0001140361-12-029377.txt : 20120611 0001140361-12-029377.hdr.sgml : 20120611 20120611104550 ACCESSION NUMBER: 0001140361-12-029377 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20120611 DATE AS OF CHANGE: 20120611 GROUP MEMBERS: CITIGROUP FINANCIAL PRODUCTS INC. GROUP MEMBERS: CITIGROUP GLOBAL MARKETS HOLDINGS INC. GROUP MEMBERS: CITIGROUP GLOBAL MARKETS INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Invesco Van Kampen Municipal Opportunity Trust CENTRAL INDEX KEY: 0000884152 IRS NUMBER: 363810337 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84426 FILM NUMBER: 12899654 BUSINESS ADDRESS: STREET 1: 1555 PEACHTREE STREET, N.E. STREET 2: SUITE 1800 CITY: ATLANTA STATE: 2Q ZIP: 30309 BUSINESS PHONE: 404-439-3217 MAIL ADDRESS: STREET 1: 1555 PEACHTREE STREET, N.E. STREET 2: SUITE 1800 CITY: ATLANTA STATE: 2Q ZIP: 30309 FORMER COMPANY: FORMER CONFORMED NAME: VAN KAMPEN MUNICIPAL OPPORTUNITY TRUST DATE OF NAME CHANGE: 19981006 FORMER COMPANY: FORMER CONFORMED NAME: VAN KAMPEN AMERICAN CAPITAL MUNICIPAL OPPORTUNITY TRUST DATE OF NAME CHANGE: 19960102 FORMER COMPANY: FORMER CONFORMED NAME: VAN KAMPEN MERRITT MUNICIPAL OPPORTUNITY TRUST DATE OF NAME CHANGE: 19920929 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITIGROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 BUSINESS PHONE: 2125591000 MAIL ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS GROUP INC DATE OF NAME CHANGE: 19950519 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 SC 13G/A 1 sc13g.txt INVESCO VAN KAMPEN MUNICIPAL OPPORTUNITY TRUST SC 13G/A 5-31-2012 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 1)* INVESCO VAN KAMPEN MUNICIPAL OPPORTUNITY TRUST -------------------------------------------------------------------------------- (Name of Issuer) Auction Rate Preferred -------------------------------------------------------------------------------- (Title of Class of Securities) 4613C-50-3 (See Item 2(e)) -------------------------------------------------------- (CUSIP Number) May 31, 2012 -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / Rule 13d-1(c) / / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 9 Pages 13G CUSIP NO. 4613C-50-3 Page 2 of 9 Pages (See Item 2(e)) ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Citigroup Global Markets Inc. ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- (3) SEC USE ONLY ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 0 OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 0 WITH: ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) BD ------------------------------------------------------------------------------- 13G CUSIP NO. 4613C-50-3 Page 3 of 9 Pages (See Item 2(e)) ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Citigroup Financial Products Inc. ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- (3) SEC USE ONLY ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 0 OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 0 WITH: ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO ------------------------------------------------------------------------------- 13G CUSIP NO. 4613C-50-3 Page 4 of 9 Pages (See Item 2(e)) ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Citigroup Global Markets Holdings Inc. ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- (3) SEC USE ONLY ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 0 OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 0 WITH: ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC ------------------------------------------------------------------------------- 13G CUSIP NO. 4613C-50-3 Page 5 of 9 Pages (See Item 2(e)) ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Citigroup Inc. ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- (3) SEC USE ONLY ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 0 OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 0 WITH: ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC ------------------------------------------------------------------------------- Item 1(a). Name of Issuer: Invesco Van Kampen Municipal Opportunity Trust Item 1(b). Address of Issuer's Principal Executive Offices: 1555 Peachtree Street, N.E. Suite 1800 Atlanta, Georgia 30309 Item 2(a). Name of Person Filing: Citigroup Global Markets Inc. ("CGM") Citigroup Financial Products Inc. ("CFP") Citigroup Global Markets Holdings Inc. ("CGM Holdings") Citigroup Inc. ("Citigroup") Item 2(b). Address of the Principal Business Office or, if none, Residence: The address of the principal business office of each of CGM, CFP and CGM Holdings is: 388 Greenwich Street New York, NY 10013 The address of the principal business office of Citigroup is: 399 Park Avenue New York, NY 10022 Item 2(c). Citizenship: CGM and CGM Holdings are New York corporations. CFP and Citigroup are Delaware corporations. Item 2(d). Title of Class of Securities: Auction Rate Preferred Item 2(e). CUSIP Number: 4613C-20-6 4613C-30-5 4613C-40-4 4613C-50-3 4613C-60-2 4613C-70-1 Page 6 of 9 Pages Item 3. If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing Is a(n): (a) [X] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [X] Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) [ ] Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J); (k) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ . Item 4. Ownership. (as of May 31, 2012) These Shares represent the Reporting Person's combined holdings in multiple series of auction rate preferred securities of the issuer which are treated herein as one class of securities. (a) Amount beneficially owned: See item 9 of cover pages (b) Percent of class: See item 11 of cover pages (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition of: (iv) Shared power to dispose or to direct the disposition of: See Items 5-8 of cover pages Page 7 of 9 Pages Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. CFP is the sole stockholder of CGM. CGM Holdings is the sole stockholder of CFP. Citigroup is the sole stockholder of CGM Holdings. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Page 8 of 9 Pages Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: June 11, 2012 CITIGROUP GLOBAL MARKETS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP FINANCIAL PRODUCTS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP GLOBAL MARKETS HOLDINGS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary Page 9 of 9 Pages EXHIBIT INDEX TO SCHEDULE 13G ----------------------------- EXHIBIT 1 --------- Agreement among CGM, CFP, CGM Holdings and Citigroup as to joint filing of Schedule 13G EX-99.1 2 ex99_1.txt EXHIBIT 99.1 EXHIBIT 1 --------- AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G -------------------------------------------- Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. Dated: June 11, 2012 CITIGROUP GLOBAL MARKETS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP FINANCIAL PRODUCTS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP GLOBAL MARKETS HOLDINGS INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary CITIGROUP INC. By: /s/ Ali L. Karshan -------------------------------------------- Name: Ali L. Karshan Title: Assistant Secretary