SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/15/2011 | 3. Issuer Name and Ticker or Trading Symbol Delaware Investments Colorado Municipal Income Fund, Inc. [ VCF ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Variable Rate MuniFund Term Preferred Shares | 300(1) | I(2) | By Subsidiary(2)(3) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. The variable rate munifund term preferred shares (the "VMTP Shares") reported in Table I represent 300 VMTP Shares beneficially owned by Wells Fargo Bank, National Association ("WFBNA"). The Issuer refinanced the Reporting Person's initial shares of Variable Rate MuniFund Term Preferred Shares Series 2017 (CUSIP No. 246101406) ("Initial Shares") of the Issuer by redemption of the Initial Shares and the issuance of Variable Rate MuniFund Term Preferred Shares Series 2021 (CUSIP No: 246101505) ("New Shares") of the Issuer pursuant to a Purchase Agreement dated January 22, 2016. The Initial Shares were redeemed on or about February 1, 2016. This Form 3 was not timely filed to reflect the Reporting Person's beneficial ownership of more than 10% of the Initial Shares, which first occurred as of the date stated in Item 2 above, and a subsequent Form 4 was not timely filed to reflect the redemption of the Initial Shares and the acquisition of the New Shares. |
| 2. This statement is jointly filed by Wells Fargo & Company ("Wells Fargo") and WFBNA. Wells Fargo holds an indirect interest in the VMTP Shares listed in Table I by virtue of its indirect ownership of its subsidiary, WFBNA. |
| 3. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. |
| Remarks: |
| Exhibits Index Exhibit 99.1 - Joint Filing Agreement Exhibit 99.2 - Joint Filer Information |
| WELLS FARGO & COMPANY, /s/ Lori Ward | 05/06/2019 | |
| WELLS FARGO BANK, NATIONAL ASSOCIATION, /s/ Adam Joseph | 05/06/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||