0001752724-20-194326.txt : 20200925 0001752724-20-194326.hdr.sgml : 20200925 20200925135222 ACCESSION NUMBER: 0001752724-20-194326 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200731 FILED AS OF DATE: 20200925 PERIOD START: 20201031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN MUNICIPAL FUND INC. CENTRAL INDEX KEY: 0001178839 IRS NUMBER: 522372415 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-21168 FILM NUMBER: 201198935 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2124768800 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER COMPANY: FORMER CONFORMED NAME: NEUBERGER BERMAN MUNICIPAL FUND, INC. 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County Industrial Development Agency N/A JEFFERSON CNTY NY INDL DEV AGY SOL WST DISP REVENUE 473300AF8 1400000.00000000 PA USD 1328768.00000000 0.470938332480 Long DBT MUN US N 2 2024-01-01 Fixed 5.25000000 N N N N N N Capital Trust Agency Inc 549300F49UWS7X0OGQ59 CAPITAL TRUST AGY FL SENIOR LIVING REVENUE 140542BV2 800000.00000000 PA USD 401048.00000000 0.142138338945 Long DBT MUN US N 2 2053-07-01 Fixed 7.50000000 N N N N N N Westchester County Local Development Corp 549300KOSU8OC75V9238 WESTCHESTER CO NY LOCAL DEV CORP REVENUE 95737TBG0 600000.00000000 PA USD 579624.00000000 0.205428758086 Long DBT MUN US N 2 2030-06-01 Fixed 5.00000000 N N N N N N State of Illinois 54930048FV8RWPR02D67 ILLINOIS ST 452152G54 4250000.00000000 PA USD 4638407.50000000 1.643931742345 Long DBT MUN US N 2 2024-02-01 Fixed 5.00000000 N N N N N N American Samoa Economic Development Authority N/A AMERICAN SAMOA AS ECON DEV AUTH GEN REVENUE 02936TAA9 1700000.00000000 PA USD 1993964.00000000 0.706695285546 Long DBT MUN AS N 2 2029-09-01 Fixed 6.25000000 N N N N N N City of Ashland KY N/A ASHLAND KY MED CENTER REVENUE 044293CB2 1350000.00000000 PA USD 1393821.00000000 0.493994239412 Long DBT MUN US N 2 2040-02-01 Fixed 3.00000000 N N N N N N Cook County School District No 83 Mannheim N/A COOK CNTY IL SCH DIST #83 214075EV1 1350000.00000000 PA USD 1565271.00000000 0.554759081058 Long DBT MUN US N 2 2030-12-01 Fixed 5.45000000 N N N N N N Buckeye Tobacco Settlement Financing Authority N/A BUCKEYE OH TOBACCO SETTLEMENT FING AUTH 118217CZ9 9220000.00000000 PA USD 10160624.40000000 3.601100803069 Long DBT MUN US N 2 2055-06-01 Fixed 5.00000000 N N N N N N Winrock Town Center Tax Increment Development District No 1 N/A WINROCK TOWN CENTER NM TAX INCR DEV DIST #1 97535RAA8 500000.00000000 PA USD 502745.00000000 0.178181512470 Long DBT MUN US N 2 2025-05-01 Fixed 5.25000000 N N N N N N Industrial Development Authority of the City of Phoenix/The 549300A62PWFBDWB8332 PHOENIX AZ INDL DEV AUTH EDU REVENUE 71885FDH7 1810000.00000000 PA USD 1891920.60000000 0.670529341878 Long DBT MUN US N 2 2024-07-01 Fixed 3.75000000 N N N N N N City of Minneapolis MN/St Paul Housing & Redevelopment Authority N/A MINNEAPOLIS MN & SAINT PAUL MN HSG & REDEV AUTH HLTH CARE 603695FX0 2250000.00000000 PA USD 2252947.50000000 0.798483511655 Long DBT MUN US N 2 2024-08-15 Fixed 4.50000000 N N N N N N Summit Academy/MI N/A SUMMIT ACADEMY MI PUBLIC SCH ACADEMY REVENUE 86589HAC4 100000.00000000 PA USD 100065.00000000 0.035464764533 Long DBT MUN US N 2 2035-11-01 Fixed 6.38000000 N N N N N N New Jersey Economic Development Authority 5493006JS6QWDVU4R678 NEW JERSEY ST ECON DEV AUTH SCH REVENUE 645912FY7 725000.00000000 PA USD 749882.00000000 0.265771134341 Long DBT MUN US N 2 2054-06-15 Fixed 5.00000000 N N N N N N City of Valparaiso IN N/A VALPARAISO IN EXEMPT FACS REVENUE 92028RAA3 500000.00000000 PA USD 532580.00000000 0.188755551843 Long DBT MUN US N 2 2024-01-01 Fixed 5.88000000 N N N N N N Will County Township High School District No 204 Joliet N/A WILL CNTY IL HIGH SCH DIST #204 JOLIET 969037KB5 1850000.00000000 PA USD 1894640.50000000 0.671493321422 Long DBT MUN US N 2 2031-01-01 Fixed 6.25000000 N N N N N N Buffalo & Erie County Industrial Land Development Corp N/A BUFFALO & ERIE CNTY NY INDL LAND DEV CORP REVENUE 11943KCX8 225000.00000000 PA USD 246744.00000000 0.087450335882 Long DBT MUN US N 2 2035-06-01 Fixed 5.00000000 N N N N N N District of Columbia 549300HWFOZXPKGOX654 DIST OF COLUMBIA REVENUE 25483VDN1 520000.00000000 PA USD 540368.40000000 0.191515895341 Long DBT MUN US N 2 2023-10-01 Fixed 6.25000000 N N N N N N California Pollution Control Financing Authority N/A CALIFORNIA ST POLL CONTROL FING AUTH WTR FURNISHING REVENUE 13054WAA5 4780000.00000000 PA USD 5069333.40000000 1.796659325165 Long DBT MUN US N 2 2027-07-01 Fixed 5.00000000 N N N N N N Illinois Finance Authority 549300ZG6UBPNNNRN315 ILLINOIS ST FIN AUTH REVENUE 45204EA32 2000000.00000000 PA USD 2208580.00000000 0.782758903246 Long DBT MUN US N 2 2047-07-15 Fixed 4.00000000 N N N N N N Vermont Student Assistance Corp 549300VHYVRSKNFRSZ91 VERMONT ST STUDENT ASSISTANCECORP EDU LOAN REVENUE 92428CJY1 1105000.00000000 PA USD 1191488.35000000 0.422284053136 Long DBT MUN US N 2 2027-06-15 Fixed 4.13000000 N N N N N N City of Chicago IL T5UYO5SYLC8K73MJQX30 CHICAGO IL 167486VN6 1000000.00000000 PA USD 1076600.00000000 0.381565637303 Long DBT MUN US N 2 2040-01-01 Fixed 5.50000000 N N N N N N Victor Valley Union High School District N/A VICTOR VLY CA UNION HIGH SCH DIST 926055GS7 5095000.00000000 PA USD 4811768.95000000 1.705374034890 Long DBT MUN US N 2 2026-08-01 None 0.00000000 N N N N N N California Health Facilities Financing Authority 5493007RI8BUDOGHZ546 CALIFORNIA ST HLTH FACS FING AUTH REVENUE 13033LA72 1000000.00000000 PA USD 1083770.00000000 0.384106809158 Long DBT MUN US N 2 2026-11-15 Fixed 5.00000000 N N N N N N Pennsylvania Economic Development Financing Authority N/A PENNSYLVANIA ST ECON DEV FING AUTH EXEMPT FACS REVENUE 708686DU1 2625000.00000000 PA USD 2881436.25000000 1.021230781237 Long DBT MUN US N 2 2024-11-01 Fixed 5.00000000 N N N N N N Utah Housing Corp 549300YXWQEI0S47WI02 UTAH ST HSG CORP SF MTGE REVENUE 9174362A4 55000.00000000 PA USD 55975.70000000 0.019838755010 Long DBT MUN US N 2 2022-07-01 Fixed 5.45000000 N N N N N N Winrock Town Center Tax Increment Development District No 1 N/A WINROCK TOWN CENTER NM TAX INCR DEV DIST #1 97535RAB6 1000000.00000000 PA USD 1008970.00000000 0.357596397055 Long DBT MUN US N 2 2030-05-01 Fixed 5.75000000 N N N N N N State of New York Mortgage Agency 549300ZQWNLLIG564027 NEW YORK ST MTGE AGY HOMEOWNER MTGE REVENUE 649883CL7 70000.00000000 PA USD 70000.00000000 0.024809209187 Long DBT MUN US N 2 2037-10-01 Floating 0.19000000 N N N N N N Territory of Guam N/A GUAM GOVT HOTEL OCCUPANCY TAX REVENUE 40065KAK9 1220000.00000000 PA USD 1224343.20000000 0.433928379515 Long DBT MUN GU N 2 2020-11-01 Fixed 5.75000000 N N N N N N South Carolina Jobs-Economic Development Authority 5493006X47I9VG3DL112 SOUTH CAROLINA ST JOBS-ECON DEV AUTH ECON DEV REVENUE 837031WQ2 1500000.00000000 PA USD 1387560.00000000 0.491775232859 Long DBT MUN US N 2 2057-10-01 Fixed 7.75000000 N N N N N N State of Hawaii Department of Budget & Finance N/A HAWAII ST DEPT OF BUDGET & FIN SPL PURPOSE REVENUE 419800LZ8 2250000.00000000 PA USD 2314620.00000000 0.820341310992 Long DBT MUN US N 2 2049-10-01 Fixed 3.50000000 N N N N N N Massachusetts Development Finance Agency 549300UZSVMFXJK08K70 MASSACHUSETTS ST DEV FIN AGY REVENUE 57583UC89 200000.00000000 PA USD 212902.00000000 0.075456146491 Long DBT MUN US N 2 2024-07-15 Fixed 5.00000000 N N N N N N Public Finance Authority 5493004S6D3NA627K012 PUBLIC FIN AUTH WI REVENUE 74442PPU3 2000000.00000000 PA USD 2035580.00000000 0.721444714826 Long DBT MUN US N 2 2055-01-01 Fixed 5.00000000 N N N N N N City of Chicago IL T5UYO5SYLC8K73MJQX30 CHICAGO IL 167486UF4 250000.00000000 PA USD 271885.00000000 0.096360740570 Long DBT MUN US N 2 2027-01-01 Fixed 5.13000000 N N N N N N New York Transportation Development Corp N/A NEW YORK ST TRANSPRTN DEV CORPSPL FAC REVENUE 650116CM6 2000000.00000000 PA USD 2184980.00000000 0.774394655577 Long DBT MUN US N 2 2033-01-01 Fixed 5.00000000 N N N N N N New Jersey Transportation Trust Fund Authority 549300YUVD5TEXR6L889 NEW JERSEY ST TRANSPRTN TRUST FUND AUTH 6461364K4 4000000.00000000 PA USD 4393960.00000000 1.557295325733 Long DBT MUN US N 2 2038-12-15 Fixed 4.25000000 N N N N N N San Mateo Foster City School District/CA N/A SAN MATEO CA FOSTER CITY SCH DIST 799055LR7 6000000.00000000 PA USD 7220820.00000000 2.559183341214 Long DBT MUN US N 2 2032-08-01 None 0.00000000 N N N N N N New Jersey Economic Development Authority 5493006JS6QWDVU4R678 NEW JERSEY ST ECON DEV AUTH SCH REVENUE 645912FX9 1105000.00000000 PA USD 1150470.75000000 0.407746707154 Long DBT MUN US N 2 2049-06-15 Fixed 5.00000000 N N N N N N Southern Illinois University N/A STHRN IL UNIV COPS 843142BV1 715000.00000000 PA USD 767481.00000000 0.272008523948 Long DBT MUN US N 2 2029-02-15 Fixed 5.00000000 N N N N N N Louisiana Local Government Environmental Facilities & Community Development Auth 5493004WIZ1HV87IVF85 LOUISIANA ST LOCAL GOVT ENVRNMNTL FACS & CMNTY DEV AUTH REVE 54628CJD5 700000.00000000 PA USD 658294.00000000 0.233310765040 Long DBT MUN US N 2 2043-11-01 Fixed 3.95000000 N N N N N N Suffolk County Judicial Facilities Agency N/A SUFFOLK CNTY NY JUDICIAL FACS AGY LEASE REVENUE 864744AN7 1155000.00000000 PA USD 1216134.15000000 0.431018950391 Long DBT MUN US N 2 2026-11-01 Fixed 4.25000000 N N N N N N Colorado Educational & Cultural Facilities Authority 549300BJRX2FHSSZP042 COLORADO ST EDUCTNL & CULTURAL FACS AUTH REVENUE 19645RC25 1350000.00000000 PA USD 1363216.50000000 0.483147475947 Long DBT MUN US N 2 2045-04-01 Fixed 5.25000000 N N N N N N Pennsylvania Turnpike Commission 549300J8LLBYEYEXZJ24 PENNSYLVANIA ST TURNPIKE COMMISSION TURNPIKE REVENUE 709224P78 3000000.00000000 PA USD 3292200.00000000 1.166812549813 Long DBT MUN US N 2 2049-12-01 Fixed 4.00000000 N N N N N N North Carolina Medical Care Commission 549300FH6KOXGCHQYG81 NORTH CAROLINA ST MED CARE COMMISSION RETMNT FACS REVENUE 65820YKG0 1070000.00000000 PA USD 1087066.50000000 0.385275145702 Long DBT MUN US N 2 2023-07-01 Fixed 5.13000000 N N N N N N New York State Dormitory Authority 549300C8XO7EXTX2XU71 NEW YORK ST DORM AUTH REVENUES NON ST SUPPORTED DEBT 649907UC4 3200000.00000000 PA USD 3649216.00000000 1.293345187346 Long DBT MUN US N 2 2028-07-01 Fixed 5.00000000 N N N N N N Texas Private Activity Bond Surface Transportation Corp N/A TEXAS ST PRIV ACTIVITY BOND SURFACE TRANSPRTN CORP REVENUE 882667AY4 1250000.00000000 PA USD 1393112.50000000 0.493743134773 Long DBT MUN US N 2 2039-12-31 Fixed 4.00000000 N N N N N N County of Salt Lake UT 5493006VYRFL1AI6GT29 SALT LAKE CNTY UT HOSP REVENUE 795677AF0 3000000.00000000 PA USD 3570690.00000000 1.265514216479 Long DBT MUN US N 2 2028-02-15 Fixed 5.40000000 N N N N N N New Jersey Economic Development Authority 5493006JS6QWDVU4R678 NEW JERSEY ST ECON DEV AUTH ECON DEV REVENUE 64577HRZ6 765000.00000000 PA USD 764977.05000000 0.271121080815 Long DBT MUN US N 2 2027-07-01 Fixed 4.00000000 N N N N N N Arlington Higher Education Finance Corp N/A ARLINGTON TX HGR EDU FIN CORP EDU REVENUE 041806AL4 425000.00000000 PA USD 448936.00000000 0.159110673368 Long DBT MUN US N 2 2024-03-01 Fixed 5.88000000 N N N N N N New Jersey Economic Development Authority 5493006JS6QWDVU4R678 NEW JERSEY ST ECON DEV AUTH SPL FAC REVENUE 64578CAG6 2500000.00000000 PA USD 2558650.00000000 0.906829758393 Long DBT MUN US N 2 2023-09-15 Fixed 5.13000000 N N N N N N 2020-08-28 Neuberger Berman Municipal Fund Inc. John McGovern John McGovern Treasurer XXXX NPORT-EX 2 NPORT_714707498739008.htm

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) July 31, 2020

 

Principal Amount       Value  
Municipal Notes 159.6%  
Alabama 2.8%  
$   1,400,000     Black Belt Energy Gas Dist. Rev. (Goldman Sachs Group, Inc.), Ser. 2018-A, 4.00%, due 12/1/2048 Putable 12/1/2023   $ 1,539,706  
  4,400,000     Mizuho Floater/Residual Trust, Ser. 2020, (LOC: Mizuho Bank Ltd.), 0.66%, due 12/1/2048     4,400,000 (a)(b)
  1,900,000     Selma IDB Rev. (Int'l Paper Co. Proj.), Ser. 2011-A, 5.38%, due 12/1/2035     1,988,749  
          7,928,455  
American Samoa 0.7%  
  1,700,000     American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029     1,993,964  
                 
Arizona 2.5%  
  500,000     Maricopa Co. Ind. Dev. Au. Ed. Ref. Rev. (Paradise Sch. Proj. Paragon Management, Inc.), Ser. 2016, 5.00%, due 7/1/2036     535,840 (a)
  1,410,000     Maricopa Co. Ind. Dev. Au. Sr. Living Facs. Rev. (Christian Care Surprise, Inc. Proj.), Ser. 2016, 5.00%, due 1/1/2026     1,407,293 (a)
  2,250,000     Navajo Nation Ref. Rev., Ser. 2015-A, 5.00%, due 12/1/2025     2,441,092 (a)
  1,810,000     Phoenix Ind. Dev. Au. Ed. Rev. (Great Hearts Academies Proj.), Ser. 2014, 3.75%, due 7/1/2024     1,891,921  
  395,000     Phoenix Ind. Dev. Au. Rev. (Deer Valley Veterans Assisted Living Proj.), Ser. 2016-A, 5.13%, due 7/1/2036     373,800  
  400,000     Phoenix-Mesa Gateway Arpt. Au. Spec. Fac. Rev. (Mesa Proj.), Ser. 2012, 5.00%, due 7/1/2024     430,308  
        7,080,254  
California 31.7%  
  1,000,000     California Hlth. Facs. Fin. Au. Rev. (Children's Hosp. Los Angeles), Ser. 2012-A, 5.00%, due 11/15/2026     1,083,770  
  1,725,000     California Infrastructure & Econ. Dev. Bank St. Sch. Fund Rev. (King City Joint Union High Sch.), Ser. 2010, 5.13%, due 8/15/2024     1,727,674  
        California Muni. Fin. Au. Charter Sch. Lease Rev. (Sycamore Academy Proj.)    
  465,000     Ser. 2014, 5.00%, due 7/1/2024     482,047 (a)
  630,000     Ser. 2014, 5.13%, due 7/1/2029     655,383 (a)
        California Muni. Fin. Au. Charter Sch. Lease Rev. (Vista Charter Middle Sch. Proj.)    
  595,000     Ser. 2014, 5.00%, due 7/1/2024     625,952  
  430,000     Ser. 2014, 5.13%, due 7/1/2029     458,053  
  500,000     California Muni. Fin. Au. Charter Sch. Rev. (Palmdale Aerospace Academy Proj.), Ser. 2016, 5.00%, due 7/1/2031     538,320 (a)
  570,000     California Muni. Fin. Au. Rev. (Baptist Univ.), Ser. 2015-A, 5.00%, due 11/1/2030     609,746 (a)
  585,000     California Muni. Fin. Au. Rev. (Touro College & Univ. Sys. Obligated Group), Ser. 2014-A, 4.00%, due 1/1/2026     613,016  
  2,000,000     California Muni. Fin. Au. Std. Hsg. Rev. (CHF-Davis I, LLC-West Village Std. Hsg. Proj.), Ser. 2018, 5.00%, due 5/15/2051     2,262,280  
  1,300,000     California Sch. Fac. Fin. Au. Rev. (Alliance College - Ready Pub. Sch. Proj.), Ser. 2015-A, 5.00%, due 7/1/2030     1,469,299 (a)
        California St. Dept. of Veterans Affairs Home Purchase Ref. Rev.    
  2,155,000     Ser. 2016-A, 2.90%, due 6/1/2028     2,327,486  
  2,450,000     Ser. 2016-A, 2.95%, due 12/1/2028     2,648,940  
  470,000     California St. Poll. Ctrl. Fin. Au. Solid Waste Disp. Rev. (Aemerage Redak Svcs. So. California LLC Proj.), Ser. 2016, 7.00%, due 12/1/2027     235,000 (a)(c)
  2,000,000     California St. Poll. Ctrl. Fin. Au. Solid Waste Disp. Rev. (Calplant I Green Bond Proj.), Ser. 2019, 7.50%, due 12/1/2039     320,000 (a)
  1,855,000     California St. Poll. Ctrl. Fin. Au. Solid Waste Disp. Rev. (Green Bond-Rialto Bioenergy Fac. LLC, Proj.), Ser. 2019, 7.50%, due 12/1/2040     1,798,423 (a)

 

See Notes to Schedule of Investments

 

 

 

  

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount           Value  
$   4,780,000     California St. Poll. Ctrl. Fin. Au. Wtr. Furnishing Rev., Ser. 2012, 5.00%, due 7/1/2027   $ 5,069,333 (a)
    2,000,000     Emery Unified Sch. Dist. G.O. (Election 2010), Ser. 2011-A, 6.50%, due 8/1/2033 Pre-Refunded 8/1/2021     2,125,180  
    1,000,000     Golden St. Tobacco Securitization Corp. Tobacco Settlement Rev. Ref., Ser. 2018-A-2, 5.00%, due 6/1/2047     1,021,890  
    2,000,000     Imperial Comm. College Dist. G.O. Cap. Appreciation (Election 2010), Ser. 2011-A, (AGM Insured), 6.75%, due 8/1/2040 Pre-Refunded 8/1/2025     2,627,040  
    590,000     La Verne Cert. of Participation Ref. (Brethren Hillcrest Homes), Ser. 2014, 5.00%, due 5/15/2029 Pre-Refunded 5/15/2022     645,855  
    2,250,000     Los Angeles Reg. Arpt. Imp. Corp. Lease Rev. Ref. (Laxfuel Corp.), Ser. 2012, 4.50%, due 1/1/2027     2,308,208  
    3,620,000     Norwalk-La Mirada Unified Sch. Dist. G.O. Cap. Appreciation, Ser. 2005-B, (AGM Insured), 0.00%, due 8/1/2024     3,538,731  
    5,750,000     Norwalk-La Mirada Unified Sch. Dist. G.O. Cap. Appreciation (Election 2002), Ser. 2009-E, (Assured Guaranty Insured), 0.00%, due 8/1/2029     7,257,132 (d)
    5,000,000     Redondo Beach Unified Sch. Dist. G.O., Ser. 2009, 6.38%, due 8/1/2034     6,573,850  
    4,000,000     Sacramento City Fin. Au. Ref. Rev. (Master Lease Prog. Facs.), Ser. 2006-E, (AMBAC Insured), 5.25%, due 12/1/2026     5,220,760  
    2,000,000     San Bernardino Comm. College Dist. G.O. Cap. Appreciation (Election), Ser. 2009-B, 6.38%, due 8/1/2034     2,445,120  
    6,000,000     San Mateo Foster City Sch. Dist. G.O. Cap. Appreciation (Election 2008), Ser. 2010-A, 0.00%, due 8/1/2032     7,220,820 (e)
    1,540,000     Successor Agcy. to the Monrovia Redev. Agcy. Tax Allocation Rev. (Cent. Redev. Proj.), Ser. 2013, 5.00%, due 8/1/2026     1,662,861  
    2,040,000     Sweetwater Union High Sch. Dist. Pub. Fin. Au. Rev., Ser. 2013, (BAM Insured), 5.00%, due 9/1/2025     2,317,542  
    9,070,000     Victor Valley Comm. College Dist. G.O. Cap. Appreciation (Election 2008), Ser. 2009-C, 6.88%, due 8/1/2037     13,365,280  
    5,095,000     Victor Valley Joint Union High Sch. Dist. G.O. Cap. Appreciation Bonds, Ser. 2009, (Assured Guaranty Insured), 0.00%, due 8/1/2026     4,811,769  
    3,000,000     Wiseburn Sch. Dist. G.O. Cap. Appreciation (Election 2010), Ser. 2011-B, (AGM Insured), 0.00%, due 8/1/2036     3,406,800 (f)
        89,473,560  
Colorado 5.0%  
          Colorado Ed. & Cultural Facs. Au. Rev. (Charter Sch.- Atlas Preparatory Sch. Proj.)    
    500,000     Ser. 2015, 4.50%, due 4/1/2025     512,315 (a)
    1,000,000     Ser. 2015, 5.13%, due 4/1/2035     1,016,280 (a)
    1,350,000     Ser. 2015, 5.25%, due 4/1/2045     1,363,216 (a)
          Colorado Ed. & Cultural Facs. Au. Rev. Ref.    
    100,000     Ser. 2014, 4.00%, due 11/1/2024     104,564  
    750,000     Ser. 2014, 4.50%, due 11/1/2029     812,910  
    5,000,000     Denver City & Co. Arpt. Sys. Rev., Ser. 2011-B, 5.00%, due 11/15/2024     5,273,950  
    2,550,000     Plaza Metro. Dist. Number 1 Tax Allocation Rev., Ser. 2013, 4.00%, due 12/1/2023     2,605,029 (a)
    8,000,000     Villages at Castle Rock Co. Metro. Dist. #6 (Cabs - Cobblestone Ranch Proj.), Ser. 2007-2, 0.00%, due 12/1/2037     2,276,240  
        13,964,504  
Connecticut 0.3%  
    750,000     Hamden G.O., Ser. 2013, (AGM Insured), 3.13%, due 8/15/2025     786,473  
District of Columbia 2.2%  
    1,615,000     Dist. of Columbia HFA Rev. (Capitol Hill Towers Proj.), Ser. 2011, (Fannie Mae Insured), 4.10%, due 12/1/2026     1,685,430  
    1,275,000     Dist. of Columbia Rev. (Friendship Pub. Charter Sch.), Ser. 2012, 3.55%, due 6/1/2022     1,303,790  
    520,000     Dist. of Columbia Rev. (Howard Univ.), Ser. 2011-A, 6.25%, due 10/1/2023 Pre-Refunded 4/1/2021     540,368  

 

See Notes to Schedule of Investments

 

 

 

  

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount   Value  
$   650,000     Dist. of Columbia Std. Dorm. Rev. (Provident Group-Howard Prop.), Ser. 2013, 5.00%, due 10/1/2045   $ 622,161  
    2,000,000     Metro. Washington Dist. of Columbia Arpt. Au. Sys. Rev., Ser. 2011-C, 5.00%, due 10/1/2026     2,093,960  
        6,245,709  
Florida 5.3%  
    800,000     Cap. Trust Agcy. Sr. Living Rev. (H-Bay Ministries, Inc. Superior Residences-Third Tier), Ser. 2018-C, 7.50%, due 7/1/2053     401,048 (a)
    1,000,000     Cityplace Comm. Dev. Dist. Spec. Assessment Rev. Ref., Ser. 2012, 5.00%, due 5/1/2026     1,153,120  
          Florida Dev. Fin. Corp. Ed. Facs. Rev. (Renaissance Charter Sch., Inc.)    
    470,000     Ser. 2012-A, 5.50%, due 6/15/2022     480,599 (a)
    3,120,000     Ser. 2013-A, 6.75%, due 12/15/2027     3,469,502  
    1,750,000     Ser. 2014-A, 5.75%, due 6/15/2029     1,893,693  
    1,075,000     Florida Dev. Fin. Corp. Ed. Facs. Rev. Ref. (Pepin Academies, Inc.), Ser. 2016-A, 5.00%, due 7/1/2036     1,054,156  
    1,200,000     Florida Dev. Fin. Corp. Sr. Living Rev. (Tuscan Isle Champions Gate Proj.), Ser. 2016-A, 6.38%, due 6/1/2046     840,000 (a)(c)
    100,000     Greater Orlando Aviation Au. Arpt. Facs. Ref. Rev. (JetBlue Airways Corp. Proj.), Ser. 2013, 5.00%, due 11/15/2036     101,029  
    1,135,000     Lakeland Ed. Facs. Rev. Ref. (Florida So. College Proj.), Ser. 2012-A, 5.00%, due 9/1/2027     1,209,978  
    2,000,000     Lee Co. Arpt. Ref. Rev., Ser. 2011-A, 5.63%, due 10/1/2025     2,088,880  
    370,000     Lee Co. Ind. Dev. Au. Rev. (Florida Pwr. & Lt. Co. Proj.), Ser. 2016-A, 0.23%, due 12/1/2046     370,000 (b)
    920,000     Village Comm. Dev. Dist. Number 11 Spec. Assessment Rev., Ser. 2014, 4.13%, due 5/1/2029     955,622  
    1,000,000     Village Comm. Dev. Dist. Number 13 Spec. Assessment Rev., Ser. 2019, 3.70%, due 5/1/2050     1,019,450  
        15,037,077  
Georgia 1.1%  
    1,750,000     Cobb Co. Dev. Au. Sr. Living Ref. Rev. (Provident Village Creekside Proj.), Ser. 2016-A, 6.00%, due 7/1/2036     1,409,713 (a)(c)
    2,000,000     DeKalb Co. Hsg. Au. Sr. Living Rev. Ref. (Baptist Retirement Comm. of Georgia Proj.), Ser. 2019-A, 5.13%, due 1/1/2049     1,544,040 (a)
        2,953,753  
Guam 0.4%  
    1,220,000     Guam Gov't Hotel Occupancy Tax Rev., Ser. 2011-A, 5.75%, due 11/1/2020     1,224,343  
Hawaii 2.7%  
    5,200,000     Hawaii St. Arpt. Sys. Ref. Rev., Ser. 2011, 4.13%, due 7/1/2024     5,353,712  
    2,250,000     Hawaii St. Dept. of Budget & Fin. Spec. Purp. Rev. (Hawaiian Elec. Co., Inc. - Subsidiary), Ser. 2019, 3.50%, due 10/1/2049     2,314,620  
        7,668,332  
Illinois 20.4%  
    5,705,000     Berwyn G.O., Ser. 2013-A, 5.00%, due 12/1/2027     6,114,106  

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
          Chicago G.O.    
$   250,000     Ser. 2002-2002B, 5.13%, due 1/1/2027   $ 271,885  
    2,000,000     Ser. 2002-B, 5.00%, due 1/1/2025     2,186,440  
    1,000,000     Ser. 2019-A, 5.00%, due 1/1/2044     1,091,340  
          Chicago Ref. G.O.    
    1,000,000     Ser. 2005-D, 5.50%, due 1/1/2040     1,076,600  
    2,500,000     Ser. 2012-C, 5.00%, due 1/1/2024     2,580,250  
    700,000     Ser. 2014-A, 5.00%, due 1/1/2027     746,473  
    3,000,000     Ser. 2017-A, 6.00%, due 1/1/2038     3,475,590  
          Cook Co. Sch. Dist. Number 83 G.O. (Mannheim)    
    1,350,000     Ser. 2013-C, 5.45%, due 12/1/2030     1,565,271  
    1,960,000     Ser. 2013-C, 5.50%, due 12/1/2031     2,275,776  
    1,560,000     Illinois Fin. Au. Ref. Rev. (Presence Hlth. Network Obligated Group), Ser. 2016-C, 5.00%, due 2/15/2031     1,930,781  
    2,000,000     Illinois Fin. Au. Rev. Ref. (Northwestern Mem. Hlth. Care Obligated Group), Ser. 2017-A, 4.00%, due 7/15/2047     2,208,580  
    1,905,000     Illinois Sports Facs. Au. Cap. Appreciation Rev. (St. Tax Supported), Ser. 2001, (AMBAC Insured), 0.00%, due 6/15/2026     1,611,592  
          Illinois St. G.O.    
    3,900,000     Ser. 2012, 4.00%, due 8/1/2025     4,022,382  
    1,000,000     Ser. 2013, 5.00%, due 7/1/2023     1,077,960  
    5,200,000     Ser. 2017-D, 5.00%, due 11/1/2028     5,960,344  
    4,250,000     Illinois St. G.O. Ref., Ser. 2016, 5.00%, due 2/1/2024     4,638,407  
    450,000     Peoria G.O., Ser. 2016-A, (LOC: BMO Harris Bank N.A.), 0.58%, due 1/1/2031     450,000 (b)
    1,180,000     Pingree Grove Village Rev. (Cambridge Lakes Learning Ctr. Proj.), Ser. 2011, 8.00%, due 6/1/2026 Pre-Refunded 6/1/2021     1,254,092  
          So. Illinois Univ. Cert. of Participation (Cap. Imp. Proj.)    
    945,000     Ser. 2014-A-1, (BAM Insured), 5.00%, due 2/15/2027     1,018,313  
    1,375,000     Ser. 2014-A-1, (BAM Insured), 5.00%, due 2/15/2028     1,478,551  
    715,000     Ser. 2014-A-1, (BAM Insured), 5.00%, due 2/15/2029     767,481  
          Univ. of Illinois (Hlth. Svc. Facs. Sys.)    
    2,725,000     Ser. 2013, 5.00%, due 10/1/2027     3,020,908  
    2,875,000     Ser. 2013, 5.75%, due 10/1/2028     3,248,606  
    1,500,000     Upper Illinois River Valley Dev. Au. Rev. Ref. (Cambridge Lakes Learning Ctr.), Ser. 2017-A, 5.25%, due 12/1/2047     1,521,735 (a)
    1,850,000     Will Co. High Sch. Dist. Number 204 G.O. (Joliet Jr. College), Ser. 2011-A, 6.25%, due 1/1/2031     1,894,640  
        57,488,103  
Indiana 1.4%  
    3,055,000     Indiana Trans. Fin. Au. Hwy. Ref. Rev., Ser. 2004-B, (National Public Finance Guarantee Corp. Insured), 5.75%, due 12/1/2021     3,282,628  
    500,000     Valparaiso Exempt Facs. Rev. (Pratt Paper LLC Proj.), Ser. 2013, 5.88%, due 1/1/2024     532,580  
        3,815,208  
Kentucky 0.5%  
    1,350,000     Ashland City, Kentucky Med. Ctr. Ref. Rev. (Ashland Hosp. Corp. DBA Kings Daughter Med. Ctr.), Ser. 2019, (AGM Insured), 3.00%, due 2/1/2040     1,393,821  
Louisiana 2.6%  
    1,500,000     Louisiana Local Gov't Env. Fac. & Comm. (Westlake Chemical Corp.), Ser. 2010-A2, 6.50%, due 11/1/2035     1,515,150  
    1,715,000     Louisiana Local Gov't. Env. Facs. & Comm. Dev. Au. Rev. Ref. (Westside Habilitation Ctr. Proj.), Ser. 2017-A, 5.75%, due 2/1/2032     1,742,800 (a)
    775,000     Louisiana Pub. Facs. Au. Rev. (Southwest Louisiana Charter Academy Foundation Proj.), Ser. 2013-A, 7.63%, due 12/15/2028     832,404  
    700,000     Louisiana St. Local Gov’t Env. Facs. & Comm. Dev. Au. Rev. (Lafourche Parish Gomesa Proj.), Ser. 2019, 3.95%, due 11/1/2043     658,294 (a)

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
$   1,655,000     St. Charles Parish Gulf Zone Opportunity Rev. (Valero Energy Corp.), Ser. 2010, 4.00%, due 12/1/2040 Putable 6/1/2022   $ 1,731,610  
    800,000     St. John the Baptist Parish LA Rev. Ref. (Marathon Oil Corp. Proj.), Subser. 2017-A-1, 2.00%, due 6/1/2037 Putable 4/1/2023     795,880  
        7,276,138  
Massachusetts 2.3%  
          Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.)    
    200,000     Ser. 2014-F, 5.00%, due 7/15/2024     212,902  
    415,000     Ser. 2014-F, 5.00%, due 7/15/2025     440,651  
    200,000     Ser. 2014-F, 5.00%, due 7/15/2026     211,592  
    190,000     Ser. 2014-F, 5.00%, due 7/15/2027     200,551  
    150,000     Ser. 2014-F, 5.00%, due 7/15/2028     157,890  
          Massachusetts St. Ed. Fin. Au. Rev.    
    1,150,000     Ser. 2011-J, 5.00%, due 7/1/2023     1,183,281  
    1,615,000     Ser. 2012-J, 4.70%, due 7/1/2026     1,663,095  
    2,245,000     Ser. 2013-K, 4.50%, due 7/1/2024     2,354,915  
        6,424,877  
Michigan 2.3%  
    1,500,000     Detroit Downtown Dev. Au. Tax Increment Rev. Ref. (Catalyst Dev. Proj.), Ser. 2018-A, (AGM Insured), 5.00%, due 7/1/2048     1,684,230  
          Michigan St. Hsg. Dev. Au. Rev.    
    1,935,000     Ser. 2016-C, 2.05%, due 12/1/2022     1,986,684  
    1,835,000     Ser. 2016-C, 2.15%, due 6/1/2023     1,896,656  
    750,000     Michigan St. Strategic Fund Ltd. Oblig. Rev. (Improvement Proj.), Ser. 2018, 5.00%, due 6/30/2048     836,557  
    100,000     Summit Academy Pub. Sch. Academy Ref. Rev., Ser. 2005, 6.38%, due 11/1/2035     100,065  
        6,504,192  
Minnesota 4.6%  
    2,250,000     Minneapolis & St. Paul Hsg. & Redev. Au. Hlth. Care Sys. (Children's Hlth. Care Facs.), Ser. 2010-A1, (AGM Insured), 4.50%, due 8/15/2024 Pre-Refunded 8/15/2020     2,252,947  
    400,000     St. Paul Hsg. & Redev. Au. Charter Sch. Lease Rev. (Metro Deaf Sch. Proj.), Ser. 2018-A, 5.00%, due 6/15/2038     415,172 (a)
    10,440,000     Tender Option Bond Trust Receipts/Cert., Ser. 2020, (LOC: Mizuho Bank Ltd.), 0.66%, due 7/2/2022     10,440,000 (a)(b)
        13,108,119  
Mississippi 0.5%  
    1,500,000     Mississippi St. Bus. Fin. Corp. Rev. Ref. (Sys. Energy Res., Inc. Proj.), Ser. 2019, 2.50%, due 4/1/2022     1,512,750  
                   
Nevada 0.6%  
          Director of the St. of Nevada Dept. of Bus. & Ind. Rev. (Somerset Academy)    
    1,300,000     Ser. 2015-A, 4.00%, due 12/15/2025     1,311,622 (a)
    500,000     Ser. 2015-A, 5.13%, due 12/15/2045     508,520 (a)
        1,820,142  
New Jersey 10.7%  
    2,500,000     New Jersey Econ. Dev. Au. Rev. (Continental Airlines, Inc., Proj.), Ser. 1999, 5.13%, due 9/15/2023     2,558,650  
    1,230,000     New Jersey Econ. Dev. Au. Rev. (Sch. Facs. Construction), Ser. 2019-LLL, 5.00%, due 6/15/2028     1,478,165  

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
          New Jersey Econ. Dev. Au. Rev. (The Goethals Bridge Replacement Proj.)    
$   500,000     Ser. 2013, 5.25%, due 1/1/2025   $ 564,875  
    500,000     Ser. 2013, 5.50%, due 1/1/2026     567,245  
          New Jersey Econ. Dev. Au. Rev. (United Methodist Homes of New Jersey Obligated Group)    
    1,420,000     Ser. 2013, 3.50%, due 7/1/2024     1,400,574  
    1,470,000     Ser. 2013, 3.63%, due 7/1/2025     1,449,479  
    1,520,000     Ser. 2013, 3.75%, due 7/1/2026     1,498,568  
    765,000     Ser. 2013, 4.00%, due 7/1/2027     764,977  
    180,000     New Jersey Econ. Dev. Au. Rev. Ref. (Sch. Facs. Construction), Ser. 2005-K, (AMBAC Insured), 5.25%, due 12/15/2020     182,896  
    2,065,000     New Jersey Higher Ed. Assist. Au. Rev. (Std. Loan Rev.), Ser. 2012-1A, 4.38%, due 12/1/2026     2,175,126  
          New Jersey St. Econ. Dev. Au. Sch. Rev. (Beloved Comm. Charter, Sch., Inc. Proj.)    
    1,105,000     Ser. 2019-A, 5.00%, due 6/15/2049     1,150,471 (a)
    725,000     Ser. 2019-A, 5.00%, due 6/15/2054     749,882 (a)
    8,250,000     New Jersey St. Trans. Trust Fund Au., Ser. 2019-BB, 4.00%, due 6/15/2050     8,780,888  
          New Jersey St. Trans. Trust Fund Au. Trans. Sys. Rev. Ref.    
    1,250,000     Ser. 2018-A, 5.00%, due 12/15/2036     1,462,350  
    4,000,000     Ser. 2018-A, 4.25%, due 12/15/2038     4,393,960  
    1,000,000     Ser. 2018-A, (BAM Insured), 4.00%, due 12/15/2037     1,141,210  
        30,319,316  
New Mexico 0.5%  
          Winrock Town Ctr. Tax Increment Dev. Dist. Number 1 Tax Allocation Sr. Lien Rev. (Gross Receipts Tax Increment Bond)    
    500,000     Ser. 2015, 5.25%, due 5/1/2025     502,745 (a)
    1,000,000     Ser. 2015, 5.75%, due 5/1/2030     1,008,970 (a)
        1,511,715  
New York 12.3%  
    225,000     Buffalo & Erie Co. Ind. Land Dev. Corp. Rev. Ref. (Charter Sch. for Applied Technologies Proj.), Ser. 2017-A, 5.00%, due 6/1/2035     246,744  
    625,000     Buffalo & Erie Co. Ind. Land Dev. Corp. Rev. Ref. (Orchard Park), Ser. 2015, 5.00%, due 11/15/2029     668,569  
          Build NYC Res. Corp. Rev.    
    1,100,000     Ser. 2014, 5.00%, due 11/1/2024     1,191,520  
    835,000     Ser. 2014, 5.25%, due 11/1/2029     900,631  
    975,000     Ser. 2014, 5.50%, due 11/1/2044     1,030,302  
    250,000     Build NYC Res. Corp. Rev. (Metro. Lighthouse Charter Sch. Proj.), Ser. 2017-A, 5.00%, due 6/1/2047     260,543 (a)
    825,000     Build NYC Res. Corp. Rev. (New Dawn Charter Sch. Proj.), Ser. 2019, 5.75%, due 2/1/2049     863,247 (a)
          Build NYC Res. Corp. Rev. (South Bronx Charter Sch. for Int'l Cultures and the Arts)    
    305,000     Ser. 2013-A, 3.88%, due 4/15/2023     308,309  
    1,450,000     Ser. 2013-A, 5.00%, due 4/15/2043     1,471,808  
    910,000     Build NYC Res. Corp. Solid Waste Disp. Ref. Rev. (Pratt Paper, Inc. Proj.), Ser. 2014, 4.50%, due 1/1/2025     957,657 (a)
          Hempstead Town Local Dev. Corp. Rev. (Molloy College Proj.)    
    700,000     Ser. 2014, 5.00%, due 7/1/2023     764,379  
    735,000     Ser. 2014, 5.00%, due 7/1/2024     823,207  
    390,000     Ser. 2018, 5.00%, due 7/1/2030     465,520  
    1,400,000     Jefferson Co. IDA Solid Waste Disp. Rev. (Green Bond-Reenergy Black River LLC Proj.), Ser. 2014, 5.25%, due 1/1/2024     1,328,768 (a)
    1,800,000     New York City G.O., Subser. 2010-G-4, (LOC: Barclays Bank PLC), 0.14%, due 3/1/2039     1,800,000 (b)

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount       Value  
$   500,000     New York Liberty Dev. Corp. Ref. Rev. (3 World Trade Ctr. Proj.), Ser. 2014-2, 5.38%, due 11/15/2040   $ 529,170 (a)
    3,200,000     New York St. Dorm. Au. Rev. Non St. Supported Debt (Univ. Facs.), Ser. 2013-A, 5.00%, due 7/1/2028 Pre-Refunded 7/1/2023     3,649,216  
    2,300,000     New York St. Dorm. Au. Rev. Ref. Non St. Supported Debt (Montefiore Oblig. Group), Ser. 2018-A, 5.00%, due 8/1/2035     2,771,937  
    2,000,000     New York St. Mtge. Agcy. Homeowner Mtge. Ref. Rev., Ser. 2014-189, 3.45%, due 4/1/2027     2,136,320  
    70,000     New York St. Mtge. Agcy. Homeowner Mtge. Rev., Ser. 2007-142, (LOC: Royal Bank of Canada), 0.19%, due 10/1/2037     70,000 (b)
    2,000,000     New York St. Trans. Dev. Corp. Spec. Fac. Rev. (Delta Airlines, Inc.-LaGuardia Arpt. Term. C&D Redev.), Ser. 2018, 5.00%, due 1/1/2033     2,184,980  
    3,000,000     New York St. Urban Dev. Corp. Rev., Ser. 2020-A, 4.00%, due 3/15/2045     3,537,450  
          Newburgh G.O. (Deficit Liquidation)    
    520,000     Ser. 2012-B, 5.00%, due 6/15/2021     535,917  
    550,000     Ser. 2012-B, 5.00%, due 6/15/2022     585,755  
    1,435,000     Niagara Area Dev. Corp. Rev. (Niagara Univ. Proj.), Ser. 2012-A, 5.00%, due 5/1/2023 Pre-Refunded 5/1/2022     1,540,831  
    1,155,000     Suffolk Co. Judicial Facs. Agcy. Lease Rev. (H. Lee Dennison Bldg.), Ser. 2013, 4.25%, due 11/1/2026     1,216,134  
    2,000,000     Utility Debt Securitization Au. Rev., Ser. 2013-TE, 5.00%, due 12/15/2028     2,307,780  
    600,000     Westchester Co. Local Dev. Corp. Rev. Ref. (Wartburg Sr. Hsg. Proj.), Ser. 2015-A, 5.00%, due 6/1/2030     579,624 (a)
      34,726,318  
North Carolina 1.1%  
    1,115,000     North Carolina Med. Care Commission Hlth. Care Facs. Rev. (Lutheran Svc. For Aging, Inc.), Ser. 2012-A, 4.25%, due 3/1/2024     1,126,150  
    1,070,000     North Carolina Med. Care Commission Retirement Facs. Rev., Ser. 2013, 5.13%, due 7/1/2023     1,087,067  
    700,000     North Carolina Med. Care Commission Retirement Facs. Rev. (Twin Lakes Comm.), Ser. 2019-A, 5.00%, due 1/1/2049     738,794  
      2,952,011  
Ohio 6.2%  
    9,220,000     Buckeye Tobacco Settlement Fin. Au. Asset-Backed Sr. Ref. Rev., Ser. 2020-B-2, Class 2, 5.00%, due 6/1/2055     10,160,624  
    2,060,000     Cleveland Arpt. Sys. Rev. Ref., Ser. 2012-A, 5.00%, due 1/1/2027 Pre-Refunded 1/1/2022     2,200,513  
    500,000     Ohio St. Air Quality Dev. Au. Exempt Facs. Rev. (AMG Vanadium LLC), Ser. 2019, 5.00%, due 7/1/2049     508,970 (a)
    1,000,000     Ohio St. Air Quality Dev. Au. Rev. (Ohio Valley Elec. Corp. Proj.), Ser. 2014-B, 2.60%, due 6/1/2041 Putable 10/1/2029     1,040,790  
    3,500,000     Port Au. of Greater Cincinnati Dev. Rev. (Convention Ctr. Hotel Acquisition and Demolition Proj.), Ser. 2020-A, 3.00%, due 5/1/2023     3,504,585  
      17,415,482  
Oklahoma 1.1%  
    2,000,000     Oklahoma St. Dev. Fin. Au. Hlth. Sys. Rev. (OU Medicine Proj.), Ser. 2018-B, 5.00%, due 8/15/2033     2,385,680  
          Tulsa Arpt. Imp. Trust Ref. Rev.    
    250,000     Ser. 2015-A, (BAM Insured), 5.00%, due 6/1/2024     288,230  
    400,000     Ser. 2015-A, (BAM Insured), 5.00%, due 6/1/2025     459,540  
      3,133,450  
Oregon 0.0%(g)  
    30,000     Oregon St. Hsg. & Comm. Svc. Dept. Multi-Family Rev., Ser. 2012-B, (FHA Insured), 3.50%, due 7/1/2027     30,331  

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
Pennsylvania 6.6%          
          Indiana Co. Ind. Dev. Au. Rev. (Std. Cooperative Assoc., Inc.)    
$   500,000     Ser. 2012, 3.50%, due 5/1/2025   $ 516,310  
    350,000     Ser. 2012, 3.60%, due 5/1/2026     361,246  
    2,830,000     Lancaster Co. Hosp. Au. Ref. Rev. (Hlth. Centre-Landis Homes Retirement Comm. Proj.), Ser. 2015-A, 4.25%, due 7/1/2030     2,836,113  
    1,250,000     Lancaster Ind. Dev. Au. Rev. (Garden Spot Village Proj.), Ser. 2013, 5.38%, due 5/1/2028 Pre-Refunded 5/1/2023     1,402,212  
    3,430,000     Norristown Area Sch. Dist. Cert. of Participation (Installment Purchase), Ser. 2012, 4.50%, due 4/1/2027 Pre-Refunded 4/1/2022     3,659,227  
    2,625,000     Pennsylvania Econ. Dev. Fin. Au. Exempt Facs. Rev. Ref. (Amtrak Proj.), Ser. 2012-A, 5.00%, due 11/1/2024     2,881,436  
    2,350,000     Pennsylvania Econ. Dev. Fin. Au. Rev. Ref. (Tapestry Moon Sr. Hsg. Proj.), Ser. 2018-A, 6.75%, due 12/1/2053     2,259,619 (a)
    500,000     Pennsylvania St. Econ. Dev. Fin. Au. Solid Waste Disp. Rev. (CarbonLite P LLC Proj.), Ser. 2019, 5.75%, due 6/1/2036     491,300 (a)
          Pennsylvania St. Turnpike Commission Rev.    
    150,000     Subser. 2010-B2, 6.00%, due 12/1/2034 Pre-Refunded 12/1/2020     152,835  
    705,000     Subser. 2010-B2, 6.00%, due 12/1/2034 Pre-Refunded 12/1/2020     718,324  
    145,000     Subser. 2010-B2, 6.00%, due 12/1/2034 Pre-Refunded 12/1/2020     147,741  
    3,000,000     Pennsylvania St. Turnpike Commission Turnpike Rev., Subser. 2019-A, 4.00%, due 12/1/2049     3,292,200  
        18,718,563  
Puerto Rico 6.3%  
    16,373,000     Puerto Rico Sales Tax Fin. Corp. Sales Tax Rev., Ser. 2018-A-1, 5.00%, due 7/1/2058     17,691,845  
South Carolina 1.5%  
    1,500,000     South Carolina Jobs Econ. Dev. Au. Econ. Dev. Rev. (River Park Sr. Living Proj.), Ser. 2017-A, 7.75%, due 10/1/2057     1,387,560  
    2,325,000     South Carolina Jobs Econ. Dev. Au. Solid Waste Disp. Rev. (Green Bond-Jasper Pellets LLC, Proj.), Ser. 2018-A, 7.00%, due 11/1/2038     2,194,707 (a)
    750,000     South Carolina Jobs Econ. Dev. Au. Solid Waste Disp. Rev. (Repower South Berkeley LLC Proj.), Ser. 2017, 6.25%, due 2/1/2045     607,268 (a)
        4,189,535  
Tennessee 0.8%  
    2,000,000     Tennessee St. Energy Acquisition Corp. Gas Rev. (Goldman Sachs Group, Inc.), Ser. 2006-A, 5.25%, due 9/1/2023     2,268,000  
Texas 5.2%  
    250,000     Anson Ed. Facs. Corp. Ed. Rev. (Arlington Classics Academy), Ser. 2016-A, 5.00%, due 8/15/2045     268,930  
          Arlington Higher Ed. Fin. Corp. Rev. (Universal Academy)    
    425,000     Ser. 2014-A, 5.88%, due 3/1/2024     448,936  
    1,000,000     Ser. 2014-A, 6.63%, due 3/1/2029     1,096,370  
    730,000     Austin Comm. College Dist. Pub. Fac. Corp. Lease Rev., Ser. 2018-C, 4.00%, due 8/1/2042     832,047  
    475,000     Clifton Higher Ed. Fin. Corp. Rev. (Uplift Ed.), Ser. 2013-A, 3.10%, due 12/1/2022     480,975  
    250,000     Dallas Co. Flood Ctrl. Dist. Ref. G.O., Ser. 2015, 5.00%, due 4/1/2028     264,033 (a)
    2,000,000     Fort Bend Co. Ind. Dev. Corp. Rev. (NRG Energy, Inc.), Ser. 2012-B, 4.75%, due 11/1/2042     2,067,960  
    1,000,000     Harris Co. Cultural Ed. Facs. Fin. Corp. Rev. (Brazos Presbyterian Homes, Inc. Proj.), Ser. 2013-B, 5.75%, due 1/1/2028     1,053,390  

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
          Houston Higher Ed. Fin. Corp. Rev. (Cosmos Foundation)    
$   165,000     Ser. 2012-A, 4.00%, due 2/15/2022   $ 170,641  
    1,000,000     Ser. 2012-A, 5.00%, due 2/15/2032     1,047,940  
          New Hope Cultural Ed. Facs. Fin. Corp. Rev. (Beta Academy)    
    545,000     Ser. 2019, 5.00%, due 8/15/2039     566,124 (a)
    520,000     Ser. 2019, 5.00%, due 8/15/2049     535,465 (a)
    1,225,000     New Hope Cultural Ed. Facs. Fin. Corp. Sr. Living Rev. (Bridgemoor Plano Proj.), Ser. 2018-A, 7.25%, due 12/1/2053     1,146,539  
    500,000     New Hope Cultural Ed. Facs. Fin. Corp. Sr. Living Rev. (Cardinal Bay, Inc. Village On The Park Carriage), Ser. 2016-C, 5.75%, due 7/1/2051     425,750  
    1,250,000     Texas Private Activity Bond Surface Trans. Corp. Sr. Lien Rev. Ref. (North Tarrant Express Managed Lanes Proj.), Ser. 2019-A, 4.00%, due 12/31/2039     1,393,112  
    1,500,000     Texas Pub. Fin. Au. Rev. (So. Univ. Fin. Sys.), Ser. 2013, (BAM Insured), 5.00%, due 11/1/2021     1,567,725  
    1,000,000     Texas St. Private Activity Bond Surface Trans. Corp. Rev. (Segment 3C Proj.), Ser. 2019, 5.00%, due 6/30/2058     1,167,170  
        14,533,107  
Utah 3.2%  
          Salt Lake City Arpt. Rev.    
    1,000,000     Ser. 2017-A, 5.00%, due 7/1/2042     1,187,250  
    2,000,000     Ser. 2017-A, 5.00%, due 7/1/2047     2,357,300  
    1,000,000     Ser. 2018-A, 5.00%, due 7/1/2043     1,205,860  
    3,000,000     Salt Lake Co. Hosp. Rev. (IHC Hlth. Svc., Inc.), Ser. 2001, (AMBAC Insured), 5.40%, due 2/15/2028     3,570,690  
    500,000     Utah Charter Sch. Fin. Au. Rev. (Spectrum Academy Proj.), Ser. 2015, 6.00%, due 4/15/2045     500,355 (a)
          Utah Hsg. Corp. Single Family Mtge. Rev.    
    50,000     Ser. 2011-A2, Class I, 5.25%, due 7/1/2021     50,734  
    55,000     Ser. 2011-A2, Class I, 5.45%, due 7/1/2022     55,976  
        8,928,165  
Vermont 2.3%  
          Vermont Std. Assist. Corp. Ed. Loan Rev.    
    1,600,000     Ser. 2012-A, 5.00%, due 6/15/2021     1,646,176  
    210,000     Ser. 2013-A, 4.25%, due 6/15/2024     219,253  
    480,000     Ser. 2013-A, 4.35%, due 6/15/2025     500,861  
    720,000     Ser. 2013-A, 4.45%, due 6/15/2026     750,449  
    230,000     Ser. 2013-A, 4.55%, due 6/15/2027     239,556  
    1,800,000     Ser. 2014-A, 5.00%, due 6/15/2024     2,025,954  
    1,105,000     Ser. 2015-A, 4.13%, due 6/15/2027     1,191,488  
    6,573,737
Virginia 0.2%
    530,000     Fairfax Co. Econ. Dev. Au. Residential Care Fac. Rev. (Vinson Hall LLC), Ser. 2013-A, 4.00%, due 12/1/2022     541,135  
Washington 2.9%
    6,700,000     Vancouver Downtown Redev. Au. Rev. (Conference Ctr. Proj.), Ser. 2013, 4.00%, due 1/1/2028     7,284,642  
    790,000     Washington St. Hlth. Care Fac. Au. Rev. Ref. (Virginia Mason Med. Ctr.), Ser. 2017, 5.00%, due 8/15/2026     900,853  
        8,185,495
Wisconsin 2.5%
    870,000     Pub. Fin. Au. Ed. Rev. (Pine Lake Preparatory, Inc.), Ser. 2015, 4.95%, due 3/1/2030     914,240 (a)
    200,000     Pub. Fin. Au. Ed. Rev. (Resh Triangle High Sch. Proj.), Ser. 2015-A, 5.38%, due 7/1/2035     206,820 (a)
    2,800,000     Pub. Fin. Au. Hsg. Rev. (Dogwood Hsg., Inc. Southeast Portfolio Proj.), Ser. 2016-A, 4.25%, due 12/1/2051     2,497,628  

 

See Notes to Schedule of Investments

  

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

Principal Amount         Value  
$   1,330,000     Pub. Fin. Au. Rev. Ref. (Roseman Univ. Hlth. Sciences Proj.), Ser. 2015, 5.00%, due 4/1/2025   $ 1,402,751  
    2,000,000     Pub. Fin. Au. Sr. Rev. (Wonderful Foundations Charter Sch. Portfolio Proj.), Ser. 2020-A-1, 5.00%, due 1/1/2055     2,035,580 (a)
      7,057,019  
Other 6.3%
          JP Morgan Chase Putters/Drivers Trust Var. Sts. (Putters)    
    14,400,000     Ser. 2019-5027, (LOC: JP Morgan Chase Bank N.A.), 0.42%, due 6/1/2021     14,400,000 (a)(b)
    3,375,000     Ser. 2020-5033, (LOC: JP Morgan Chase Bank N.A.), 0.42%, due 2/16/2022     3,375,000 (a)(b)
    17,775,000  
    Total Investments 159.6% (Cost $413,675,192)   450,249,998  
    Other Assets Less Liabilities 0.8%   2,279,159  
    Liquidation Value of Variable Rate Municipal Term Preferred Shares (net of unamortized deferred offering costs of $24,133) (60.4)%   (170,375,867 )
    Net Assets Applicable to Common Stockholders 100.0%   $ 282,153,290  

 

(a) Securities were purchased under Rule 144A of the Securities Act of 1933, as amended, or are otherwise restricted and, unless registered under the Securities Act of 1933 or exempted from registration, may only be sold to qualified institutional investors or may have other restrictions on resale. At July 31, 2020, these securities amounted to $83,522,717, which represents 29.6% of net assets applicable to common stockholders of the Fund.
(b) Variable rate demand obligation where the stated interest rate is not based on a published reference rate and spread. Rather, the interest rate generally resets daily or weekly and is determined by the remarketing agent. The rate shown represents the rate in effect at July 31, 2020.
(c) Defaulted security.
(d) Currently a zero coupon security; will convert to 5.50% on August 1, 2021.
(e) Currently a zero coupon security; will convert to 6.13% on August 1, 2023.
(f) Currently a zero coupon security; will convert to 7.30% on August 1, 2026.
(g) Represents less than 0.05% of net assets applicable to common stockholders of the Fund.

 

See Notes to Schedule of Investments

 

 

 

 

Schedule of Investments Municipal Fund Inc.^

(Unaudited) (cont’d)

 

The following is a summary, categorized by Level (see Notes to Schedule of Investments), of inputs used to value the Fund's investments as of July 31, 2020:

 

Asset Valuation Inputs   Level 1     Level 2     Level 3     Total  
Investments:                
Municipal Notes(a)   $ —     $ 450,249,998     $ —     $ 450,249,998  
Total Investments   $ —     $ 450,249,998     $ —     $ 450,249,998  

 

(a)   The Schedule of Investments provides a categorization by state/territory for the portfolio.

 

^    A balance indicated with a "-", reflects either a zero balance or an amount that rounds to less than 1.

 

 

 

 

July 31, 2020

 

Notes to Schedule of Investments Neuberger Berman Municipal Fund Inc. (Unaudited)

 

In accordance with Accounting Standards Codification 820 “Fair Value Measurement” (“ASC 820”), all investments held by Neuberger Berman Municipal Fund Inc. (the “Fund”) are carried at the value that Neuberger Berman Investment Advisers LLC ("Management") believes the Fund would receive upon selling an investment in an orderly transaction to an independent buyer in the principal or most advantageous market for the investment under current market conditions. Various inputs, including the volume and level of activity for the asset or liability in the market, are considered in valuing the Fund’s investments, some of which are discussed below. Significant Management judgment may be necessary to value investments in accordance with ASC 820.

  

ASC 820 established a three-tier hierarchy of inputs to create a classification of value measurements for disclosure purposes. The three-tier hierarchy of inputs is summarized in the three broad Levels listed below.

 

•Level 1 – unadjusted quoted prices in active markets for identical investments

 

•Level 2 – other observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, amortized cost, etc.)

 

•Level 3 – unobservable inputs (including a Fund's own assumptions in determining the fair value of investments)

 

The inputs or methodology used for valuing an investment are not necessarily an indication of the risk associated with investing in those securities.

 

The value of the Fund’s investments in municipal notes is determined by Management primarily by obtaining valuations from independent pricing services based on readily available bid quotations, or if quotations are not available, by methods which include various considerations such as yields or prices of securities of comparable quality, coupon, maturity and type; indications as to values from dealers; and general market conditions (generally Level 2 inputs). Other Level 2 and 3 inputs used by independent pricing services to value municipal notes include current trades, bid-wanted lists (which inform the market that a holder is interested in selling a position and that offers will be considered), offerings, general information on market movement, direction, trends, appraisals, bid offers and specific data on specialty issues.

 

Management has developed a process to periodically review information provided by independent pricing services for all types of securities.

 

If a valuation is not available from an independent pricing service, or if Management has reason to believe that the valuation received does not represent the amount the Fund might reasonably expect to receive on a current sale in an orderly transaction, Management seeks to obtain quotations from brokers or dealers (generally considered Level 2 or Level 3 inputs depending on the number of quotes available). If such quotations are not readily available, the security is valued using methods the Fund’s Board of Directors has approved in the good-faith belief that the resulting valuation will reflect the fair value of the security. Numerous factors may be considered when determining the fair value of a security based on Level 2 or Level 3 inputs, including available analyst, media or other reports, securities within the same industry with recent highly correlated performance, trading in futures or American Depositary Receipts and whether the issuer of the security being fair valued has other securities outstanding.

 

Fair value prices are necessarily estimates, and there is no assurance that such a price will be at or close to the price at which the security is next quoted or next trades.

 

In August 2018, the Financial Accounting Standards Board issued Accounting Standards Update No. 2018-13, Fair Value Measurement (Topic 820: “Disclosure Framework—Changes to the Disclosure Requirements for Fair Value Measurement”) (“ASU 2018-13”). ASU 2018-13 eliminates the requirement to disclose the amount of and reasons for transfers between Level 1 and Level 2 of the fair value hierarchy, the timing of transfers between levels of the fair value hierarchy and the valuation processes for Level 3 fair value measurements. ASU 2018-13 will require the disclosure of the range and weighted average used to develop significant unobservable inputs for Level 3 fair value measurements and the changes in unrealized gains and losses for recurring Level 3 fair value measurements. ASU 2018-13 will also require that information is provided about the measurement uncertainty of Level 3 fair value measurements as of the reporting date. The guidance is effective for fiscal years, and interim periods within those fiscal years, beginning after December 15, 2019 and allows for early adoption of either the entire standard or only the provisions that eliminate or modify the disclosure requirements. Management has elected to adopt early the provisions that eliminate the disclosure requirements. Management is still currently evaluating the impact of applying the rest of the guidance.

 

For information on the Fund’s significant accounting policies, please refer to the Fund’s most recent stockholder reports.

 

 

 

 

Notes to Schedule of Investments Neuberger Berman Municipal Fund Inc. (Unaudited) (cont’d)

 

Other matters—Coronavirus: The outbreak of the novel coronavirus in many countries, which is a rapidly evolving situation, has, among other things, disrupted global travel and supply chains, and has adversely impacted global commercial activity, the transportation industry and commodity prices in the energy sector. The impact of this virus has negatively affected and may continue to affect the economies of many nations, individual companies and the global securities and commodities markets, including liquidity and volatility, in ways that cannot necessarily be foreseen at the present time. The rapid development and fluidity of this situation precludes any prediction as to its ultimate impact, which may have a continued adverse effect on economic and market conditions and trigger a period of global economic slowdown. Such conditions (which may be across industries, sectors or geographies) have impacted and may continue to impact the issuers of the securities held by the Fund.

 

For information on the Fund’s significant accounting policies, please refer to the Fund’s most recent stockholder reports.