0001140361-23-035274.txt : 20230719 0001140361-23-035274.hdr.sgml : 20230719 20230719201537 ACCESSION NUMBER: 0001140361-23-035274 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20230717 FILED AS OF DATE: 20230719 DATE AS OF CHANGE: 20230719 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05877 FILM NUMBER: 231097898 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blue Ridge Investments, L.L.C. CENTRAL INDEX KEY: 0001453700 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05877 FILM NUMBER: 231097897 BUSINESS ADDRESS: STREET 1: ONE BRYANT PARK CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 980-254-4395 MAIL ADDRESS: STREET 1: ONE BRYANT PARK CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA NA CENTRAL INDEX KEY: 0001102113 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05877 FILM NUMBER: 231097896 BUSINESS ADDRESS: STREET 1: 100 N. TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: (704) 386-5494 MAIL ADDRESS: STREET 1: 100 N. TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BNY MELLON STRATEGIC MUNICIPAL BOND FUND, INC. CENTRAL INDEX KEY: 0000855887 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 051287040 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: C/O BNY MELLON INVESTMENT ADVISER, INC. STREET 2: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 2129226400 MAIL ADDRESS: STREET 1: C/O BNY MELLON INVESTMENT ADVISER, INC. STREET 2: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS STRATEGIC MUNICIPAL BOND FUND, INC. DATE OF NAME CHANGE: 20181030 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS STRATEGIC MUNICIPAL BOND FUND INC DATE OF NAME CHANGE: 19920703 4 1 form4.xml X0508 4 2023-07-17 0000855887 BNY MELLON STRATEGIC MUNICIPAL BOND FUND, INC. DSM 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 NORTH TRYON STREET CHARLOTTE NC 28255 true 0001453700 Blue Ridge Investments, L.L.C. ONE BRYANT PARK NEW YORK NY 10036 true 0001102113 BANK OF AMERICA NA 100 NORTH TRYON STREET CHARLOTTE NC 28255 true false Series A Auction Preferred Stock 2023-07-17 4 J 0 80 25000 D 0 I By Subsidiaries Series B Auction Preferred Stock 2023-07-19 4 J 0 136 25000 D 0 I By Subsidiary CUSIP 09662E208 CUSIP 09662E307 The shares were called for redemption by the issuer per Form N-23C-2 filed on July 3, 2023 The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA") and Blue Ridge Investments, LLC. BANA and Blue Ridge Investments, LLC are wholly owned subsidiaries of Bank of America Corporation. The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation. Andres Ortiz, Authorized Signatory, on behalf of Bank of America Corporation 2023-07-19 Jude Arena, Authorized Signatory, on behalf of Blue Ridge Investments, LLC 2023-07-19 Andres Ortiz, Authorized Signatory, on behalf of Bank of America, NA 2023-07-19 EX-24.1 2 brhc20056105_ex24-1.htm EXHIBIT 24.1
Exhibit 24.1
 
BANK OF AMERICA CORPORATION
 
LIMITED POWER OF ATTORNEY

BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Szabina Biro, Hannah Chae, Andres Ortiz Custodio, Kamil Dziedzic, Krishnan Harihanran, Kelvin Kwok, Frank Lui, James Todd, Michelle Wong, and Monica Yako as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Corporation's use and benefit, to bind the Corporation by their execution of those agreements, forms and documents related specifically to Section 13 and Section 16 of the Securities Exchange Act of 1934, and other large shareholder and short position regulatory reporting requirements in other jurisdictions.
 
Any documents executed by an attorney-in-fact in accordance with this Limited Power of Attorney shall fully bind and commit the Corporation and all other parties to such documents may rely upon the execution thereof by the attorney-in fact as if executed by the Corporation and as the true and lawful act of the Corporation.
 
This Limited Power of Attorney shall automatically terminate as to the authority of Szabina Biro, Hannah Chae, Andres Ortiz Custodio, Kamil Dziedzic, Krishnan Harihanran, Kelvin Kwok, Frank Lui, James Todd, Michelle Wong, and Monica Yako upon the earlier of the date period of 12 months from the date hereof or the attorney-in-fact's resignation or termination from or transfer out of the Global Markets Non-Financial Regulatory Reporting Department; however, any such resignation, termination or transfer shall have no impact on any documents or instruments executed by any att orn ey-in- fact named above for the Corporation prior to such resignation, termination or transfer.
 
This Limited Power of Attorney shall revoke the Limited Power of Attorney executed by the Corporation on May 4, 2022; however, such revocation shall have no impact on any actions taken pursuant to that Power of Attorney.
 
IN WITNESS WHEREOF, this Power of Attorney has been executed and delivered by the Corporation to the Attorney-in-Fact on this 11th day of May, 2023.

 
BANK OF AMERICA CORPORATION
   
 
By: 
Ellen A. Perrin
 
Ellen A. Perrin
 
Assistant General Counsel, Senior Vice President and Assistant Secretary
 

 EX-24.2 3 brhc20056105_ex24-2.htm EXHIBIT 24.2
Exhibit 24.2
 
BLUE RIDGE INVESTMENTS, L.L.C. CERTIFICATE OF SECRETARY RELATING TO OFFICER AUTHORITY
 
I, Maria S. Barnes, Secretary of Blue Ridge Investments, L.L.C., a Delaware limited liability company (the “Company”), do hereby certify that:

1.
I am a duly appointed, qualified and acting Secretary of the Company.

2.
The individual listed below has been duly appointed and qualified to the office indicated below and currently holds such office.

Name
Title
Jude Arena
Managing Director

3.
Section 3.3 of the Amended and Restated Limited Liability Company Agreement of the Company reads as follows:

Section 3.3 Officers. The officers of the Company may (but are not required to) include a President, a Vice President, Secretary, and such other officers as appointed, from time to time, by consent in writing of the Board. Such officers shall serve at the pleasure of the Board.  Unless the Board decides otherwise, if the title is one commonly used for officers of a business corporation formed under the General Corporation Law of the State of Delaware, the assignment of such title shall constitute the delegation to such officer of the authority and duties that are normally associated with that office, subject to the restrictions on such authority imposed by the Board. Writing by the Board consenting to the appointment of officers shall be filed in the minutes of the Company.

4.
Attached hereto as Exhibit A is a true and correct excerpt from the Resolutions Re Annual Appointment of Officers adopted by the Board of Directors of the Company on September 18, 2017 (the “Excerpt”), all to the extent set forth therein, and that such Excerpt is in full force and effect and has not been amended or rescinded as of the date hereof.

5.
Jude Arena is a Volcker Desk Head for a line of business that manages an investment held by the Company and holds the title of Managing Director with his employing entity. As such, has been duly appointed and qualified as the Managing Director of the Company pursuant to the Resolutions and he currently holds such office.

6.
In his capacity as a Managing Director of the Company, Jude Arena is authorized to execute and deliver on behalf of the Company all instruments, contracts, agreements and documents of whatsoever type in accordance with Section 3.3 of the Amended and Restated Limited Liability Company Agreement of the Company.

IN WITNESS WHEREOF, I have hereupon set my hand of said Company this 6th day of June 2022.

Maria S. Barnes
 
Maria S. Barnes Secretary

EXHIBIT A
 
EXCERPT FROM RESOLUTION RE ANNUAL APPOINTMENT OF OFFICERS
September 18, 2017
 
FURTHER RESOLVED, that any Bank of America employee (“Employee”) who serves from time to time as a Volcker Control Forum Chair or Volcker Desk Head (as tracked by the Enterprise Volcker Team) for any line of business (LOB) which manages an investment held by the Company shall be deemed an officer of the Company and shall have signature authority for such investment managed by said Employee’s LOB. Said Volcker Control Forum Chair or Volcker Desk Head shall be deemed to hold the same title as the Employee holds with his or her employing entity.


 EX-99.1 4 brhc20056105_ex99-1.htm EXHIBIT 99.1
Exhibit 99.1

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 July 18, 2023.

BANK OF AMERICA CORPORATION
   
By:
/s/ Andres Ortiz Custodio
Name: Andres Ortiz Custodio
Title: Authorized Signatory
   
BANK OF AMERICA, NATIONAL ASSOCIATION
   
By:
/s/ Andres Ortiz Custodio
Name: Andres Ortiz Custodio
Title: Authorized Signatory
   
BLUE RIDGE INVESTMENTS, LLC
   
By:
/s/ Jude Arena
Name: Jude Arena
Title: Authorized Signatory