Statement of Changes in Beneficial Ownership (4)
August 17 2022 - 04:00PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * BANK OF AMERICA CORP
/DE/ |
2. Issuer Name and Ticker or Trading
Symbol NEUBERGER BERMAN MUNICIPAL FUND INC. [ NBH
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
BANK OF AMERICA CORPORATE CENTER, 100 N. TRYON
STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
8/15/2022
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(Street)
CHARLOTTE, NC 28255
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Variable Rate Municipal Term Preferred
Shares |
8/15/2022 |
|
J(1)(2) |
|
47 |
D(1) |
(1) |
1657 |
I |
By Subsidiary (2)(3) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
The 47 variable rate
municipal term preferred shares reported as disposed of in Table I
represent variable rate municipal term preferred shares of the
Issuer (the "VMTP Shares") that were beneficially owned by Banc of
America Preferred Funding Corporation ("PFC"). The VMTP Shares were
disposed of as a result of a redemption by the Issuer for a
redemption price of $100,000.00 per share (which includes a
liquidation preference of $100,000.00 per share and accrued
dividends of $101.01 per share). PFC is a wholly owned subsidiary
of Bank of America Corporation. |
(2) |
This statement is jointly
filed by Bank of America Corporation and PFC. Bank of America
Corporation held an indirect interest in the securities listed in
Table I by virtue of its indirect ownership of its subsidiary
PFC. |
(3) |
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. |
Remarks:
Exhibits Index
Exhibit 99.1 - Joint Filing Agreement
Exhibit 99.2 - Joint Filer Information |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORPORATE CENTER
100 N. TRYON STREET
CHARLOTTE, NC 28255 |
|
X |
|
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Banc of America Preferred Funding Corp
214 NORTH TRYON STREET
CHARLOTTE, NC 28255 |
|
X |
|
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Signatures
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BANK OF AMERICA CORPORATION by: /s/ Michael
Jentis |
|
8/17/2022 |
**Signature of Reporting
Person |
Date |
BANC OF AMERICA PREFERRED FUNDING CORPORATION by:
/s/ Michael Jentis |
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8/17/2022 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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