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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WELLS FARGO & COMPANY/MN 420 MONTGOMERY STREET SAN FRANCISCO, CA 94163 |
X | |||
Wells Fargo Municipal Capital Strategies, LLC 375 PARK AVENUE NEW YORK, NY 10152 |
X | |||
WELLS FARGO BANK N A 101 NORTH PHILLIPS STREET SIOUX FALLS, SD 57104 |
X |
WELLS FARGO & COMPANY, / s / Michael Choquette | 10/21/2016 | |
**Signature of Reporting Person | Date | |
WELLS FARGO MUNICIPAL CAPITAL STRATEGIES, LLC, / s / Adam Joseph | 10/21/2016 | |
**Signature of Reporting Person | Date | |
WELLS FARGO BANK, NATIONAL ASSOCIATION, / s / Adam Joseph | 10/21/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The 1,000 Variable Rate Demand Preferred Shares ("Shares") reported as acquired in Table I represent Shares beneficially owned by Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies"). The Shares were acquired for a purchase price of $100,000 per share. Capital Strategies is a wholly owned subsidiary of Wells Fargo & Company ("Wells Fargo"). |
(2) | This statement is jointly filed by Wells Fargo & Company, Capital Strategies, LLC and Wells Fargo Bank, National Association ("WFBNA"). Wells Fargo & Company holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies and WFBNA. 3,380 of the Securities are beneficially owned by Capital Strategies (comprised of 1,000 Shares and 2,380 Variable Rate MuniFund Term Preferred Shares), and 5,350 of the Securities are beneficially owned by WFBNA (all of which are Variable Rate MuniFund Term Preferred Shares). Capital Strategies and WFBNA are each indirect wholly owned subsidiaries of Wells Fargo & Company. |
(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 |