0001140361-14-028013.txt : 20140709 0001140361-14-028013.hdr.sgml : 20140709 20140709114053 ACCESSION NUMBER: 0001140361-14-028013 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140709 DATE AS OF CHANGE: 20140709 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC CENTRAL INDEX KEY: 0001178840 IRS NUMBER: 522372411 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 605 THIRD AVE STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10158-0180 BUSINESS PHONE: 2124768800 MAIL ADDRESS: STREET 1: 605 THIRD AVE STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10158-0180 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-21167 FILM NUMBER: 14966733 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 3/A 1 doc1.xml FORM 3/A X0206 3/A 2014-06-30 2014-07-09 0 0001178840 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC NBW 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE NC 28255 0 0 1 0 Variable Rate Municipal Term Preferred Shares 590 I By Subsidiary This statement is jointly filed by Bank of America Corporation ("Bank of America"), Banc of America Preferred Funding Corporation ("PFC") and Blue Ridge Investments, L.L.C. ("Blue Ridge"). Bank of America holds an indirect interest in the shares listed in Table I (the "Shares") by virtue of its indirect 100% ownership of its subsidiaries PFC and Blue Ridge. 345 of the Shares are beneficially owned by PFC and 245 of the Shares are beneficially owned by Blue Ridge. PFC and Blue Ridge are each indirect wholly owned subsidiaries of Bank of America. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. /s/ Edward Curland (Banc of America Preferred Funding Corporation) 2014-06-30 /s/ Sun Kyung Bae (Bank of America Corporation) 2014-06-30 /s/ Edward Curland (Blue Ridge Investments, L.L.C.) 2014-06-30 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS Unassociated Document
 
 
 


 
JOINT FILING AGREEMENT
 
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.
 
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.
 

Date: May 8, 2014                                           BANK OF AMERICA CORP. /DE/

By: /s/ Sun Kyung Bae
Name: Sun Kyung Bae
Title: Attorney-in-fact



BANC OF AMERICA PREFERRED FUNDING CORPORATION

By: /s/ Edward Curland
Name: Edward Curland
Title: Authorized Signatory



BLUE RIDGE INVESTMENTS, L.L.C.

By: /s/ Edward Curland
Name: Edward Curland
Title: Authorized Signatory


 
 
 

EX-99.2 3 misc2.htm MISCELLANEOUS EXHIBITS
JOINT FILER INFORMATION


Item
 
Information
Name:
 
Banc of America Preferred Funding Corporation
 
Address:
 
214 North Tryon Street
Charlotte, North Carolina 28255
Date of Event Requiring Statement (Month/Day/Year):
 
 
June 30, 2014
Issuer Name and Ticker or Trading Symbol:
 
 
Neuberger Berman California Intermediate Municipal Fund Inc. (NBW)
Relationship of Reporting Person(s) to Issuer:
 
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
 
Not Applicable
Individual or Joint/Group Filing:
 
 
Form filed by More than One Reporting Person
Signature:
 
Banc of America Preferred Funding Corporation
 
 
By: /s/ Edward Curland
Name: Edward Curland
Title: Authorized Signatory
 


Item
 
Information
Name:
 
Blue Ridge Investments, L.L.C.
 
Address:
 
214 North Tryon Street
Charlotte, North Carolina 28255
Date of Event Requiring Statement (Month/Day/Year):
 
 
June 30, 2014
Issuer Name and Ticker or Trading Symbol:
 
 
Neuberger Berman California Intermediate Municipal Fund Inc. (NBW)
Relationship of Reporting Person(s) to Issuer:
 
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
 
Not Applicable
Individual or Joint/Group Filing:
 
 
Form filed by More than One Reporting Person
Signature:
 
Blue Ridge Investments, L.L.C.
 
 
By: /s/ _Edward Curland
Name: Edward Curland
Title: Authorized Signatory