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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 BANK N A 101 NORTH PHILLIPS STREET SIOUX FALLS, SD 57104 |
X | |||
Wells Fargo Municipal Capital Strategies, LLC 375 PARK AVENUE NEW YORK, NY 10152 |
X |
WELLS FARGO BANK, N.A., /s/ Michael J. Choquette | 06/03/2016 | |
**Signature of Reporting Person | Date | |
WELLS FARGO MUNICIPAL CAPITAL STRATEGIES, LLC, /s/ Daniel E. George | 06/03/2016 | |
**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 disposition of shares occurred pursuant to an Exchange and Purchase Agreement among the Issuer, Wells Fargo Bank, N.A. ("WFBNA") and Wells Fargo Municipal Capital Strategies, LLC ("Capital Strategies") pursuant to which WFBNA and Capital Strategies exchanged 879 and 711 existing Variable Rate MuniFund Term Preferred Shares of NUM, respectively, for an equal number of newly issued Variable Rate MuniFund Term Preferred Shares, Series 2019, of NUM, and Capital Strategies purchased 140 newly issued Variable Rate MuniFund Term Preferred Shares, Series 2019, of NUM, for a purchase price of $100,000 per share. |
(2) | This statement is jointly filed by WFBNA and Capital Strategies. WFBNA also holds an indirect interest in 851 of the shares listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiary Capital Strategies. |
(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 |