Statement of Changes in Beneficial Ownership (4)
2022年8月20日 - 4:27AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Toronto Dominion Investments, Inc. |
2. Issuer Name and Ticker or Trading Symbol
DELAWARE INVESTMENTS MINNESOTA MUNICIPAL INCOME FUND II, INC
[
VMM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1 VANDERBILT AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2022 |
(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Muni-MultiMode Preferred Shares | 2/11/2022 | | J | | 750 | D | (1) | 0 | D (2)(3) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The 750 Muni-MultiMode Preferred Shares ("Shares") reported as disposed of in Table I represent shares that were beneficially owned by Toronto Dominion Investments, Inc. ("TDI"). In connection with the reorganization of the Issuer into Delaware Investments National Municipal Income Fund ("VFL"), the Shares were exchanged for an equal number of preferred shares of VFL in a cashless transaction. TDI is a wholly owned indirect subsidiary of The Toronto-Dominion Bank ("TD Bank"). |
(2) | This statement is jointly filed by TD Bank, TDI, Toronto Dominion Holdings (U.S.A.), Inc. ("TDH"), and TD Group US Holdings LLC ("TD GUS"). The Shares were owned directly by TDI. Toronto Dominion Holdings (U.S.A.), Inc. ("TDH") is the sole owner of TDI and TD Group US Holdings LLC ("TD GUS") is the sole owner of TDH. TD Bank is the sole owner of TD GUS. TD Bank, TDH, and TD GUS held an indirect interest in the Shares by virtue of their ownership of TDI. |
(3) | 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. |
Remarks: Exhibit 99.1 - Joint Filing Agreement Exhibit 99.2 - Joint Filer Information |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Toronto Dominion Investments, Inc. 1 VANDERBILT AVENUE NEW YORK, NY 10017 |
| X |
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TORONTO DOMINION HOLDINGS USA INC 1 VANDERBILT AVENUE NEW YORK, NY 10017 |
| X |
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TD GROUP US HOLDINGS LLC 251 LITTLE FALLS DRIVE WILMINGTON, DE 19808 |
| X |
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TORONTO DOMINION BANK TORONTO-DOMINION CENTRE, P.O. BOX 1 TORONTO, A6 M5K 1A2 |
| X |
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Signatures
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/s/ Christina Petrou on behalf of Toronto Dominion Investments, Inc. | | 8/19/2022 |
**Signature of Reporting Person | Date |
/s/ Christina Petrou on behalf of Toronto Dominion Holdings (U.S.A.), Inc. | | 8/19/2022 |
**Signature of Reporting Person | Date |
/s/ Cody Botnick on behalf of TD Group US Holdings LLC | | 8/19/2022 |
**Signature of Reporting Person | Date |
/s/ Christina Petrou on behalf of The Toronto-Dominion Bank | | 8/19/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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