UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE, NC 28255 |
 |  X |  |  |
Banc of America Preferred Funding Corp 214 NORTH TRYON STREET CHARLOTTE, NC 28255 |
 |  X |  |  |
Blue Ridge Investments, L.L.C. 100 NORTH TRYON STREET CHARLOTTE, NC 28255 |
 |  X |  |  |
/s/ Edward Curland (Banc of America Preferred Funding) | 07/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Sun Kyung Bae (Bank of America Corporation) | 07/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Edward Curland (Blue Ridge Investments, L.L.C.) | 07/01/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | This statement is jointly filed by Bank of America Corporation ("Bank of America"), Banc of America Preferred Funding Corporation ("PFC") and Blue Ridge Investments, L.L.C. ("Blue Ridge"). Bank of America holds an indirect interest in the shares listed in Table I (the "Shares") by virtue of its indirect 100% ownership of its subsidiaries PFC and Blue Ridge. 876 of the Shares are beneficially owned by PFC and 918 of the Shares are beneficially owned by Blue Ridge. PFC and Blue Ridge are each indirect wholly owned subsidiaries of Bank of America. |
(2) | 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. |