Key facts
- This page summarizes UBS Group AG's Form 4 filing for BNY MELLON STRATEGIC MUNICIPAL BOND FUND, INC. (DSM).
- 1 reported transaction and 0 derivative rows are listed below.
- Accepted by SEC: 17 Jul 2023, 09:59.
UBS Group AG - 12 Jul 2023 Form 4 Insider Report for BNY MELLON STRATEGIC MUNICIPAL BOND FUND, INC. (DSM)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- DSM
- Reported as of
- 12 Jul 2023
- Net transaction value
- -$1.49
- SEC form
- 4
- Accepted by SEC
- 17 Jul 2023, 09:59:57 UTC
- Prior SEC filing
- 03 Mar 2023
- Next SEC filing
- 18 Jan 2024
- Source filing
- View source filing
- Reporting owner signature
- Andrew Johnson
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
UBS Group AG filed Form 4 for BNY MELLON STRATEGIC MUNICIPAL BOND FUND, INC. (DSM) on 17 Jul 2023.
Change
- Previous filing in this sequence was filed on 03 Mar 2023.
- Current net transaction value: -$1.49.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
DSM
transaction
Auction Preferred Stock
Other
- Transaction value
- $1.49
- Shares
- -1,487
- Change %
- -100%
- Price
- $0.001000*
- Shares after
- 0
- Date
- 12 Jul 2023
- Ownership
- By subsidiary
- Footnotes
- F1, F2, F3, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
UBS Group AG is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 4 footnotes
Footnote F1
CUSIP Nos. 09662E208, 09662E307, 09662E406 (Old Instrument Ids- 26202F206, 26202F305, 26202F404)
Footnote F2
At Par.
Footnote F3
This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
Footnote F4
This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.