Bank Of America Corp /De/ - May 7, 2015 Form 4 Insider Report for NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND (NAN)

Role
10%+ Owner
Signature
BANK OF AMERICA CORP /DE/ By: Bank of America Corp /DE/ Its: Authorized Signatory Andres Ortiz
Stock symbol
NAN
Transactions as of
May 7, 2015
Transactions value $
$212
Form type
4
Date filed
12/13/2024, 04:23 PM
Previous filing
Dec 13, 2024
Next filing
Dec 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NAN Common Stock Purchase $13.7K +1K $13.73 1K May 7, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$13.7K -1K -100% $13.69 0 May 7, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$2.73K -200 -100% $13.63 0 Oct 7, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$450 -33 -100% $13.63 0 Oct 7, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$232 -17 -100% $13.63 0 Oct 7, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $3.41K +250 $13.63 0 Oct 8, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $1.42K +103 $13.83 103 Nov 2, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $816 +59 +57.28% $13.83 162 Nov 2, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$2.2K -162 -100% $13.56 0 Nov 11, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$167 -12 -100% $13.95 0 Dec 18, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $169 +12 $14.05 0 Dec 21, 2015 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $27.7K +1.93K $14.41 1.93K Feb 26, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$20.2K -1.4K -72.73% $14.40 525 Feb 26, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$7.55K -525 -100% $14.39 0 Feb 26, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$3.53K -247 -100% $14.28 0 Mar 2, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $3.53K +247 $14.28 0 Mar 2, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $362 +25 $14.50 25 Mar 16, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$362 -25 -100% $14.48 0 Mar 17, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$605 -40 -100% $15.11 0 Apr 22, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $604 +40 $15.11 0 Apr 26, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $665 +43 $15.46 43 Jun 27, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$674 -43 -100% $15.67 0 Jul 1, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $1K +64 $15.65 64 Jul 18, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$1K -64 -100% $15.62 0 Jul 18, 2016 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$3.92K -279 -100% $14.06 0 Jun 22, 2017 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $1.41K +100 $14.08 0 Jun 22, 2017 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $1.11K +79 $14.08 0 Jun 22, 2017 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $1.41K +100 $14.08 0 Jun 22, 2017 See Footnotes F1, F2, F3
transaction NAN Common Stock Purchase $34.9K +2.52K $13.86 2.52K Nov 1, 2017 See Footnotes F1, F2, F3
transaction NAN Common Stock Sale -$34.8K -2.52K -100% $13.82 0 Nov 2, 2017 See Footnotes F1, F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NAN Equity Swap Sale -285 -100% 0 Sep 8, 2022 Common Stock 285 See Footnotes F1, F2, F3, F4
transaction NAN Equity Swap Purchase +285 0 Sep 13, 2022 Common Stock 285 See Footnotes F1, F2, F3, F5
transaction NAN Equity Swap Sale -115 -100% 0 Sep 13, 2022 Common Stock 115 See Footnotes F1, F2, F3, F5
transaction NAN Equity Swap Purchase +115 0 Sep 14, 2022 Common Stock 115 See Footnotes F1, F2, F3, F6
transaction NAN Equity Swap Purchase +26 26 Sep 14, 2022 Common Stock 26 See Footnotes F1, F2, F3, F7
transaction NAN Equity Swap Sale -26 -100% 0 Oct 4, 2022 Common Stock 26 See Footnotes F1, F2, F3, F8
transaction NAN Equity Swap Sale -932 -100% 0 Oct 4, 2022 Common Stock 932 See Footnotes F1, F2, F3, F9
transaction NAN Equity Swap Purchase +932 0 Oct 5, 2022 Common Stock 932 See Footnotes F1, F2, F3, F10
transaction NAN Equity Swap Sale -1.93K -100% 0 Oct 5, 2022 Common Stock 1.93K See Footnotes F1, F2, F3, F10
transaction NAN Equity Swap Purchase +1.93K 0 Oct 11, 2022 Common Stock 1.93K See Footnotes F1, F2, F3, F11
transaction NAN Equity Swap Sale -1.3K -100% 0 Oct 11, 2022 Common Stock 1.3K See Footnotes F1, F2, F3, F11
transaction NAN Equity Swap Purchase +1.3K 0 Oct 12, 2022 Common Stock 1.3K See Footnotes F1, F2, F3, F12
transaction NAN Equity Swap Sale -1.19K -100% 0 Oct 12, 2022 Common Stock 1.19K See Footnotes F1, F2, F3, F12
transaction NAN Equity Swap Purchase +1.19K 0 Oct 20, 2022 Common Stock 1.19K See Footnotes F1, F2, F3, F13
transaction NAN Equity Swap Sale -1.74K -100% 0 Oct 20, 2022 Common Stock 1.74K See Footnotes F1, F2, F3, F13
transaction NAN Equity Swap Purchase +1.74K 0 Oct 27, 2022 Common Stock 1.74K See Footnotes F1, F2, F3, F14
transaction NAN Equity Swap Sale -2.08K -100% 0 Oct 27, 2022 Common Stock 2.08K See Footnotes F1, F2, F3, F14
transaction NAN Equity Swap Purchase +2.08K 0 Nov 1, 2022 Common Stock 2.08K See Footnotes F1, F2, F3, F15
transaction NAN Equity Swap Sale -2.04K -100% 0 Nov 1, 2022 Common Stock 2.04K See Footnotes F1, F2, F3, F15
transaction NAN Equity Swap Purchase +2.04K 0 Nov 2, 2022 Common Stock 2.04K See Footnotes F1, F2, F3, F16
transaction NAN Equity Swap Sale -1.18K -100% 0 Nov 2, 2022 Common Stock 1.18K See Footnotes F1, F2, F3, F16
transaction NAN Equity Swap Purchase +1.18K 0 Nov 2, 2022 Common Stock 1.18K See Footnotes F1, F2, F3, F17
transaction NAN Equity Swap Sale -1.02K -100% 0 Nov 2, 2022 Common Stock 1.02K See Footnotes F1, F2, F3, F17
transaction NAN Equity Swap Purchase +1.02K 0 Nov 3, 2022 Common Stock 1.02K See Footnotes F1, F2, F3, F18
transaction NAN Equity Swap Sale -493 -100% 0 Nov 3, 2022 Common Stock 493 See Footnotes F1, F2, F3, F18
transaction NAN Equity Swap Purchase +493 0 Nov 3, 2022 Common Stock 493 See Footnotes F1, F2, F3, F19
transaction NAN Equity Swap Sale -361 -100% 0 Nov 3, 2022 Common Stock 361 See Footnotes F1, F2, F3, F19
transaction NAN Equity Swap Purchase +361 0 Nov 4, 2022 Common Stock 361 See Footnotes F1, F2, F3, F20
transaction NAN Equity Swap Sale -264 -100% 0 Nov 4, 2022 Common Stock 264 See Footnotes F1, F2, F3, F20
transaction NAN Equity Swap Purchase +264 0 Nov 4, 2022 Common Stock 264 See Footnotes F1, F2, F3, F21
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This statement is jointly filed by Bank of America Corporation, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch"), BofA Securities, Inc. ("BofA Securities"), and Bank of America, N.A. ("BANA") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiaries Merrill Lynch, BofA Securities, and BANA. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose.
F2 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 Exchange Act 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.
F3 Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.
F4 The Reporting Persons entered an equity swap agreement under which, upon the termination of the agreement on October 31, 2023, the counterparty will pay to the Reporting Persons any decrease in the price of the Common Stock below $11.1034 per share and the Reporting Persons will pay to the counterparty any increase in the price of the Common Stock above $11.1034 per share, in each case, based on a notional amount of 285 shares of Common Stock.
F5 On September 13, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 115 and to change the reference price used to determine when payments are made to $11.167. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F6 On September 14, 2022, the Reporting Persons terminated the equity swap agreement.
F7 The Reporting Persons entered an equity swap agreement under which, upon the termination of the agreement on October 31, 2023, the Reporting Persons will pay to the counterparty any decrease in the price of the Common Stock below $11.1714 per share and the counterparty will pay to the Reporting Persons any increase in the price of the Common Stock above $11.1714 per share, in each case, based on a notional amount of 26 shares of Common Stock.
F8 On October 4, 2022, the Reporting Persons terminated the equity swap agreement.
F9 The Reporting Persons entered an equity swap agreement under which, upon the termination of the agreement on October 31, 2023, the counterparty will pay to the Reporting Persons any decrease in the price of the Common Stock below $10.4049 per share and the Reporting Persons will pay to the counterparty any increase in the price of the Common Stock above $10.4049 per share, in each case, based on a notional amount of 932 shares of Common Stock.
F10 On October 5, 2022, the Reporting Persons amended the equity swap agreement to increase the notional number of shares of Common Stock to 1,925 and to change the reference price used to determine when payments are made to $10.2972. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F11 On October 11, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 1,298 and to change the reference price used to determine when payments are made to $10.2508. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F12 On October 12, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 1,189 and to change the reference price used to determine when payments are made to $10.2421. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F13 On October 20, 2022, the Reporting Persons amended the equity swap agreement to increase the notional number of shares of Common Stock to 1,737 and to change the reference price used to determine when payments are made to $9.9915. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F14 On October 27, 2022, the Reporting Persons amended the equity swap agreement to increase the notional number of shares of Common Stock to 2,081 and to change the reference price used to determine when payments are made to $9.7221. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F15 On November 1, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 2,037 and to change the reference price used to determine when payments are made to $10.0379. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F16 On November 2, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 1,176 and to change the reference price used to determine when payments are made to $9.9323. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F17 On November 2, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 1,024. Without admitting this change resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F18 On November 3, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 493 and to change the reference price used to determine when payments are made to $9.8658. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F19 On November 3, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 361. Without admitting this change resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F20 On November 4, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 264 and to change the reference price used to determine when payments are made to $9.9135. Without admitting these changes resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.
F21 On November 4, 2022, the Reporting Persons amended the equity swap agreement to reduce the notional number of shares of Common Stock to 247. Without admitting this change resulted in a material amendment to the equity swap agreement for purposes of Section 16 of the Securities Exchange Act of 1934, the Reporting Persons have treated the amendment as the termination of the previously reported equity swap agreement and the entering into of a new equity swap agreement reflecting the amended terms.

Remarks:

Balance of trades included in attached schedule. (See Exhibit 99.1) Exhibits Index Exhibit 99.2 - Joint Filing Agreement