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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/15/2012 |
3. Issuer Name and Ticker or Trading Symbol
Invesco Van Kampen Trust for Investment Grade New York Municipals [ VTN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 05/25/2012 |
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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 Muni Term Preferred Shares | 768(1) | I | Ownership of residual certificates(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)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. This statement is jointly filed by Royal Bank of Canada ("RBC") and RBC Municipal Products, Inc. ("MPI"). RBC holds an indirect interest in the securities listed in Table I (the "Securities") by virtue of its indirect 100% ownership of its subsidiary MPI. The proceeds from the issuance of the Securities by the Issuer will be used to redeem auction rate preferred stock ("ARPS") of the Issuer, which include 11 shares of ARPS (CUSIP 46131T200) and 4 shares of ARPS (CUSIP 46131T309) owned by RBC and its wholly owned indirect subsidiary RBC Capital Markets, LLC. |
2. The Securities have been deposited by MPI with The Bank of New York Mellon, as trustee of RBC Municipal Products, Inc. Trust, Series E-33 relating to $76,800,000 Invesco Van Kampen Trust for Investment Grade New York Municipals, Series 2015/6-VTN, a New York common-law trust that is a tender option bond financing trust (the "TOB"). A pecuniary interest in the dividends and liquidation preference of the Securities is owned by holders of the $76,795,000 floating certificates issued by the TOB, which is senior to the pecuniary interest in the dividends and liquidation preference of the Securities owned by MPI through its ownership of the $5,000 residual certificates issued by the TOB. MPI also holds the right to dissolve the TOB, dispose of the Securities and direct certain voting and consent rights on the Securities. |
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 |
RBC MUNICIPAL PRODUCTS, INC., /s/ Andrew B. Sanford | 08/28/2012 | |
ROYAL BANK OF CANADA, /s/ Peggy Dowdall-Logie | 08/28/2012 | |
ROYAL BANK OF CANADA, /s/ Tom Smee | 08/28/2012 | |
** 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. |