DELAWARE
INVESTMENTS MINNESOTA MUNICIPAL INCOME FUND II, INC.,
|
(Name
of Issuer)
|
MUNI-MULTIMODE
PREFERRED SHARES
|
(Title
of Class of Securities)
|
24610V806
|
(CUSIP
Number)
|
Suzanne
Franco
Secretary
Toronto
Dominion Investments, Inc.
31 West
52nd Street, Floor 18
New
York, NY 10019
(212)
827-7488
With a copy to:
Rory
Hood
Jones
Day
250
Vesey Street
New
York, NY 10281
212-326-3939
|
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
|
4/25/2019
|
(Date
of event which requires filing of this statement)
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 1
of 6 Pages
|
1
|
NAMES
OF REPORTING PERSONS
Toronto
Dominion Investments, Inc.
|
|||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
(a)
☐
(b)
☒
|
|||
3
|
SEC USE
ONLY
|
|||
4
|
SOURCE
OF FUNDS (SEE INSTRUCTIONS)
WC
|
|||
5
|
CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM
2(d) or 2(e) ☐
|
|||
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
|
|||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
|
N/A
|
|
8
|
SHARED
VOTING POWER
|
750
Shares
|
||
9
|
SOLE
DISPOSITIVE POWER
|
N/A
|
||
10
|
SHARED
DISPOSITIVE POWER
|
750
Shares
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
750 shares
|
|||
12
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) ☐
N/A
|
|||
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
100%
|
|||
14
|
TYPE OF
REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 2
of 6 Pages
|
1
|
NAMES
OF REPORTING PERSONS
Toronto
Dominion Holdings (U.S.A.), Inc.
|
|||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
(a)
☐
(b)
☒
|
|||
3
|
SEC USE
ONLY
|
|||
4
|
SOURCE
OF FUNDS (SEE INSTRUCTIONS)
N/A
|
|||
5
|
CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM
2(d) or 2(e) ☐
|
|||
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
|
|||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
|
N/A
|
|
8
|
SHARED
VOTING POWER
|
750
Shares
|
||
9
|
SOLE
DISPOSITIVE POWER
|
N/A
|
||
10
|
SHARED
DISPOSITIVE POWER
|
750
Shares
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
750
shares
|
|||
12
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) ☐
N/A
|
|||
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
100%
|
|||
14
|
TYPE OF
REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 3
of 6 Pages
|
1
|
NAMES
OF REPORTING PERSONS
TD
Group US Holdings LLC
|
|||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
(a)
☐
(b)
☒
|
|||
3
|
SEC USE
ONLY
|
|||
4
|
SOURCE
OF FUNDS (SEE INSTRUCTIONS)
N/A
|
|||
5
|
CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM
2(d) or 2(e) ☐
|
|||
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
|
|||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
|
N/A
|
|
8
|
SHARED
VOTING POWER
|
750
Shares
|
||
9
|
SOLE
DISPOSITIVE POWER
|
N/A
|
||
10
|
SHARED
DISPOSITIVE POWER
|
750
Shares
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
750
shares
|
|||
12
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) ☐
N/A
|
|||
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
100%
|
|||
14
|
TYPE OF
REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 4
of 6 Pages
|
1
|
NAMES
OF REPORTING PERSONS
The
Toronto-Dominion Bank
|
|||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
(a)
☐
(b)
☒
|
|||
3
|
SEC USE
ONLY
|
|||
4
|
SOURCE
OF FUNDS (SEE INSTRUCTIONS)
N/A
|
|||
5
|
CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM
2(d) or 2(e) ☐
|
|||
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Canada
|
|||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
|
N/A
|
|
8
|
SHARED
VOTING POWER
|
750
Shares
|
||
9
|
SOLE
DISPOSITIVE POWER
|
N/A
|
||
10
|
SHARED
DISPOSITIVE POWER
|
750
Shares
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
750 shares
|
|||
12
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) ☐
N/A
|
|||
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
100%
|
|||
14
|
TYPE OF
REPORTING PERSON (SEE INSTRUCTIONS)
BK
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 5
of 6 Pages
|
CUSIP No. 67064R805
|
SCHEDULE
13D
|
Page 6
of 6 Pages
|
Exhibit
|
Description
of Exhibit
|
99.1
|
Joint
Filing Agreement
|
99.2
|
Amendment
No. 1 to Amended and Restated Term Preferred Shares Voting Trust
Agreement dated April 25, 2019.
|
|
TORONTO
DOMINION INVESTMENTS, INC.
|
|
|
|
|
|
|
Dated:
May 3, 2019
|
By:
|
/s/
Danny Salinas
|
|
|
|
Name:
Danny Salinas
|
|
|
|
Title:
Director, President
|
|
|
TORONTO
DOMINION HOLDINGS (U.S.A.), INC.
|
|
|
|
|
|
|
Dated:
May 3, 2019
|
By:
|
/s/
Christina Petrou
|
|
|
|
Name:
Christina Petrou
|
|
|
|
Title:
Vice President & Chief Operating Officer
|
|
|
TD
GROUP US HOLDINGS LLC
|
|
|
|
|
|
|
Dated:
May 3, 2019
|
By:
|
/s/
Tejal Mehta
|
|
|
|
Name:
Tejal Mehta
|
|
|
|
Title:
Senior Counsel
|
|
|
THE
TORONTO-DOMINION BANK
|
|
|
|
|
|
|
Dated:
May 3, 2019
|
By:
|
/s/
Christina Petrou
|
|
|
|
Name:
Christina Petrou
|
|
|
|
Title:
Vice President
|
|
Name
|
Title
|
Present Principal Occupation or Employment
|
TORONTO DOMINION INVESTMENTS, INC.
|
||
EXECUTIVE OFFICERS AND DIRECTORS
|
||
Anna
Vaz
(Canadian
Citizen)
|
Director
|
Associate
Vice President, The Toronto-Dominion Bank
TD
Tower North, 77 King Street West, 19th Floor, Toronto,
Ontario, Canada M5K 1A2
|
Nancy
Haraf
(American
Citizen)
|
Director,
Vice President & Treasurer
|
Director,
Finance, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
Danny
Salinas
(American
Citizen)
|
Director,
President
|
Chief
Financial Officer, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
Name
|
Title
|
Present Principal Occupation or Employment
|
|
TORONTO DOMINION HOLDINGS (U.S.A.), INC.
|
|||
EXECUTIVE OFFICERS AND DIRECTORS
|
|||
Glenn
Gibson
(Canadian
Citizen)
|
President,
Chief Executive Officer
|
Region
Head, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
|
Christina
Petrou
(American
Citizen)
|
Director,
Vice President, Chief Operating Officer
|
Chief
Operating Officer, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
|
Nancy
Haraf
(American
Citizen)
|
Director,
Vice President & Treasurer
|
Director,
Finance, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
|
Danny
Salinas
(American
Citizen)
|
Director,
Vice President
|
Chief
Financial Officer, TD Securities (USA) LLC
31 West
52nd Street
New
York, New York 10019
|
Name
|
Present Principal Occupation or Employment
|
|
THE TORONTO-DOMINION BANK
|
||
DIRECTORS
|
||
William
E. Bennett
(US
Citizen)
|
Corporate
Director and former President and Chief Executive Officer, Draper
& Kramer, Inc.
55 West
Monroe Street
Suite
2530
Chicago,
Illinois 60603-5008
|
|
Amy W.
Brinkley
(US
Citizen)
|
Consultant,
AWB Consulting, LLC
2225
Sharon Lane
Charlotte,
North Carolina 28211
|
|
Brian
C. Ferguson
(Canadian
Citizen)
|
Corporate
Director and former President & Chief Executive Officer,
Cenovus Energy Inc.
600
Princeton Way SW#505Calgary, Alberta T2P 5N4
|
|
Colleen
A. Goggins
(US
Citizen)
|
Corporate
Director and retired Worldwide Chairman, Consumer Group, Johnson
& Johnson
7
Constitution Hill East
Princeton,
New Jersey 08540
|
|
Mary Jo
Haddad
(Canadian
Citizen)
|
Corporate
Director and retired President
and Chief Executive Officer, The Hospital for Sick
Children
1320
King Henry Court
Oakville,
Ontario L6M 2Y6
|
|
Jean-René
Halde
(Canadian
Citizen)
|
Corporate
Director and retired President and Chief Executive Officer,
Business Development Bank of Canada
2813
rue des Outardes
Saint-Laurent,
Quebec H4R 0H5
|
|
David
E. Kepler
(US
Citizen)
|
Corporate
Director and retired Executive
Vice President, The Dow Chemical Company
912
Turtle Cove
Sanford,
Michigan 48657
|
|
Brian
M. Levitt
(Canadian
Citizen)
|
Chairman
of the Board, The Toronto-Dominion Bank
P.O.
Box 1
TD Bank Tower, 4th
Floor, 66 Wellington Street
West
Toronto, Ontario M5K 1A2
|
|
Alan N.
MacGibbon
(Canadian
Citizen)
|
Corporate Director and retired Managing Partner and Chief Executive
of Deloitte LLP (Canada)
15 Birkbank Drive
Oakville, Ontario L6J 4Z1
|
Karen
E. Maidment
(Canadian
Citizen)
|
Corporate
Director and former Chief Financial and Administrative Officer, BMO
Financial Group
92
Salisbury Avenue
Cambridge,
Ontario N1S 1J5
|
Bharat
B. Masrani
(Canadian
and Great Britain Citizen)
|
Group President and Chief Executive Officer, The Toronto-Dominion
Bank
P. O. Box 1, TD Bank Tower
4th
Floor, 66 Wellington Street
West
Toronto, Ontario M5K 1A2
|
Irene
R. Miller
(US and
Canadian Citizen)
|
Chief
Executive Officer, Akim, Inc.
186
Riverside Drive, #10E
New
York, NY 10024
|
Nadir
H. Mohamed
(Canadian
Citizen)
|
Corporate
Director and former President and Chief Executive Officer, Rogers
Communications Inc.
Goodmans
LLP
333 Bay
Street, Suite 3400
Toronto,
Ontario M5H 2S7
|
Claude
Mongeau
(Canadian
Citizen)
|
Corporate Director and former President and Chief Executive
Officer, Canadian National Railway Company
195 Maplewood Ave.
Outremont, Quebec H2V 2M6
|
EXECUTIVE OFFICERS
|
|
Riaz
Ahmed
(Canadian
Citizen)
|
Group
Head and Chief Financial Officer, TD Bank Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Ajai Kumar Bambawale
(Canadian Citizen)
|
Group Head and Chief Risk Officer, TD Bank Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Gregory
Bryan Braca
(US
Citizen)
|
Group
Head, U.S. Banking, TD Bank Group and President and Chief Executive
Officer, TD Bank, America's Most Convenient Bank®
1701
Route 70E, Cherry Hill, NJ 08003
|
Norie
Clare Campbell
(Canadian
Citizen)
|
Group
Head, Customer and Colleague Experience, TD Bank Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Theresa
Lynn Currie
(Canadian
and U.S. Citizen)
|
Group
Head, Canadian Personal Banking, TD Bank Group
66
Wellington St. W., TD Bank Tower, 16th Floor, Toronto, ON
Canada M5K 1A2
|
Robert
Edward Dorrance
(Canadian
Citizen)
|
Group
Head, Wholesale Banking, TD Bank Group and Chairman, Chief
Executive Officer and President, TD Securities
66
Wellington St. W., 8th Floor, Toronto, ON
Canada M5K 1A2
|
Paul
Campbell Douglas
(Canadian
Citizen)
|
Group
Head, Canadian Business Banking, TD Bank Group
100
Wellington Street West, 27th Floor, TD West
Tower, Toronto, ON Canada M5K 1A2
|
|
|
Bharat
Bhagwanji Masrani
(Canadian
and British Citizen)
|
Group
President and Chief Executive Officer, TD Bank Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Francis
Joseph McKenna
(Canadian
Citizen)
|
Deputy
Chair, TD Bank Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Ellen
Reilly Patterson
(U.S.
Citizen)
|
Group
Head, General Counsel, TD Bank Group
1701
Route 70E, Cherry Hill, NJ 08003
|
Michael
George Rhodes
(U.S.
Citizen)
|
Group
Head, Innovation, Technology and Shared Services, TD Bank
Group
66
Wellington St. W., 4th Floor, Toronto, ON
Canada M5K 1A2
|
Leovigildo
Salom
(U.S.
Citizen)
|
Group
Head, Wealth Management and TD Insurance, TD Bank
Group
161 Bay
Street, 35th Floor, TD Canada
Trust Tower, Toronto, ON Canada M5J 2T2
|
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