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| CIK | 1162028 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Alliance California Municipal Income Fund, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alliance California Municipal Income Fund, Inc. (Name of Issuer) Common (Title of Class of Securities) 018546101 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| August 6, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. N-8F/A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): [ ] Merger [X] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only questions 1 through 15, 24 and 25 of this form and complete verification a |
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| June 28, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. N-8F - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): [ ] Merger [X] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only questions 1 through 15, 24 and 25 of this form and complete verification a |
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| June 10, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Alliance California Municipal Income Fund Inc (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018547208 018547307 (CUSIP Number) May 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| May 23, 2019 |
Schedule II New York Attorney General Investor Protection Bureau Masking Settlement 3/22/2018 On March 22, 2018, the Attorney General of the State of New York Investor Protection Bureau ("NYAG") alleged that Bank of America Corporation ("BAC") and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") (1) concealed from its institutional clients that orders were routed to and executed by "electronic liquidity providers," (2) misstated the composition of orders and trades in its dark pool, and (3) did not accurately describe its use of a proprietary "venue ranking" analysis, in violation of the Martin Act and Executive Law § 63(12). |
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| May 23, 2019 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| May 23, 2019 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY Exhibit 99.2 BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kim Louise Oakley Heslop, Kelvin Kwok, Ronnie Ojera, Ally Pecarro, and Tolu Tade as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Cor |
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| May 23, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 01 )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) VARIABLE RATE MUNIFUND TERM PREFERRED SHARES (Title of Class of Securities) 018547109 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Center, 100 N. Tryon Street, Ch |
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| May 23, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 02 )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) AUCTION RATE PREFERRED SHARES (Title of Class of Securities) 018547 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Center, 100 N. Tryon Street, Charlotte, North Car |
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| May 23, 2019 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| May 23, 2019 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including a |
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| May 23, 2019 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY Exhibit 99.2 BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kim Louise Oakley Heslop, Kelvin Kwok, Ronnie Ojera, Ally Pecarro, and Tolu Tade as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Cor |
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| May 23, 2019 |
SCHEDULE II LITIGATION SCHEDULE SCHEDULE II LITIGATION SCHEDULE New York Attorney General Investor Protection Bureau Masking Settlement 3/22/2018 On March 22, 2018, the Attorney General of the State of New York Investor Protection Bureau ("NYAG") alleged that Bank of America Corporation ("BAC") and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") (1) concealed from its institutional clients that orders were routed to and executed by "electronic liquidity providers," (2) misstated the composition of orders and trades in its dark pool, and (3) did not accurately describe its use of a proprietary "venue ranking" analysis, in violation of the Martin Act and Executive Law § 63(12). |
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| May 23, 2019 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including a |
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| May 3, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 14, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| March 29, 2019 |
Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| March 29, 2019 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| March 15, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| March 11, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| March 8, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| March 7, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. CORRESP - - Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-8833 Facsimile: (202) 737-5184 www. |
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| February 21, 2019 |
AKP / Alliance California Municipal Income Fund, Inc. PRE 14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) Common (Title of Class of Securities) 018546101 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| November 20, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 15, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 9, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 11/8/18 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[ ] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [ ] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 548,754 8. SHARED VOTING P |
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| November 9, 2018 |
Emilie D. Wrapp Senior Vice President and Assistant General Counsel 1345 Avenue of the Americas New York, NY 10105 www.abglobal.com T (212) 969 2154 F (212) 969 2290 November 1, 2018 VIA FEDEX AND E-MAIL Phillip Goldstein Member Kimball & Winthrop, LLC c/o Bulldog Investors, LLC 250 Pehle Avenue, Suite 708 Saddle Brook, New Jersey 07663 Re: Alliance California Municipal Income Fund. Inc. Dear Mr. |
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| November 9, 2018 |
Opportunity Partners, L.P., 250 Pehle Ave., Suite 708, Saddle Brook, NJ 07663 60 Heritage Drive, Pleasantville, NY 10570 201-881-7100 // [email protected] November 5, 2018 Alliance California Municipal Income Fund, Inc. 1345 Avenue of the Americas New York, New York 10105 Attention: Emilie Wrapp, Secretary Dear Ms. Wrapp: We received your letter dated November 1, 2018 in which you ac |
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| November 9, 2018 |
Opportunity Partners, L.P., 250 Pehle Ave., Suite 708, Saddle Brook, NJ 07663 60 Heritage Drive, Pleasantville, NY 10570 201-881-7100 // [email protected] October 25, 2018 Alliance California Municipal Income Fund, Inc. 1345 Avenue of the Americas New York, New York 10105 Attention: Emilie Wrapp, Secretary Dear Ms. Wrapp: Opportunity Partners, L.P. beneficially owns approximately 215 |
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| October 16, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| October 4, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| October 2, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| September 28, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| September 27, 2018 |
Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, no |
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| September 27, 2018 |
Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| September 25, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| September 17, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| September 11, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEFA14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 21, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. DEF 14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 16, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. CORRESP Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-8833 Facsimile: (202) 737-5184 www. |
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| August 2, 2018 |
AKP / Alliance California Municipal Income Fund, Inc. PRE 14A SCHEDULE 14A INFORMATION (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| March 27, 2018 |
Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| March 27, 2018 |
EX-99.CERT 2 d538633dex99cert.htm CERTIFICATIONS Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum |
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| September 27, 2017 |
Alliance California Municipal Income Fund - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| September 27, 2017 |
Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, no |
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| March 27, 2017 |
EX-99.CERT 2 d340538dex99cert.htm CERTIFICATIONS Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum |
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| March 27, 2017 |
Alliance California Municipal Income Fund - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. N-Q 1 d340538dnq.htm ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the |
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| September 23, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, New York 10105 (Address of principal executive o |
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| September 23, 2016 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| March 28, 2016 |
N-Q 1 d128403dnq.htm ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the |
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| March 28, 2016 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| December 7, 2015 |
AKP / Alliance California Municipal Income Fund, Inc. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) * Alliance California Municipal Income Fund Inc (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018547208 018547307 (CUSIP Number) August 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropria |
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| September 28, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, New York 10105 (Address of principal executive o |
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| September 28, 2015 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| September 23, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alliance California Municipal Income Fund, Inc. (Name of Issuer) Auction Rate Preferred Shares (Title of Class of Securities) 018547208; 018547307 (CUSIP Number) Marc Collins RiverNorth Capital Management, LLC 325 N. LaSalle St., Suite 645 Chicago, Illin |
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| September 23, 2015 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Auction Rate Preferred Shares of Alliance California Municipal Income Fund beneficiall |
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| September 21, 2015 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| September 21, 2015 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such amended Schedule 13D, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the informatio |
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| September 21, 2015 |
Schedule II MLPF&S SEC MCDC Order 6/18/2015 The Securities and Exchange Commission (“SEC”) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted against Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("MLPF&S"). |
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| September 21, 2015 |
Exhibit 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby irrevocably make, constitute, and appoint each of Sun Kyung Bae, Szabina Biro, Christopher Johnston and Eugene Rosati as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Corporation's use and benefit, t |
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| September 21, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 01 )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 018547 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Center, 100 N. Tryon Street Charlotte, North Carolina 28 |
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| September 3, 2015 |
Exhibit 99.4 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this "Agreement"), executed as of September 1, 2015, is made between (i) Alliance California Municipal Income Fund, Inc., a closed-end fund organized as a Maryland corporation (the "Fund") and (ii) Banc of America Preferred Funding Corporation, a Delaware corporation, including its successors by merger or operation of l |
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| September 3, 2015 |
Exhibit 99.3 VOTING TRUST AGREEMENT THIS VOTING TRUST AGREEMENT (this "Agreement") is made and entered into effective for all purposes and in all respects as of September 1, 2015 by and among Lord Securities Corporation, as trustee (the "Trustee" or any successor thereto), Banc of America Preferred Funding Corporation, a Delaware corporation, including its successors and assigns by operation of la |
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| September 3, 2015 |
Exhibit 99.2 LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby irrevocably make, constitute, and appoint each of Sun Kyung Bae, Szabina Biro, Christopher Johnston and Eugene Rosati as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Corporation's use and benefit, t |
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| September 3, 2015 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS The following sets forth the name and present principal occupation of each executive officer and director of Bank of America Corporation. |
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| September 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. n/a )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) VARIABLE RATE MUNIFUND TERM PREFERRED SHARES (Title of Class of Securities) 018547109 (CUSIP Number) Bank of America Corporation Bank of America Corporate Center, 100 N. Tryon Street, Ch |
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| September 3, 2015 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including a |
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| September 3, 2015 |
Schedule II Litigation Schedule Schedule II Litigation Schedule MLPF&S SEC MCDC Order 6/18/2015 The Securities and Exchange Commission (“SEC”) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted against Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("MLPF&S"). |
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| September 3, 2015 |
VMTP Purchase Agreement Alliance California Municipal Income Fund, Inc. (AKP) as Issuer and Banc of America Preferred Funding Corporation as Purchaser September 1, 2015 CONTENTS SECTION PAGE ARTICLE I DEFINITIONS 1 1.1 Incorporation of Certain Definitions by Reference 6 ARTICLE II PURCHASE AND TRANSFERS, COSTS AND EXPENSES; ADDITIONAL FEE 6 2.1 Purchase and Transfer of the VMTP Shares 6 2.2 Fees 8 |
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| July 27, 2015 |
Instructions for Withdrawal Exhibit (a)(1)(vi) Instructions for Withdrawal of Previously Tendered Preferred Stock of Alliance California Municipal Income Fund, Inc. |
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| July 27, 2015 |
Letter to Broker Dealers Exhibit (a)(1)(iv) OFFER BY ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. |
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| July 27, 2015 |
Letter to Clients Exhibit (a)(1)(v) OFFER BY ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. |
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| July 27, 2015 |
Alliance California Municipal Income Fund ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. Alliance California Municipal Income Fund, Inc. As filed with the Securities and Exchange Commission on July 27, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Alliance California Municipal Income Fund, Inc. (Name of Subject Company (issuer)) Alliance Californi |
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| July 27, 2015 |
Letter of Transmittal Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL TO TENDER AUCTION PREFERRED SHARES: SERIES M (018547208) SERIES T (018547307) (THE ?PREFERRED STOCK?) OF ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. |
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| July 27, 2015 |
Offer To Purchase Exhibit (a)(1)(i) THE OFFER TO PURCHASE ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. |
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| July 27, 2015 |
Press Release Exhibit (a)(5) FOR IMMEDIATE RELEASE Shareholder Contact: 1-800-221-5672 ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND, INC. |
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| July 27, 2015 |
Notice of Guaranteed Delivery Exhibit (a)(1)(iii) NOTICE OF GUARANTEED DELIVERY To Tender Preferred Stock Of Alliance California Municipal Income Fund, Inc. |
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| March 27, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, New York 10105 (Address of principal executive o |
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| March 27, 2015 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| December 2, 2014 |
AKP / Alliance California Municipal Income Fund, Inc. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Alliance California Municipal Income Fund Inc (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018547208 018547307 (CUSIP Number) November 28, 2014** (Date of Event which Requires Filing of this Statement) Check the approp |
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| November 17, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Alliance California Municipal Income Fund, Inc. (Name of Issuer) Auction Rate Preferred Shares (Title of Class of Securities) 018547208; 018547307 (CUSIP Number) Marc Collins RiverNorth Capital Management, LLC 325 N. LaSalle St., Suite 645 Chicago, Illino |
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| November 17, 2014 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Common Stock of General Dynamics Corporation beneficially owned by each of them, and t |
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| September 29, 2014 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| September 29, 2014 |
Alliance California Municipal Income Fund - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| March 28, 2014 |
Quarterly Schedule of Portfolio Holdings - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, New York 10105 (Address of principal executive o |
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| March 28, 2014 |
Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, no |
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| February 13, 2014 |
AKP / Alliance California Municipal Income Fund, Inc. / UBS AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. 3) Alliance California Municipal Income Fund, Inc. (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018547208 018547307 (CUSIP |
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| September 27, 2013 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| September 27, 2013 |
Quarterly Schedule of Portfolio Holdings - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. N-Q 1 d577365dnq.htm ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the |
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| March 27, 2013 |
Quarterly Schedule of Portfolio Holdings - ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. Alliance California Municipal Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| March 27, 2013 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| September 27, 2012 |
Quarterly Schedule of Portfolio Holdings - ALLIANCE CALIFORNIA MUNICIPLE INCOME FUND, INC. Alliance California Municiple Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
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| September 27, 2012 |
Certifications Pursuant to Section 302 Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. |
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| March 28, 2012 |
Certifications Exhibit 3 (a) (1) CERTIFICATIONS I, Robert M. Keith, certify that: 1. I have reviewed this report on Form N-Q of Alliance California Municipal Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| March 28, 2012 |
Quarterly Schedule of Portfolio Holdings - ALLIANCE CALIFORNIA MUNICIPLE INCOME FUND, INC. Alliance California Municiple Income Fund, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-10575 ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND, INC. (Exact name of registrant as specified in charter) 1345 Avenue of the Americas, New York, |
