, INC.
By: /s/ John M. Zerr
------------------------------
Title: Senior Vice President
2
EXHIBIT "A"
INVESCO ADVANTAGE MUNICIPAL INCOME TRUST II
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Advantage Municipal Income Trust May 15, 2012 June 30, 2014
INVESCO BOND FUND
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Bond Fund May 15, 2012 June 30, 2014
INVESCO CALIFORNIA VALUE MUNICIPAL INCOME TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco California Value Municipal Income
Trust May 15, 2012 June 30, 2014
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Dynamic Credit Opportunities Fund May 15, 2012 June 30, 2014
INVESCO HIGH INCOME TRUST II
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco High Income Trust II May 15, 2012 June 30, 2014
INVESCO MUNICIPAL OPPORTUNITY TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Municipal Opportunity Trust May 15, 2012 June 30, 2014
INVESCO MUNICIPAL TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Municipal Trust May 15, 2012 June 30, 2014
INVESCO PENNSYLVANIA VALUE MUNICIPAL INCOME TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Pennsylvania Value Municipal Income
Trust May 15, 2012 June 30, 2014
A-1
INVESCO SENIOR INCOME TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Senior Income Trust May 15, 2012 June 30, 2014
INVESCO SENIOR LOAN FUND
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Senior Loan Fund May 15, 2012 June 30, 2014
INVESCO TRUST FOR INVESTMENT GRADE MUNICIPALS
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Trust for Investment Grade Municipals May 15, 2012 June 30, 2014
INVESCO TRUST FOR INVESTMENT GRADE NEW YORK MUNICIPALS
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Trust for Investment Grade New York
Municipals May 15, 2012 June 30, 2014
INVESCO VAN KAMPEN EXCHANGE FUND
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Van Kampen Exchange Fund May 15, 2012 June 30, 2014
A-2