Bank Of America Corp's Form 4 filing
Nuveen New York Quality Municipal Income Fund (NAN) · filed Dec 13, 2024
- Accession no.
- 0001140361-24-049485
- Filed
- Dec 13, 2024, 4:23 PM ET
- Trade date
- May 7, 2015-Nov 4, 2022
- Filing delay
- 3,508 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 30 non-derivative transactions and 30 derivative transactions. Open-market purchases total $92.2K. Open-market sales total $92.0K. It was filed 3508 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Bank Of America CorpCIK 0000070858 | 10% Owner |
| Merrill Lynch, Pierce, Fenner & Smith Inc.CIK 0000728612 | 10% Owner |
| Bank Of America NACIK 0001102113 | 10% Owner |
| Bofa Securities, Inc.CIK 0001675365 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 7, 2015 | Common Stock | PPurchaseAcquired | +1,000 | $13.73 | +$13,729.9 | 1,000 | Indirect | |
| May 7, 2015 | Common Stock | SSaleDisposed | −1,000 | $13.69 | −$13,685.4 | 0 | Indirect | |
| Oct 7, 2015 | Common Stock | SSaleDisposed | −200 | $13.63 | −$2,725.52 | 0 | Indirect | |
| Oct 7, 2015 | Common Stock | SSaleDisposed | −33 | $13.63 | −$449.71 | 0 | Indirect | |
| Oct 7, 2015 | Common Stock | SSaleDisposed | −17 | $13.63 | −$231.67 | 0 | Indirect | |
| Oct 8, 2015 | Common Stock | PPurchaseAcquired | +250 | $13.63 | +$3,407.48 | 0 | Indirect | |
| Nov 2, 2015 | Common Stock | PPurchaseAcquired | +103 | $13.83 | +$1,424.15 | 103 | Indirect | |
| Nov 2, 2015 | Common Stock | PPurchaseAcquired | +59 | $13.83 | +$815.78 | 162 | Indirect | |
| Nov 11, 2015 | Common Stock | SSaleDisposed | −162 | $13.56 | −$2,196.2 | 0 | Indirect | |
| Dec 18, 2015 | Common Stock | SSaleDisposed | −12 | $13.95 | −$167.4 | 0 | Indirect | |
| Dec 21, 2015 | Common Stock | PPurchaseAcquired | +12 | $14.05 | +$168.57 | 0 | Indirect | |
| Feb 26, 2016 | Common Stock | PPurchaseAcquired | +1,925 | $14.41 | +$27,739.06 | 1,925 | Indirect | |
| Feb 26, 2016 | Common Stock | SSaleDisposed | −1,400 | $14.40 | −$20,153.28 | 525 | Indirect | |
| Feb 26, 2016 | Common Stock | SSaleDisposed | −525 | $14.39 | −$7,554.75 | 0 | Indirect | |
| Mar 2, 2016 | Common Stock | SSaleDisposed | −247 | $14.28 | −$3,527.16 | 0 | Indirect | |
| Mar 2, 2016 | Common Stock | PPurchaseAcquired | +247 | $14.28 | +$3,527.14 | 0 | Indirect | |
| Mar 16, 2016 | Common Stock | PPurchaseAcquired | +25 | $14.50 | +$362.45 | 25 | Indirect | |
| Mar 17, 2016 | Common Stock | SSaleDisposed | −25 | $14.48 | −$362 | 0 | Indirect | |
| Apr 22, 2016 | Common Stock | SSaleDisposed | −40 | $15.11 | −$604.5 | 0 | Indirect | |
| Apr 26, 2016 | Common Stock | PPurchaseAcquired | +40 | $15.11 | +$604.4 | 0 | Indirect | |
| Jun 27, 2016 | Common Stock | PPurchaseAcquired | +43 | $15.46 | +$664.67 | 43 | Indirect | |
| Jul 1, 2016 | Common Stock | SSaleDisposed | −43 | $15.67 | −$673.92 | 0 | Indirect | |
| Jul 18, 2016 | Common Stock | PPurchaseAcquired | +64 | $15.65 | +$1,001.37 | 64 | Indirect | |
| Jul 18, 2016 | Common Stock | SSaleDisposed | −64 | $15.62 | −$999.74 | 0 | Indirect | |
| Jun 22, 2017 | Common Stock | SSaleDisposed | −279 | $14.06 | −$3,924.05 | 0 | Indirect | |
| Jun 22, 2017 | Common Stock | PPurchaseAcquired | +100 | $14.08 | +$1,408 | 0 | Indirect | |
| Jun 22, 2017 | Common Stock | PPurchaseAcquired | +79 | $14.08 | +$1,112.32 | 0 | Indirect | |
| Jun 22, 2017 | Common Stock | PPurchaseAcquired | +100 | $14.08 | +$1,408 | 0 | Indirect | |
| Nov 1, 2017 | Common Stock | PPurchaseAcquired | +2,515 | $13.86 | +$34,857.9 | 2,515 | Indirect | |
| Nov 2, 2017 | Common Stock | SSaleDisposed | −2,515 | $13.82 | −$34,763.59 | 0 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 8, 2022 | Common Stock | SSaleDisposed | −285 | –F4 | – | 0 | Indirect | |
| Sep 13, 2022 | Common Stock | PPurchaseAcquired | +285 | –F5 | – | 0 | Indirect | |
| Sep 13, 2022 | Common Stock | SSaleDisposed | −115 | –F5 | – | 0 | Indirect | |
| Sep 14, 2022 | Common Stock | PPurchaseAcquired | +115 | –F6 | – | 0 | Indirect | |
| Sep 14, 2022 | Common Stock | PPurchaseAcquired | +26 | –F7 | – | 26 | Indirect | |
| Oct 4, 2022 | Common Stock | SSaleDisposed | −26 | –F8 | – | 0 | Indirect | |
| Oct 4, 2022 | Common Stock | SSaleDisposed | −932 | –F9 | – | 0 | Indirect | |
| Oct 5, 2022 | Common Stock | PPurchaseAcquired | +932 | –F10 | – | 0 | Indirect | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −1,925 | –F10 | – | 0 | Indirect | |
| Oct 11, 2022 | Common Stock | PPurchaseAcquired | +1,925 | –F11 | – | 0 | Indirect | |
| Oct 11, 2022 | Common Stock | SSaleDisposed | −1,298 | –F11 | – | 0 | Indirect | |
| Oct 12, 2022 | Common Stock | PPurchaseAcquired | +1,298 | –F12 | – | 0 | Indirect | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −1,189 | –F12 | – | 0 | Indirect | |
| Oct 20, 2022 | Common Stock | PPurchaseAcquired | +1,189 | –F13 | – | 0 | Indirect | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −1,737 | –F13 | – | 0 | Indirect | |
| Oct 27, 2022 | Common Stock | PPurchaseAcquired | +1,737 | –F14 | – | 0 | Indirect | |
| Oct 27, 2022 | Common Stock | SSaleDisposed | −2,081 | –F14 | – | 0 | Indirect | |
| Nov 1, 2022 | Common Stock | PPurchaseAcquired | +2,081 | –F15 | – | 0 | Indirect | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −2,037 | –F15 | – | 0 | Indirect | |
| Nov 2, 2022 | Common Stock | PPurchaseAcquired | +2,037 | –F16 | – | 0 | Indirect | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −1,176 | –F16 | – | 0 | Indirect | |
| Nov 2, 2022 | Common Stock | PPurchaseAcquired | +1,176 | –F17 | – | 0 | Indirect | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −1,024 | –F17 | – | 0 | Indirect | |
| Nov 3, 2022 | Common Stock | PPurchaseAcquired | +1,024 | –F18 | – | 0 | Indirect | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −493 | –F18 | – | 0 | Indirect | |
| Nov 3, 2022 | Common Stock | PPurchaseAcquired | +493 | –F19 | – | 0 | Indirect | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −361 | –F19 | – | 0 | Indirect | |
| Nov 4, 2022 | Common Stock | PPurchaseAcquired | +361 | –F20 | – | 0 | Indirect | |
| Nov 4, 2022 | Common Stock | SSaleDisposed | −264 | –F20 | – | 0 | Indirect | |
| Nov 4, 2022 | Common Stock | PPurchaseAcquired | +264 | –F21 | – | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- F6
On September 14, 2022, the Reporting Persons terminated the equity swap agreement.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 1 transaction in Table II.
- F8
On October 4, 2022, the Reporting Persons terminated the equity swap agreement.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 1 transaction in Table II.
Remarks
Balance of trades included in attached schedule. (See Exhibit 99.1) Exhibits Index Exhibit 99.2 - Joint Filing Agreement