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 | |
TD GROUP US HOLDINGS LLC 251 LITTLE FALLS DRIVE WILMINGTON, DE 19808 |
 |  X |  |  |
TD GROUP US HOLDINGS LLC, By: /s/ Stephan Schenk, Name: Stephan Schenk, Title: President and CEO | 07/11/2017 | |
**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) | Reflects securities directly held by TD Luxembourg International Holdings S.a.r.l. Prior to July 1, 2017, TD Luxembourg International Holdings S.a.r.l. was a wholly-owned subsidiary of The Toronto-Dominion Bank. On July 1, 2017, The Toronto-Dominion Bank transferred all of its interests in TD Luxembourg International Holdings S.a.r.l. to its wholly-owned subsidiary, TD Group US Holdings LLC. Upon consummation of the transfer described herein, the sole shareholder of TD Luxembourg International Holdings S.a.r.l. is TD Group US Holdings LLC. The sole member of TD Group US Holdings LLC is The Toronto-Dominion Bank. |