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| CIK | 1178840 |
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 Neuberger Berman California Municipal 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.
| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): [X] Merger [ ] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only |
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| October 25, 2023 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY EX-99.2 3 ef20013124ex99-2.htm EXHIBIT 99.2 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 Michael Jentis 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, to |
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| October 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation Bank of America Corporate Center 100 N. Tryon Street Charlot |
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| October 25, 2023 |
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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| October 23, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC 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 November 03, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 13, 2023 |
SC 13D 1 formsc13d.htm FORM SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC (Name of Issuer) Common Shares, $0.0001 par value (Title of Class of Securities) 64123C101 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
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| October 13, 2023 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EX-1 2 exhibit1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agree |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 26, 2023 |
Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman Investment Advisers LLC 1290 Avenue of the Americas New York, NY 10104-0001 Tel. |
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| July 20, 2023 |
Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman Municipal Fund Inc. Neuberger Berman California Municipal Fund Inc. 1290 Avenue o |
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| July 10, 2023 |
Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman Municipal Fund Inc. Neuberger Berman California Municipal Fund Inc. 1290 Avenue o |
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| July 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. [ ]) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| June 21, 2023 |
Filed by Neuberger Berman Municipal Fund Inc. Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman Municipal Fund Inc. Neuberger Berman California Municipal Fund Inc. Neuberger Ber |
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| June 16, 2023 |
Filed by Neuberger Berman Municipal Fund Inc. Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Companies: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman New York Municipal Fund Inc. Commission File No. 811-21169 Neuberger Berman Mun |
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| April 4, 2023 |
NEUBERGER BERMAN CLOSED-END MUNICIPAL FUNDS ANNOUNCE PROPOSED REORGANIZATIONS Filed by Neuberger Berman Municipal Fund Inc. pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Companies: Neuberger Berman California Municipal Fund Inc. Commission File No. 811-21167 Neuberger Berman New York Municipal Fund Inc. Commission File No. 811-21169 Neuberger Berman In |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 64123C101 (CUSIP Number) March 17, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to des |
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| March 22, 2023 |
NPORT-EX 2 NPORT9W49981323120123.htm Schedule of Investments California Municipal Fund Inc.^ (Unaudited) January 31, 2023 Principal Amount Value Municipal Notes 158.6% American Samoa 0.9% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $632,519 California 135.3% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunde |
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| November 14, 2022 |
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 Michael Jentis 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, to bind the Corporation by his execution of th |
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| November 14, 2022 |
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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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation Bank of America Corporate Center 100 N. Tryon Street Charlot |
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| September 23, 2022 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) July 31, 2022 Principal Amount Value Municipal Notes 163.6% American Samoa 0.9% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $654,280 California 139.7% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,023,017 1,875,000 Califor |
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| August 17, 2022 |
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 Michael Jentis 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, to bind the Corporation by his execution of th |
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| August 17, 2022 |
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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| August 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation Bank of America Corporate Center 100 N. Tryon Street Charlot |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 30, 2022 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) January 31, 2022 Principal Amount Value Municipal Notes 164.9% American Samoa 0.8% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 679,401 California 144.3% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,049,752 1,875,000 Californi |
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| December 20, 2021 |
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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| December 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation Bank of America Corporate Center 100 N. Tryon Street Charlot |
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| December 20, 2021 |
[Amended and Restated Purchase Agreement] Execution Version Exhibit 99.9 [Amended and Restated Purchase Agreement] Second Amended and Restated VMTP Purchase Agreement Neuberger Berman California Municipal Fund Inc. as Issuer and Banc of America Preferred Funding Corporation as Purchaser December 16, 2021 CONTENTS SECTION PAGE ARTICLE I DEFINITIONS 1.1 Incorporation of Certain Definitions by Reference and Interpretation 7 ARTICLE II PURCHA |
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| December 20, 2021 |
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 Michael Jentis 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, to bind the Corporation by his execution of th |
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| October 7, 2021 |
CORRESP 1 filename1.htm Neuberger Berman Investment Advisers LLC 1290 Avenue of the Americas New York, NY 10104 Tel. 212.476.9000 October 7, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeff Long Re: NB Private Markets Fund II (Master) LLC; File No. 811-22476 NB Private Markets Fund II (TE) LLC; File No. 811-22474 NB Private Markets Fund II |
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| September 22, 2021 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) July 31, 2021 Principal Amount Value Municipal Notes 160.8% American Samoa 0.8% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 709,606 California 140.3% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,082,355 California Ed. Facs. A |
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| August 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| March 25, 2021 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) January 31, 2021 Principal Amount Value Municipal Notes 161.5% American Samoa 0.8% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 694,242 California 144.1% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,105,660 California Ed. Facs |
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| October 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| September 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| September 25, 2020 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) July 31, 2020 Principal Amount Value Municipal Notes 163.1% American Samoa 0.8% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 703,752 California 143.4% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,128,620 California Ed. Facs. A |
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| April 21, 2020 |
SCHEDULE II LITIGATION SCHEDULE EX-1.02 3 sch2.htm EX-1.02 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 client |
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| April 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 03 )* NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Center, Charlotte, North Carol |
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| April 21, 2020 |
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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| April 21, 2020 |
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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| April 21, 2020 |
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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| April 21, 2020 |
NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. April 17, 2020 Banc of America Preferred Funding Corporation One Bryant Park 1111 Avenue of the Americas, 9th Floor New York, New York 10036 Re: Consent in Connection with the Articles of Amendment and Restatement of Articles Supplementary Creating and Fixing the Rights and Preferences of the Variable Rate Municipal Term Preferred Shares, Series A La |
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| March 30, 2020 |
Schedule of Investments California Municipal Fund Inc.^ (Unaudited) January 31, 2020 Principal Amount Value Municipal Notes 161.1% American Samoa 0.7% $ 600,000 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 647,010 California 140.7% 1,000,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,134,080 California Ed. Facs |
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| 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)* Neuberger Berman California Municipal Fund Inc. (Name of Issuer) Common (Title of Class of Securities) 64123C101 (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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| September 26, 2019 |
NBW / Neuberger Berman California Intermediate Municipal Fund, Inc. NPORT-EX - - Schedule of Investments California Municipal Fund Inc. ^ (Unaudited) July 31, 2019 Principal Amount Value† (000’s omitted) (000’s omitted) Municipal Notes 162.7% American Samoa 0.7% $ 600 American Samoa Econ. Dev. Au. Gen. Rev. Ref., Ser. 2015-A, 6.25%, due 9/1/2029 $ 638 California 144.4% 1,000 Bay Area Toll Au. Toll Bridge Rev., Ser. 2013-S-4, 5.00%, due 4/1/2027 Pre-Refunded 4/1/2023 1,147 Cali |
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| September 4, 2019 |
NBW / Neuberger Berman California Intermediate Municipal Fund, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 3, 2019 |
Exhibit 99.7 EXECUTION VERSION Amended and Restated VMTP Purchase Agreement Neuberger Berman California Municipal Fund Inc. as Issuer and Banc of America Preferred Funding Corporation as Purchaser April 1, 2019 CONTENTS SECTION PAGE ARTICLE I DEFINITIONS 1 1.1 Incorporation of Certain Definitions by Reference and Interpretation 7 ARTICLE II PURCHASE AND TRANSFERS, COSTS AND EXPENSES; ADDITIONAL FE |
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| April 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 02 )* NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Center, 100 N. Tryon Street, C |
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| April 3, 2019 |
SCHEDULE II LITIGATION SCHEDULE EX-1.2 3 scheduletwo.htm SCHEDULETWO SCHEDULE II LITIGATION SCHEDULE SEC IMG Order 8/20/2018 On August 20, 2018, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") entered into a settlement with the Securities and Exchange Commission ("SEC") under which MLPF&S consented to the entry of an order (the "Order") that finds that MLPF&S willfully violated Sections 206(2) and 206(4) under the |
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| April 3, 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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| April 3, 2019 |
Exhibit 99.4 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this "Agreement"), executed as of April 1, 2019, is made between (i) Neuberger Berman California Municipal Fund Inc., a Maryland corporation (the "Fund") and (ii) Banc of America Preferred Funding Corporation, a Delaware corporation, including its successors by merger or operation of law (the "Shareholder"). RECITALS A. |
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| April 3, 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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| April 3, 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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| March 27, 2019 |
CERTIFICATIONS I, Joseph V. Amato, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Municipal Fund Inc. (“Registrant”); 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, not m |
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| March 27, 2019 |
As filed with the Securities and Exchange Commission on March 27, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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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. )* Neuberger Berman California Municipal Fund Inc. (Name of Issuer) Common (Title of Class of Securities) 64123C101 (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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| December 3, 2018 |
SC 13D/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 01 )* NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC. (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation, Bank of America Corporate Cente |
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| December 3, 2018 |
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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| December 3, 2018 |
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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| December 3, 2018 |
EX-1.2 3 ScheduleII.htm EX-1.2 Schedule II SEC IMG Order 8/20/2018 On August 20, 2018, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") entered into a settlement with the Securities and Exchange Commission ("SEC") under which MLPF&S consented to the entry of an order (the "Order") that finds that MLPF&S willfully violated Sections 206(2) and 206(4) under the Investment Advisers Act of |
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| December 3, 2018 |
PURCHASE AND ASSIGNMENT AGREEMENT EX-99.6 6 PAG.htm EX-99.6 Exhibit 99.6 PURCHASE AND ASSIGNMENT AGREEMENT This Purchase and Assignment Agreement (this "Agreement") dated as of November 29, 2018, is made by and between BLUE RIDGE INVESTMENTS, L.L.C., a Delaware limited liability company ("Transferor"), and BANC OF AMERICA PREFERRED FUNDING CORPORATION, a Delaware corporation, (the "Purchaser"). WHEREAS, the Transferor is the legal |
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| December 3, 2018 |
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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| September 28, 2018 |
CERTIFICATIONS I, Joseph V. Amato, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Municipal Fund Inc. (“Registrant”); 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, not m |
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| September 28, 2018 |
As filed with the Securities and Exchange Commission on September 28, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 14, 2018 |
NBW / Neuberger Berman California Intermediate Municipal Fund, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 1, 2018 |
NBW / Neuberger Berman California Intermediate Municipal Fund, Inc. CORRESP Neuberger Berman Investment Advisers LLC 1290 Avenue of the Americas New York, NY 10104 Tel. |
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| March 28, 2018 |
As filed with the Securities and Exchange Commission on March 28, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2018 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 m |
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| September 29, 2017 |
Neuberger Berman California Intermediate Municipal Fund Inc - As filed with the Securities and Exchange Commission on September 29, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 29, 2017 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (?Registrant?); 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 m |
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| August 14, 2017 |
Neuberger Berman California Intermediate Municipal Fund 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 28, 2017 |
Neuberger Berman California Intermediate Municipal Fund Inc - As filed with the Securities and Exchange Commission on March 28, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2017 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (?Registrant?); 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 m |
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| September 28, 2016 |
EX-99.CERT 2 cert.htm CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 |
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| September 28, 2016 |
Neuberger Berman California Intermediate Municipal Fund (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on September 28, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 19, 2016 |
Neuberger Berman California Intermediate Municipal Fund 14A DEF 14A 1 proxy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted |
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| August 19, 2016 |
Neuberger Berman California Intermediate Municipal Fund 14A DEF 14A 1 proxy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted |
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| July 8, 2016 |
Neuberger Berman Investment Advisers LLC 605 Third Avenue New York, NY 10158-3698 July 8, 2016 Christina DiAngelo Fettig Securities and Exchange Commission 100 F Street NE Washington, D. |
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| March 29, 2016 |
Neuberger Berman California Intermediate Municipal Fund (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on March 29, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2016 |
EX-99.CERT 2 cert.htm CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 |
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| December 30, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. |
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| December 24, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. |
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| December 24, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. |
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| December 24, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 EX-24 2 mclean-poa.htm POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. Brandon, Sheila R. James, Arthur C. Delibert, Ndenisarya Bregasi, Jennifer R. Gonzalez, Lori L. Schneider, and Lynn Schweinfurth, signing singly, his/her true and lawful attorney-in-fact to: (1) exec |
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| September 25, 2015 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (?Registrant?); 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 m |
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| September 25, 2015 |
Neuberger Berman California Intermediate Municipal Fund (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on September 25, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 18, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. |
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| September 18, 2015 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 POWER OF ATTORNEY For Executing Forms 3, 4 and 5 Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Conti, Andrew Allard, Claudia A. |
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| July 31, 2015 |
Neuberger Berman California Intermediate Municipal Fund 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 1, 2015 |
Neuberger Berman California Intermediate Municipal Fund (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on March 31, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2015 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 m |
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| September 26, 2014 |
Neuberger Berman California Intermediate Municipal Fund Inc As filed with the Securities and Exchange Commission on September 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 26, 2014 |
CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 m |
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| August 27, 2014 |
NBW / Neuberger Berman California Intermediate Municipal Fund, Inc. DEF 14A - - DEF 14A 1 def-14a.htm SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Soliciting Material Under Rule 14a-12 [ ] Confide |
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| August 8, 2014 |
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.1) Neuberger Berman California Intermediate Municipal Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 64123C200 64123C309 (CUSIP N |
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| July 9, 2014 |
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 any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. |
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| July 9, 2014 |
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 any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. |
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| July 9, 2014 |
EX-99.5 6 misc5.htm MISCELLANEOUS EXHIBITS Exhibit 99.5 VMTP Purchase Agreement Neuberger Berman California Intermediate Municipal Fund Inc. as Issuer and Banc of America Preferred Funding Corporation as a Purchaser and Blue Ridge Investments, L.L.C. as a Purchaser June 30, 2014 CONTENTS Page ARTICLE I DEFINITIONS 1 1.1 Incorporation of Certain Definitions by Reference 5 ARTICLE II PURCHASE AND TR |
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| July 9, 2014 |
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 June 30, 2014 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 law (" |
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| July 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. n/a )* Neuberger Berman California Intermediate Municipal Fund Inc (Name of Issuer) VARIABLE RATE MUNICIPAL TERM PREFERRED SHARES (Title of Class of Securities) 64123C408 (CUSIP Number) Bank of America Corporation BANK OF AMERICA CORPORATE CENTER CHARLOTTE, |
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| July 9, 2014 |
JOINT FILER INFORMATION Item Information Name: Banc of America Preferred Funding Corporation Address: 214 North Tryon Street Charlotte, North Carolina 28255 Date of Event Requiring Statement (Month/Day/Year): June 30, 2014 Issuer Name and Ticker or Trading Symbol: Neuberger Berman California Intermediate Municipal Fund Inc. |
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| July 9, 2014 |
Exhibit 99.4 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this "Agreement"), executed as of June 30, 2014, is made among (i) Neuberger Berman California Intermediate Municipal Fund Inc., a Maryland corporation (the "Fund"), (ii) Banc of America Preferred Funding Corporation, a Delaware corporation, including its successors by merger or operation of law ("BAPFC"), and (iii) Blu |
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| July 9, 2014 |
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, to bind the Corporation by their execution of those agreements, forms and documents related specifically to Section 13 and Section 16 of the Securities Exchange Act of 1934, and other large shareholder and short position regulatory reporting requirements in other jurisdictions. |
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| July 2, 2014 |
SCHEDULE I EXECUTIVE OFFICERS AND DIRECTORS OF REPORTING PERSONS Unassociated Document 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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| July 2, 2014 |
Schedule II MLPF&S Blue Sheet AWC 6/04/2014 Without admitting or denying the findings, Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) consented to a fine of $1,000,000, a censure, certain undertakings, and to the entry of findings that it submitted at least 5,323 inaccurate blue sheets to various securities regulators, including the SEC and FINRA. |
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| July 2, 2014 |
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 any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. |
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| July 2, 2014 |
EX-99.2 3 misc2.htm MISCELLANEOUS EXHIBITS 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 Co |
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| July 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 01 )* Neuberger Berman California Intermediate Municipal Fund Inc (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 64123C (CUSIP Number) Bank of America Corporation BANK OF AMERICA CORPORATE CENTER CHARLOTTE, North Carolina 28255 (Name, |
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| March 31, 2014 |
By: /s/ Robert Conti Robert Conti Chief Executive Officer and President CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 m |
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| March 31, 2014 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on March 31, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 3, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Neuberger Berman California Intermediate Municipal Fund, Inc. (NBW) (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 64123c200 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| September 30, 2013 |
By: /s/ Robert Conti Robert Conti Chief Executive Officer and President CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 m |
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| September 30, 2013 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on September 27, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 29, 2013 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 29, 2013 |
EVERY STOCKHOLDER’S VOTE IS IMPORTANT! VOTE THIS PROXY CARD TODAY! EVERY STOCKHOLDER’S VOTE IS IMPORTANT! VOTE THIS PROXY CARD TODAY! Your Proxy Vote is important! 3 EASY WAYS TO VOTE YOUR PROXY: 1. |
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| March 29, 2013 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on March 29, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2013 |
EX-99 2 certs.htm CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 |
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| September 28, 2012 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on September 28, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 28, 2012 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| June 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| June 15, 2012 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 212-476-8800 June 15, 2012 Christina DiAngelo Securities and Exchange Commission 100 F Street NE Washington, D. |
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| March 28, 2012 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on March 28, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2012 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| September 28, 2011 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| September 28, 2011 |
As filed with the Securities and Exchange Commission on September 28, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 8, 2011 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 31, 2011 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 EX-99.1 2 pressrelease.htm Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFER PROGRAM MEASUREMENT PERIODS NEW YORK, NY, May 31, 2010 – Neuberger Berman California Intermediate Municipal Fund Inc. (NYSE Amex: NBW), Neuberger Berm |
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| May 31, 2011 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| March 31, 2011 |
As filed with the Securities and Exchange Commission on March 31, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 31, 2011 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| January 11, 2011 |
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 Michael Didovic and Geoff Rusnak 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, to bind the Corporation by his execu |
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| January 11, 2011 |
SCHEDULE 13D CUSIP No. 64123C Page 1 of 30 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Neuberger Berman California Intermediate Municipal Fund Inc (Name of issuer) AUCTION RATE PREFERRED (Title of class of securities) 64123C (CUSIP number) David Lavan, Esq. O?Melveny & Myers LLP 1625 Eye Street, NW Washington, DC 20006 (202) 383- |
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| January 11, 2011 |
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 Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accurac |
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| September 29, 2010 |
EX-99.CERT 2 ex99-cert.htm EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 circu |
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| September 29, 2010 |
As filed with the Securities and Exchange Commission on September 29, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 18, 2010 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFER PROGRAM MEASUREMENT PERIODS NEW YORK, NY, August 18, 2010 ? Neuberger Berman California Intermediate Municipal Fund Inc. |
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| August 18, 2010 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| April 29, 2010 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 31, 2010 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| March 31, 2010 |
As filed with the Securities and Exchange Commission on March 31, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 18, 2010 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Ti |
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| February 18, 2010 |
FOUR NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFER PROGRAM MEASUREMENT PERIODS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 FOUR NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFER PROGRAM MEASUREMENT PERIODS NEW YORK, NY, February 18, 2010 ? Neuberger Berman California Intermediate Municipal Fund Inc. (NYSEAmex: NBW), Neuberger Berman Intermediate Mu |
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| October 23, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE FINAL RESULTS OF TENDER OFFERS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE FINAL RESULTS OF TENDER OFFERS NEW YORK, NY October 23, 2009 ? Neuberger Berman California Intermediate Municipal Fund Inc. (NYSE Amex: NBW), Neuberger Berman Income Opportunity Fund Inc. (N |
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| October 23, 2009 |
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 (Amendment No. 3) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| October 19, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE PRELIMINARY RESULTS OF TENDER OFFERS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE PRELIMINARY RESULTS OF TENDER OFFERS NEW YORK, NY October 19, 2009 ? Neuberger Berman California Intermediate Municipal Fund Inc. (NYSEAmex: NBW), Neuberger Berman Income Opportunity Fund In |
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| October 19, 2009 |
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 (Amendment No. 2) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| September 29, 2009 |
As filed with the Securities and Exchange Commission on September 29, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 29, 2009 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| September 21, 2009 |
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 (Amendment No. 1) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| September 21, 2009 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC., NEUBERGER BERMAN INCOME OPPORTUNITY FUND INC. AND NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC. COMMENCE TENDER OFFERS NEW YORK, NY, September 18, 2009?Neuberge |
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| September 18, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Income Opportunity Fund Inc. and Neuberger Berman Real Estate Securities Income Fund Inc. (each, a ?Fund?) Pursuant to the Offer to Purchase Dated September 18, 2009 September 18, 2009 To Our Clients: Enclosed for your consideration are the Offer to Purchase dated September 18, 2009 and a related letter |
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| September 18, 2009 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| September 18, 2009 |
LETTER OF TRANSMITTAL To Tender Shares of Common Stock of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| September 18, 2009 |
NOTICE OF GUARANTEED DELIVERY To Tender Shares of Common Stock of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| September 18, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Income Opportunity Fund Inc. and Neuberger Berman Real Estate Securities Income Fund Inc. (each, a ?Fund?) Pursuant to the Offer to Purchase Dated September 18, 2009 September 18, 2009 To Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees: We have been appointed to act as Depositary i |
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| September 18, 2009 |
Instructions for Withdrawal of Previously Tendered Shares of Common Stock of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| September 18, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Income Opportunity Fund Inc. and Neuberger Berman Real Estate Securities Income Fund Inc. (each, a ?Fund?) to Purchase for Cash an Offer Amount of Common Stock as Described Herein EACH FUND?S OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON FRIDAY, OCTOBER 16 |
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| September 1, 2009 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| September 1, 2009 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE RESULTS OF INITIAL MEASUREMENT PERIODS UNDER TENDER OFFER PROGRAMS NEW YORK, NY, September 1, 2009, Neuberger Berman California Intermediate Municipal Fund Inc. (NYSEAmex: NBW), Neuberger Be |
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| June 11, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Neuberger Berman California Intermediate Municipal Fund Inc. (Name of Issuer) Common Stock, $0.0001 Par Value (Title of Class of Securities) 64123C101 |
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| June 5, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE FINAL RESULTS OF TENDER OFFERS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE FINAL RESULTS OF TENDER OFFERS NEW YORK, June 5, 2009 ? Neuberger Berman California Intermediate Municipal Fund Inc. (AMEX: NBW), Neuberger Berman Dividend Advantage Fund Inc. (AMEX: NDD), N |
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| June 5, 2009 |
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 (Amendment No. 3) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| June 1, 2009 |
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 (Amendment No. 2) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| June 1, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE PRELIMINARY RESULTS OF TENDER OFFERS EX-99 2 exhibit.htm Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE PRELIMINARY RESULTS OF TENDER OFFERS NEW YORK, June 1, 2009 — Neuberger Berman California Intermediate Municipal Fund Inc. (AMEX: NBW), Neuberger Berman Dividend Advantag |
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| May 6, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| May 4, 2009 |
LETTER OF TRANSMITTAL To Tender Shares of Common Stock of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| May 4, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Neuberger Berman California Intermediate Municipal Fund Inc. (Name of Issuer) Common Stock, $0.0001 Par Value (Title of Class of Securities) 64123C101 |
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| May 4, 2009 |
NOTICE OF GUARANTEED DELIVERY To Tender Common Shares (as defined below) of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| May 4, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Dividend Advantage Fund Inc. Neuberger Berman Income Opportunity Fund Inc. Neuberger Berman High Yield Strategies Fund Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. (each, a "Fund") to Purchase for Cash Up To 10% of each Fund's Outstanding Co |
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| May 4, 2009 |
COMPROMISE AND STANDSTILL AGREEMENT EX-99.1 2 ex991to13da106290031043009.htm AGREEMENT Exhibit 99.1 COMPROMISE AND STANDSTILL AGREEMENT This Compromise and Standstill Agreement (the “Agreement”) is made and entered into effective as of the 30th day of April 2009 by and among Neuberger Berman Management LLC (“Neuberger Berman”) and Arthur D. Lipson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment A |
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| May 4, 2009 |
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 (Amendment No. 1) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $ |
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| May 4, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Dividend Advantage Fund Inc. Neuberger Berman Income Opportunity Fund Inc. Neuberger Berman High Yield Strategies Fund Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. (each, a "Fund") to Purchase for Cash Up To 10% of Its Outstanding Common Sha |
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| May 1, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Dividend Advantage Fund Inc. Neuberger Berman Income Opportunity Fund Inc. Neuberger Berman High Yield Strategies Fund Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. (each, a "Fund") to Purchase for Cash Up To 10% of each Fund's Outstanding Co |
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| May 1, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Dividend Advantage Fund Inc. Neuberger Berman Income Opportunity Fund Inc. Neuberger Berman High Yield Strategies Fund Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. (each, a "Fund") to Purchase for Cash Up To 10% of Its Outstanding Common Sha |
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| May 1, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS COMMENCE TENDER OFFERS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS COMMENCE TENDER OFFERS NEW YORK, NY, May 1, 2009, Neuberger Berman California Intermediate Municipal Fund Inc. (AMEX: NBW), Neuberger Berman Dividend Advantage Fund Inc. (AMEX: NDD), Neuberger Berman |
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| May 1, 2009 |
LETTER OF TRANSMITTAL To Tender Common Shares of Beneficial Interest of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| May 1, 2009 |
Offer by Each of Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Dividend Advantage Fund Inc. Neuberger Berman Income Opportunity Fund Inc. Neuberger Berman High Yield Strategies Fund Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. (each, a "Fund") to Purchase for Cash Up To 10% of Its Outstanding Common Sha |
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| May 1, 2009 |
NOTICE OF GUARANTEED DELIVERY To Tender Common Shares (as defined below) of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| May 1, 2009 |
Instructions for Withdrawal of Previously Tendered Common Shares (as defined below) of Neuberger Berman California Intermediate Municipal Fund Inc. |
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| May 1, 2009 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| April 30, 2009 |
Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN MANAGEMENT ANNOUNCES UPDATE ABOUT TENDER OFFER PROGRAMS AND ISSUES STATEMENT REGARDING NEUBERGER BERMAN DIVIDEND ADVANTAGE FUND INC. NEW YORK, NY, April 30, 2009, Neuberger Berman Management LLC (?NB Management?) ann |
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| April 30, 2009 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| April 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confide |
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| April 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rul |
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| April 16, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE COMMENCEMENT DATES OF TENDER OFFERS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE COMMENCEMENT DATES OF TENDER OFFERS NEW YORK, April 16, 2009 ? Neuberger Berman California Intermediate Municipal Fund Inc. (AMEX: NBW), Neuberger Berman Dividend Advantage Fund Inc. (AMEX: |
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| April 16, 2009 |
SC TO-C 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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER |
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| April 3, 2009 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| April 1, 2009 |
As filed with the Securities and Exchange Commission on April 1, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2009 |
EXHIBIT 99-CERT CERTIFICATIONS I, Robert Conti, certify that: 1. I have reviewed this report on Form N-Q of Neuberger Berman California Intermediate Municipal Fund Inc. (“Registrant”); 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 s |
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| March 31, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 31, 2009 |
SC TO-C 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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER |
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| March 31, 2009 |
Neuberger Berman California Intermediate Municipal Fund Inc. Neuberger Berman Intermediate Municipal Fund Inc. Neuberger Berman New York Intermediate Municipal Fund Inc. 605 Third Avenue New York, NY 10158 March 31, 2009 Dear Valued Stockholder: As you are likely aware, the difficult financial markets experienced during much of the past year have impacted your investments in Neuberger Berman Calif |
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| March 23, 2009 |
- PRELIMINARY PROXY STATEMENT IN CONNECTION WITH CONTESTED SOLICITATIONS PREC14A 1 nbclosedendprec14a.htm PRELIMINARY PROXY STATEMENT IN CONNECTION WITH CONTESTED SOLICITATIONS SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as per |
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| March 23, 2009 |
scratch.pdf - Converted by SECPublisher 4.0, created by BCL Technologies Inc., for SEC Filing 1875 K Street, N.W. Washington, DC 20006-1238 Tel: 202 303 1000 Fax: 202 303 2000 March 23, 2009 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Neuberger Berman California Intermediate Municipal Fund Inc. (File No. 811-21167), Neuberger Berman Dividend Advantage |
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| February 10, 2009 |
sc13g OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| February 6, 2009 |
NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFERS AND TENDER OFFER PROGRAMS Neuberger Berman Management LLC 605 Third Avenue New York, NY 10158-3698 Tel 212.476.9000 Contact: Neuberger Berman Management LLC Investor Information (877) 461-1899 NEUBERGER BERMAN CLOSED-END FUNDS ANNOUNCE TENDER OFFERS AND TENDER OFFER PROGRAMS NEW YORK, February 6, 2009 ? The Boards of Directors/Trustees (each, a ?Board?) of Neuberger Berman California Intermediate Municipal Fund Inc. (AMEX: |
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| February 6, 2009 |
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 NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Subject Company (Issuer)) NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC. (Name of Filing Person (Issuer)) COMMON STOCK, PAR VALUE $0.0001 PER SHARE ( |
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| January 22, 2009 |
Exhibit 99.2 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Arthur D. Lipson signing singly, the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with the investment by Western Investment LLC, or its affiliates (“Western”), in the voting securities of Neuberger Berman Dividend Advantage Fund Inc. (“NDD”), Ne |
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| January 22, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Neuberger Berman California Intermediate Municipal Fund Inc. (Name of Issuer) Common Stock, $0.0001 Par Value (Title of Class of Securities) 64123C101 ( |
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| January 22, 2009 |
JOINT FILING AND SOLICITATION AGREEMENT EX-99.1 2 ex991sc13d0629003101122009.htm JOINT FILING AND SOLICITATION AGREEMENT Exhibit 99.1 JOINT FILING AND SOLICITATION AGREEMENT WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of Neuberger Berman California Intermediate Municipal Fund Inc., a Maryland corporation (the “Fund”); WHEREAS, Western Investment LLC, a Delaware limited liability company, Arthur D. Lipson, |
