UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RBC Municipal Products, Inc. 3 WORLD FINANCIAL CENTER 200 VESEY STREET NEW YORK, NY 10281 |
 |  X |  |  |
ROYAL BANK OF CANADA 200 BAY STREET TORONTO, A6 M5J 2J5 |
 |  X |  |  |
RBC MUNICIPAL PRODUCTS, INC., /s/ Andrew B. Sanford | 08/28/2012 | |
**Signature of Reporting Person | Date | |
ROYAL BANK OF CANADA, /s/ Peggy Dowdall-Logie | 08/28/2012 | |
**Signature of Reporting Person | Date | |
ROYAL BANK OF CANADA, /s/ Tom Smee | 08/28/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | This statement is jointly filed by Royal Bank of Canada ("RBC") and RBC Municipal Products, Inc. ("MPI"). RBC holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect 100% ownership of its subsidiary MPI. The proceeds from the issuance of the Securities by the Issuer will be used to redeem auction rate preferred stock ("ARPS") of the Issuer, which include 11 shares of ARPS (CUSIP 46131T200) and 4 shares of ARPS (CUSIP 46131T309) owned by RBC and its wholly owned indirect subsidiary RBC Capital Markets, LLC. |
(2) | The Securities have been deposited by MPI with The Bank of New York Mellon, as trustee of RBC Municipal Products, Inc. Trust, Series E-33 relating to $76,800,000 Invesco Van Kampen Trust for Investment Grade New York Municipals, Series 2015/6-VTN, a New York common-law trust that is a tender option bond financing trust (the "TOB"). A pecuniary interest in the dividends and liquidation preference of the Securities is owned by holders of the $76,795,000 floating certificates issued by the TOB, which is senior to the pecuniary interest in the dividends and liquidation preference of the Securities owned by MPI through its ownership of the $5,000 residual certificates issued by the TOB. MPI also holds the right to dissolve the TOB, dispose of the Securities and direct certain voting and consent rights on the Securities. |
(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: Exhibits Index Exhibit 99.1 - Joint Filing Agreement Exhibit 99.2 - Joint Filer Information |