0001567619-19-011932.txt : 20190523 0001567619-19-011932.hdr.sgml : 20190523 20190523131307 ACCESSION NUMBER: 0001567619-19-011932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20190521 FILED AS OF DATE: 20190523 DATE AS OF CHANGE: 20190523 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: 811-10575 FILM NUMBER: 19849092 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: 811-10575 FILM NUMBER: 19849093 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Banc of America Preferred Funding Corp CENTRAL INDEX KEY: 0001565450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-10575 FILM NUMBER: 19849094 BUSINESS ADDRESS: STREET 1: 214 NORTH TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: (980) 386-4161 MAIL ADDRESS: STREET 1: 214 NORTH TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 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: 811-10575 FILM NUMBER: 19849095 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND CENTRAL INDEX KEY: 0001162028 IRS NUMBER: 000000000 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129692124 MAIL ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 4 1 doc1.xml FORM 4 X0306 4 2019-05-21 0 0001162028 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE NC 28255 0 0 1 0 0001565450 Banc of America Preferred Funding Corp 214 NORTH TRYON STREET CHARLOTTE NC 28255 0 0 1 0 0001102113 BANK OF AMERICA NA 100 N. TRYON STREET CHARLOTTE NC 28255 0 0 1 0 0001453700 Blue Ridge Investments, L.L.C. ONE BRYANT PARK NEW YORK NY 10036 0 0 1 0 Variable Rate MuniFund Term Preferred Shares 2019-05-21 4 J 0 1605 D 0 I By Subsidiary Auction Rate Preferred Shares 2019-05-21 4 J 0 834 D 0 I By Subsidiary The 1,605 preferred shares reported as disposed of in Table I represent variable rate munifund term preferred shares (the "VMTP Shares") that were beneficially owned by Banc of America Preferred Funding Corporation ("PFC"). The VMTP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $25,041.7945 per share (which includes a liquidation preference of $25,000.00 per share and accrued dividends of $41.7945 per share). PFC is a wholly owned subsidiary of Bank of America Corporation ("BAC"). The 834 preferred shares reported as disposed of in Table I represent auction rate preferred shares (the "ARP Shares") that were beneficially owned in part by Bank of America, N.A. ("BANA") and in part by Blue Ridge Investments, L.L.C. ("Blue Ridge"). 37 ARP Shares were beneficially owned by BANA and 797 ARP Shares were beneficially owned by Blue Ridge. The ARP Shares were disposed of as a result of a redemption by the Issuer for a redemption price of $25,001.847 per share for CUSIP 018547307 (which includes a liquidation preference of $25,000.00 per share and accrued dividends of $1.847 per share) and a redemption price of $25,013.00 per share for CUSIP 018547208 (which includes a liquidation preference of $25,000.00 per share and accrued dividends of $13.00 per share). BANA and Blue Ridge are wholly owned subsidiaries of BAC. This statement is jointly filed by BAC, PFC, BANA and Blue Ridge. BAC held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiaries PFC, BANA and Blue Ridge. 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/ Ally Pecarro (Bank of America Corporation) 2019-05-23 /s/ Michael Jentis (Banc of America Preferred Funding Corporation) 2019-05-23 /s/ Michael Jentis (Bank of America, N.A.) 2019-05-23 /s/ Jude Arena (Blue Ridge Investments, L.L.C.) 2019-05-23 EX-99.1 2 ex991.htm JOINT FILING AGREEMENT
 

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 the date set forth below.
Date: May 23, 2019         BANK OF AMERICA CORPORATION
By: /s/ Ally Pecarro 
Name: Ally Pecarro
Title: Attorney-in-fact

BANC OF AMERICA PREFERRED FUNDING CORPORATION
By: /s/ Michael Jentis 
Name: Michael Jentis
Title: Authorized Signatory

BANK OF AMERICA, N.A.
By: /s/ Michael Jentis 
Name: Michael Jentis
Title: Managing Director

BLUE RIDGE INVESTMENTS, L.L.C.
By: /s/ Jude Arena 
Name: Jude Arena
Title: Authorized Signatory

 EX-99.2 3 ex992.htm JOINT FILER INFORMATION
EXHIBIT 99.2

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):
 
  
May 21, 2019
Issuer Name and Ticker or Trading Symbol:
 
  
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (AKP)
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/ Michael Jentis
Name: Michael Jentis
Title: Authorized Signatory
Date: May 23, 2019
 


Item
  
Information
Name:
  
Bank of America, N.A.
 
Address:
  
100 North Tryon Street, Suite 170
Charlotte, North Carolina 28255
Date of Event Requiring Statement (Month/Day/Year):
 
  
May 21, 2019
Issuer Name and Ticker or Trading Symbol:
 
  
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (AKP)
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:
  
Bank of America, N.A.
 
 
By: /s/ Michael Jentis
Name: Michael Jentis
Title: Managing Director
Date: May 23, 2019
 


Item
  
Information
Name:
  
Blue Ridge Investments, L.L.C.
 
Address:
  
One Bryant Park
New York, New York 10036
Date of Event Requiring Statement (Month/Day/Year):
 
  
May 21, 2019
Issuer Name and Ticker or Trading Symbol:
 
  
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (AKP)
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/ Jude Arena
Name: Jude Arena
Title: Authorized Signatory
Date: May 23, 2019