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 | |
Toronto Dominion Investments, Inc. 31 W 52ND STREET NEW YORK, NY 10019 |
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TORONTO DOMINION HOLDINGS USA INC 31 W 52ND STREET NEW YORK, NY 10019 |
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TD GROUP US HOLDINGS LLC 251 LITTLE FALLS DRIVE WELLINGTON, DE 19808 |
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TORONTO DOMINION BANK TORONTO-DOMINION CENTRE, P.O. BOX 1 TORONTO, A6 M5K 1A2 |
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/s/ Nancy Haraf, Vice President & Treasurer, on behalf of Toronto Dominion Investments, Inc. | 03/14/2018 | |
**Signature of Reporting Person | Date | |
/s/ Paul Beltrame, Vice President & Chief Operating Officer, on behalf of Toronto Dominion Holdings (U.S.A.), Inc. | 03/14/2018 | |
**Signature of Reporting Person | Date | |
/s/ Geoffrey Ryan, Assistant Corporate Secretary, on behalf of TD Group US Holdings LLC. | 03/14/2018 | |
**Signature of Reporting Person | Date | |
/s/ Paul Beltrame, Vice President, on behalf of The Toronto-Dominion Bank | 03/14/2018 | |
**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) | The Variable Rate Demand Preferred Shares are 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. The Toronto-Dominion Bank is the sole owner of TD GUS. |
 Remarks: Note: Toronto Dominion Investments, Inc. ("TDI") previously filed a Form 3 with the Securities and Exchange Commission on February 6, 2017, related to the purchase of the Variable Rate Demand Preferred Shares identified herein. This Form 3/A amends the original Form 3 to update the Reporting Persons. |