0001654954-22-011625.txt : 20220822 0001654954-22-011625.hdr.sgml : 20220822 20220822084552 ACCESSION NUMBER: 0001654954-22-011625 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20220822 DATE AS OF CHANGE: 20220822 GROUP MEMBERS: TD GROUP US HOLDINGS LLC GROUP MEMBERS: TORONTO DOMINION HOLDINGS (U.S.A.), INC. GROUP MEMBERS: TORONTO-DOMINION BANK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Delaware Investments Colorado Municipal Income Fund, Inc. CENTRAL INDEX KEY: 0000907573 IRS NUMBER: 411751991 STATE OF INCORPORATION: MN FISCAL YEAR END: 0330 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86794 FILM NUMBER: 221182302 BUSINESS ADDRESS: STREET 1: 100 INDEPENDENCE STREET 2: 610 MARKET STREET CITY: PHILADELPHIA STATE: PA ZIP: 19106-2354 BUSINESS PHONE: 18005231918 MAIL ADDRESS: STREET 1: 100 INDEPENDENCE STREET 2: 610 MARKET STREET CITY: PHILADELPHIA STATE: PA ZIP: 19106-2354 FORMER COMPANY: FORMER CONFORMED NAME: DELAWARE INV COLORADO INSURED MUNICIPAL INCOME FUND INC DATE OF NAME CHANGE: 20020327 FORMER COMPANY: FORMER CONFORMED NAME: VOYAGEUR COLORADO INSURED MUNICIPAL INCOME FUND INC DATE OF NAME CHANGE: 19930621 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Toronto Dominion Investments, Inc. CENTRAL INDEX KEY: 0001344146 IRS NUMBER: 362998941 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 909 FANIN STREET 2: SUITE 1950 CITY: HOUSTON STATE: TX ZIP: 77010 BUSINESS PHONE: 713-653-8225 MAIL ADDRESS: STREET 1: 909 FANIN STREET 2: SUITE 1950 CITY: HOUSTON STATE: TX ZIP: 77010 SC 13D/A 1 ndmo_sc13da.htm SC 13D/A ndmo_sc13da.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 1)*

 

DELAWARE INVESTMENTS COLORADO MUNICIPAL INCOME FUND, INC.

(Name of Issuer)

 

MUNI-MULTIMODE PREFERRED SHARES

(Title of Class of Securities)

 

246101604

(CUSIP Number)

 

Toronto-Dominion Investments, Inc.

1 Vanderbilt Avenue

New York, NY 10017

(212) 827-7488 

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

February 11, 2022

(Date of Event Which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [  ].

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

SCHEDULE 13D

 

CUSIP No. 246101604

 

1.

Names of Reporting Persons

 

Toronto Dominion Investments, Inc. 36-2998941

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 Box if Disclosure of Legal Proceedings Is Required pursuant to Items 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:

 

0

8.

Shared Voting Power:

 

0

9. 

Sole Dispositive Power:

 

0

10.

Shared Dispositive Power:

 

0

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:

 

0 shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):

 

13.

Percent of Class Represented by Amount in Row (11):

 

0%

14.

Type of Reporting Person (See Instructions)

 

CO

 

 
2

 

 

SCHEDULE 13D

 

CUSIP No. 246101604

  

1.

Names of Reporting Persons

 

Toronto Dominion Holdings (U.S.A.), Inc. 58-1495511

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 Box if Disclosure of Legal Proceedings Is Required pursuant to Items 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:

 

0

8.

Shared Voting Power:

 

0

9. 

Sole Dispositive Power:

 

0

10.

Shared Dispositive Power:

 

0

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:

 

0 shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):

 

13.

Percent of Class Represented by Amount in Row (11):

 

0%

14.

Type of Reporting Person (See Instructions)

 

CO

 

 
3

 

 

SCHEDULE 13D

 

CUSIP No. 246101604

 

1.

Names of Reporting Persons

 

TD Group US Holdings LLC 47-4435262

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 Box if Disclosure of Legal Proceedings Is Required pursuant to Items 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:

 

0

8.

Shared Voting Power:

 

0

9. 

Sole Dispositive Power:

 

0

10.

Shared Dispositive Power:

 

0

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:

 

0 shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):

 

13.

Percent of Class Represented by Amount in Row (11):

 

0%

14.

Type of Reporting Person (See Instructions)

 

OO

 

 
4

 

 

SCHEDULE 13D

 

CUSIP No. 246101604

 

1.

Names of Reporting Persons

 

The Toronto-Dominion Bank 13-5640479

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 Box if Disclosure of Legal Proceedings Is Required pursuant to Items 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:

 

0

8.

Shared Voting Power:

 

0

9. 

Sole Dispositive Power:

 

0

10.

Shared Dispositive Power:

 

0

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:

 

0 shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):

 

13.

Percent of Class Represented by Amount in Row (11):

 

0%

14.

Type of Reporting Person (See Instructions)

 

BK

  

 
5

 

 

Item 1 Security and Issuer

 

This Amendment No. 1 (this "Amendment") amends, as set forth below, the statement on Schedule 13D, dated May 3, 2019 and filed with the SEC on May 6, 2019 (the “Original Schedule 13D”). This Amendment is being filed as a result of the reorganization of the Issuer into Delaware Investments National Municipal Income Fund (“VFL”) on February 11, 2022 (the “Reorganization”) pursuant to which Toronto Dominion Investments, Inc. ("TDI") exchanged its 300 Muni-MultiMode Preferred Shares (“MMP Shares”) of the Issuer (CUSIP No. 246101604) for an equal number of MMP Shares of VFL (CUIP No. 24610T603). The Issuer's principal executive offices are located at 2005 Market Street, Philadelphia, PA, 19103.

 

Item 2 Identity and Background

 

Item 2 of the Original Schedule 13D is hereby amended by deleting Schedule I referenced therein and replacing it with Schedule I included with this Amendment.

 

Item 3 Source and Amount of Funds or Other Consideration

 

Item 3 of the Original Schedule 13D is hereby amended by adding the following paragraph at the end thereof:

 

"In connection with the Reorganization of the Issuer into VFL, TDI exchanged its 300 MMP Shares of the Issuer (CUSIP No. 246101604) for an equal number of MMP Shares of VFL (CUSIP No. 24610T603). As a result of the Reorganization, the Reporting Persons no longer own any MMP Shares of the Issuer."

 

Item 4 Purpose of the Transaction

 

Item 4 of the Original Schedule 13D is hereby amended by adding the following paragraph at the end thereof:

 

"As a result of the Reorganization, the Reporting Persons no longer own any MMP Shares of the Issuer."

 

Item 5 Interest in Securities of the Issuer

 

Item 5 of the Original Schedule 13D, sections (d) and (e) are hereby amended and restated in its entirety as follows:

 

"(d) Not Applicable.

 

(e) On February 11, 2022, as a result of the Reorganization, the Reporting Persons ceased to be the beneficial owner of more than five percent of the class of securities."

 

Item 6 Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

Item 6 of the Original Schedule 13D is hereby amended and restated in its entirety as follows:

 

"The responses of the Reporting Persons in Item 3 and Item 4 hereof are incorporated herein by reference. All voting arrangements relating to the MMP Shares have been terminated as a result of the redemption of the MMP Shares."

 

 
6

 

 

Item 7 Material to be Filed as Exhibits

 

Item 7 of the Original Schedule 13D is hereby amended by deleting Exhibit 99.1 and Exhibit 99.2 thereto and inserting the following exhibits in their place:

 

"Exhibit

 

Description of Exhibit

 

 

 

99.1

 

Joint Filing Agreement

 

 

 

99.2

 

Certificate for TD

 

 

 

99.3

 

Secretary's Certificate for TD GUS”

 

 
7

 

 

SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: August 17, 2022

 

 

TORONTO DOMINION INVESTMENTS, INC.

       
By: /s/ Christina Petrou

 

Name:

Christina Petrou  
  Title: Vice President & Chief Operating Officer  
       

 

TORONTO DOMINION HOLDINGS (U.S.A.), INC.

 

 

 

 

 

 

By:

/s/ Christina Petrou

 

 

Name:

Christina Petrou

 

 

Title:

Vice President & Chief Operating Officer

 

 

 

 

 

 

TD GROUP US HOLDINGS LLC

 

 

 

 

 

 

By:

/s/ Cody Botnick

 

 

Name:

Cody Botnick

 

 

Title:

Assistant Secretary

 

 

 

 

 

 

THE TORONTO-DOMINION BANK

 

 

 

 

 

 

By:

/s/ Christina Petrou

 

 

Name:

Christina Petrou

 

 

Title:

Vice President

 

  

 
8

 

 

LIST OF EXHIBITS

 

Exhibit

 

Description of Exhibit

 

 

 

99.1

 

Joint Filing Agreement

 

 

 

99.2

 

Certificate for TD

 

 

 

99.3

 

Secretary's Certificate for TD GUS

 

 
9

 

 

SCHEDULE I

 

INFORMATION RELATING TO THE EXECUTIVE OFFICERS AND DIRECTORS OF THE TD ENTITIES

 

The following sets forth the name, title and present principal occupation of each executive officer and director of TDI.

 

TORONTO DOMINION INVESTMENTS, INC.

 

EXECUTIVE OFFICERS AND DIRECTORS

 

Name

 

Title

 

Principal Occupation or Employment

 

 

 

 

 

Danny Salinas

(U.S. Citizen)

 

Director, Officer, & President

 

Chief Financial Officer, Executive Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Nancy Haraf

(U.S. Citizen)

 

Director, Vice President & Treasurer

 

Director, Finance, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Richard Rosenthal

(US Citizen)

 

Officer, Vice President

 

Director, Financial & Regulatory

Reporting, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Christina Petrou

(US Citizen)

 

Officer, Vice President

 

Chief Operating Officer, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Robert Franciscus

(US Citizen)

 

Officer, Vice President

 

Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Robyn Zeller

(US Citizen)

 

 

Officer, Vice President

 

Executive Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

 
10

 

 

Executive Officers and Directors of TDH

 

The following sets forth the name, title and present principal occupation of each executive officer and director of TDH.

 

TORONTO DOMINION HOLDINGS (U.S.A.), INC.

 

EXECUTIVE OFFICERS AND DIRECTORS

 

Name

 

Title

 

Principal Occupation or Employment

 

 

 

 

 

Glenn Gibson

(Canadian Citizen)

 

President, Chief Executive Officer

 

Region Head, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Christina Petrou

(US Citizen)

 

Officer, Vice President, Chief Operating Officer

 

Chief Operating Officer, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Nancy Haraf

(U.S. Citizen)

 

Officer & Director, Vice President & Treasurer

 

Director, Finance, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Robyn Zeller

(US Citizen)

 

Officer & Director, Vice President

 

Executive Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Danny Salinas

(U.S. Citizen)

 

Officer & Director, Vice President

 

Chief Financial Officer, Executive Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Robert Franciscus

(US Citizen)

 

Officer, Vice President

 

 

Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Pradeep Mehra

(India Citizen)

 

Officer, Vice President

 

 

Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Peter Stroud

(US Citizen)

 

Officer, Vice President

 

 

Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Robert Doster

(US Citizen)

 

 

 

Officer, Vice President

 

 

 

Managing Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

Stuart Homcy

(US Citizen)

 

Officer, Vice President

 

Director, TD Securities (USA) LLC

1 Vanderbilt Avenue,

New York, NY 10017

 

 
11

 

 

Executive Officers and Directors of TD

 

The following sets forth the name, title and present principal occupation of each executive officer and director of TD.

 

THE TORONTO-DOMINION BANK

 

DIRECTORS

 

Name

 

Principal Occupation or Employment

 

 

 

Cherie L. Brant

(Canadian Citizen)

 

 

Partner

Borden Ladner Gervais LLP

22 Adelaide St West, Suite 3400

Toronto, Ontario M5H 4E3

 

Amy W. Brinkley

(U.S. 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#505

Calgary, Alberta T2P 5N4

 

Colleen A. Goggins

(U.S. Citizen)

 

 

 

Corporate Director and retired Worldwide Chairman,

Consumer Group, Johnson & Johnson

7 Constitution Hill East

Princeton, New Jersey 08540

 

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

(U.S. 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

66 Wellington Street West, 4th Floor

Toronto, Ontario M5K 1A2

 

Alan N. MacGibbon

(Canadian Citizen)

 

 

Corporate Director and retired Managing Partner and Chief Executive of Deloitte LLP

15 Birkbank Drive

Oakville, Ontario L6J 4Z1

 

 
12

 

 

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 British Citizen)

 

 

Group President and Chief Executive Officer

The Toronto-Dominion Bank

P.O. Box 1, TD Bank Tower

66 Wellington Street West, 4th Floor

Toronto, Ontario M5K 1A2

 

Nadir H. Mohamed

(Canadian Citizen)

 

 

Corporate Director and former President and Chief Executive Officer,

Rogers Communications Inc.

Goodmans LLP

Bay Adelaide Centre

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

 

S. Jane Rowe

(Canadian Citizen)

 

 

Vice Chair, Investments

Ontario Teachers' Pension Plan Board

5650 Yonge Street

Toronto, Ontario M2M 4H5

 

Nancy G. Tower

(Canadian Citizen)

 

 

Former President & Chief Executive Officer, Tampa Electric Company

1550 Dresden Row, Unit 1605

Halifax, Nova Scotia, Canada B3J 4A2

 

 
13

 

 

EXECUTIVE OFFICERS

 

Name

 

Principal Occupation or Employment

 

 

 

Bharat B. Masrani

(Canadian and British Citizen)

 

 

Group President and Chief Executive Officer, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Riaz Ahmed

(Canadian Citizen)

 

 

President and CEO of TD Securities,  Group Head, Wholesale Banking, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Ajai K. Bambawale

(Canadian Citizen)

 

 

Group Head and Chief Risk Officer, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Raymond Chun

(Canadian Citizen)

 

 

Group head, Wealth and Insurance, TD Bank Group

161 Bay Street, 35th Floor

Toronto, Ontario M5J 2T2  Canada

 

Paul C. Douglas

(Canadian Citizen)

 

 

Group Head, Canadian Business Banking, TD Bank Group

100 Wellington Street West, 27th Floor, TD West Tower

Toronto, Ontario M5K 1A2  Canada

 

Barbara Hooper

(Canadian Citizen)

 

 

Senior Executive Vice President, Treasury and Enterprise Strategy, TD Bank

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Greg Keeley

(U.S. Citizen)

 

 

Senior Executive Vice President, Platforms & Technology, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Kenneth W. Lalonde

(Canadian Citizen)

 

 

Senior Executive Vice President and

Chief Human Resources Officer, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Jane A. Langford

(Canadian Citizen)

 

 

Executive Vice President and General Counsel, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Christine Morris

(Canadian Citizen)

 

Senior Executive Vice President, Transformation, Enablement and Customer Experience

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Anita O'Dell

(U.S. Citizen)

 

Senior Vice President and Chief Auditor, TD Bank Group

US Audit Admin 200 Carolina Point Pkwy, Bldg B

Greenville,  SC  29607 SC1-009-415

 

Michael G. Rhodes

(U.S. Citizen)

 

 

Group Head, Canadian Personal Banking, TD Bank Group

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

Leovigildo Salom

(U.S. Citizen)

 

 

Group Head, U.S. Retail and CEO

TD Bank and President and CEO, TD Bank, America's Most Convenient Bank®

1701 Route 70 East, 2nd Floor

Cherry Hill, Camden, NJ 08003

 

Kelvin Vi Luan Tran

(Canadian Citizen)

 

 

Senior Executive Vice President and Chief Financial Officer, TD Bank

66 Wellington St. W., 4th Floor

Toronto, Ontario MK5 1A2  Canada

 

 

 
14

 

EX-99.1 2 ndmo_ex991.htm EX-99.1 ndmo_ex991.htm

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: August 17, 2022

 

 

TORONTO DOMINION INVESTMENTS, INC.

       
By: /s/ Christina Petrou

 

Name: 

Christina Petrou  
  Title: Vice President & Chief Operating Officer  

 

 

TORONTO DOMINION HOLDINGS (U.S.A.), INC.

       
By: /s/ Christina Petrou

 

Name: 

Christina Petrou  
  Title: Vice President & Chief Operating Officer  

 

 

TD GROUP US HOLDINGS LLC

       
By: /s/ Cody Botnick

 

Name: 

Cody Botnick  
  Title: Assistant Secretary  

 

 

THE TORONTO-DOMINION BANK

       
By: /s/ Christina Petrou

 

Name: 

Christina Petrou  
  Title: Vice President  

 

EX-99.2 3 ndmo_ex992.htm EX-99.2 ndmo_ex992.htm

EXHIBIT 99.2

 

THE TORONTO-DOMINION BANK

 

CERTIFICATE

 

"RESOLVED THAT:

 

 

1.

The Chief Executive Officer of the Bank be and is hereby authorized to designate offices of the Bank and appoint such officers thereto as the Chief Executive Officer may consider necessary to carry on the business of the Bank.

 

 

 

 

2.

The Group Head, Senior Executive Vice President or Executive Vice President with enterprise responsibility for Human Resources of the Bank be and is hereby authorized to appoint persons to the position of Vice President, Associate Vice President or District Vice President as the aforementioned Group Head may consider appropriate.

 

 

 

 

3.

Without restricting the authority of the Chief Executive Officer set out in paragraph 1 above, any position at the level of Group Head or Senior Executive Vice President or above, together with the respective Human Resources Operating Committee ("HROC") member for the business segment or functional area of the Bank be and are hereby authorized to appoint persons to the position of Vice President, Associate Vice President or District Vice President as the aforementioned Group Head or Senior Executive Vice President or above, and HROC member may consider appropriate.

 

 

 

 

4.

All instruments and documents necessary or proper to be executed by the Bank, either under corporate seal or otherwise, which, for greater certainty in the Province of Quebec, includes without limitation all powers of attorney, releases, discharges or main levées given for any or no consideration, may be signed by:

 

 

(a)

any one of the Chair, the Chief Executive Officer, the President, the Chief Operating Officer, the Secretary, a Vice Chair, a Group Head, a Senior Executive Vice President, an Executive Vice President or a Senior Vice President; or

 

 

 

 

(b)

the holder of any office created in the future at a level that is greater than or equivalent to a Senior Vice President; or

 

 

 

 

(c)

any holder of an office, the holder of which is designated by the Chief Executive Officer as authorized to sign instruments and documents on behalf of the Bank; or

 

 

 

 

(d)

any holder of the position of Vice President, Associate Vice President or District Vice President, the holder of which is designated by the Group Head, Senior Executive Vice President or Executive Vice President with enterprise responsibility for Human Resources as authorized to sign instruments and documents on behalf of the Bank; or

 

 

 

 

(e)

any holder of the position of Vice President, Associate Vice President or District Vice President, the holder of which is designated by any position at the level of Group Head or Senior Executive Vice President or above together with the respective HROC member for the business segment or functional area of the Bank, as authorized to sign instruments and documents on behalf of the Bank; or

 

 

 

 

(f)

one or more persons specifically designated for that purpose by:

 

 

(i)

the Chief Executive Officer;

 

(ii)

the Group Head, Senior Executive Vice President or Executive Vice President with enterprise responsibility for Human Resources;

 

(iii)

any position at the level of Group Head or Senior Executive Vice President or above together with the respective HROC member for the business segment or functional area of the Bank;

 

 

 

 

 

each of whom shall have the authority to affix the corporate seal of the Bank and all instruments and documents so signed or so signed and sealed shall be valid and binding on the Bank."

 

I, Gwen F. Hughes, the undersigned Associate Vice President, Legal and Corporate Secretary of The Toronto-Dominion Bank (the "Bank"), do hereby certify that:

 

 

1.

The foregoing resolution of the Bank is a true copy of a resolution duly passed by the Board of Directors of the Bank (the "Board") at a meeting of the Board duly called and held on the 26th day of May, 2021 and that the said resolution has not been amended or rescinded and is still in full force and effect as at the date hereof; and that

 

 

 

 

2.

Christina Petrou has been designated as authorized to sign instruments and documents on behalf of the Bank, either under corporate seal of the Bank or otherwise; and that

 

 

 

 

3.

The aforesaid designation has not been revoked or amended and is in full force and effect as at this date.

 

 

 

IN WITNESS WHEREOF I have hereunto subscribed my name at the City of Toronto, in the Province of Ontario, this 21st day of June, 2022.

 

/s/ Gwen F. Hughes

 

 

Gwen F. Hughes

 
   

Associate Vice President, Legal and

 
    Corporate Secretary  

 

 

 

EX-99.3 4 ndmo_ex993.htm EX-99.3 ndmo_ex993.htm

EXHIBIT 99.3

 

TD GROUP US HOLDINGS LLC

SECRETARY'S CERTIFICATE

 

The undersigned, being the duly elected, qualified and acting Assistant Secretary of TD Group US Holdings LLC, a Delaware Limited Liability Company, hereby certifies that the following person is a duly elected officer of TD Group US Holdings LLC:

 

Cody J. Botnick, Assistant Secretary

 

IN WITNESS WHEREOF, the undersigned has executed this certificate on the 14th day of June 2022.

 

/s/ Lydia C. Boose

 

 

Lydia C. Boose, Assistant Corporate Secretary