FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 11/07/2014 |
3. Issuer Name and Ticker or Trading Symbol
ALLIANCE NEW YORK MUNICIPAL INCOME FUND [ AYN ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Auction Rate Preferred(1) | 185 | D | |
Auction Rate Preferred(2) | 69 | D | |
Auction Rate Preferred(3) | 27 | D | |
Auction Rate Preferred(4) | 22 | D | |
Auction Rate Preferred(5) | 170 | D | |
Auction Rate Preferred(6) | 27 | D | |
Auction Rate Preferred(7) | 26 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
Explanation of Responses: |
1. Shares are held by Opportunity Partners, LP. Opportunity Partners, LP, together with the other Reporting Persons, may be deemed to constitute a group. Opportunity Partners, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
2. Shares are held by Calapasas West Partners, LP. Calapasas West Partners, LP, together with the other Reporting Persons, may be deemed to constitute a group. Calapasas West Partners, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
3. Shares are held by Full Value Special Situations Fund, LP. Full Value Special Situations Fund, LP, together with the other Reporting Persons, may be deemed to constitute a group. Full Value Special Situations Fund, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
4. Shares are held by Full Value Offshore Fund, Ltd. Full Value Offshore Fund, Ltd., together with the other Reporting Persons, may be deemed to constitute a group. Full Value Offshore Fund, Ltd. disclaims beneficial interest in shares held by the other Reporting Persons. |
5. Shares are held by Full Value Partners, LP. Full Value Partners, LP, together with the other Reporting Persons, may be deemed to constitute a group. Full Value Partners, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
6. Shares are held by Opportunity Income Plus Fund, LP. Opportunity Income Plus Fund, LP, together with the other Reporting Persons, may be deemed to constitute a group. Opportunity Income Plus Fund, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
7. Shares are held by MCM Opportunity Partners, LP. MCM Opportunity Partners, LP, together with the other Reporting Persons, may be deemed to constitute a group. MCM Opportunity Partners, LP disclaims beneficial interest in shares held by the other Reporting Persons. |
Remarks: |
These Shares represent each Reporting Person's combined holdings in multiple series of auction rate preferred securities of the issuer which are treated as one class of securities. |
/s/ Phillip Goldstein on behalf of Opportunity Partners, LP | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of Calapasas West Partners, LP | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of Full Value Special Situations Fund, LP | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of Full Value Offshore Fund, Ltd. | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of Full Value Partners, LP | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of Opportunity Income Plus, LP | 11/17/2014 | |
/s/ Phillip Goldstein on behalf of MCM Opportunity Partners, LP | 11/17/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |