Sec Form 13G Filing - TORONTO DOMINION BANK filing for Nuveen Floating Rate Income Opportunity Fund (JRO) - 2020-12-30

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
(Amendment No. )
 
Under the Securities Exchange Act of 1934
 
 
 Nuveen Floating Rate Income Opportunity Fund
 
 
(Name of Issuer)
 
 
 
 
 
Preferred Shares 
 
 
(Title of Class of Securities)
 
 
 
 
 
6706EN 860
 
 
(CUSIP Number)
 
 
 
 
 
 11/5/2020
 
 
(Date of Event Which Requires Filing of this Statement)
 
 
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed
 
☒
Rule 13d-1(b)
☐
Rule 13d-1(c)
☐
Rule 13d-1(d)
 
The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 
 

 
 
 
CUSIP No. 6706EN860
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
The Toronto-Dominion Bank, New York Branch
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a)  ☐
(b)  ☐
3.
SEC Use Only
 
4.
Citizenship of Place of Organization
 USA
Number of Shares
Beneficially
Owned by Each
Reporting  Person
With
5.
Sole Voting Power 
75,000 shares
6.
Shared Voting Power
 N/A
7. 
Sole Dispositive Power 
 75,000 shares
8.
Shared Dispositive Power
 N/A
9.
Aggregate Amount Beneficially Owned by each Reporting Person
$75,000,000
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐
N/A
11.
Percent of Class Represented by Amount in Row 9
100%
12.
Type of Reporting Person (See Instructions)
 BK
 
 
 
 
 
 
 
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
The Toronto-Dominion Bank
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a)  ☐
(b)  ☐
3.
SEC Use Only
 
4.
Citizenship of Place of Organization
Canada
Number of Shares
Beneficially
Owned by Each
Reporting  Person
With
5.
Sole Voting Power 
75,000 shares
6.
Shared Voting Power
 N/A
7. 
Sole Dispositive Power 
 75,000 shares
8.
Shared Dispositive Power
 N/A
9.
Aggregate Amount Beneficially Owned by each Reporting Person
$75,000,000
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐
N/A
11.
Percent of Class Represented by Amount in Row 9
100%
12.
Type of Reporting Person (See Instructions)
 BK
 
 
 
 
 
 
 
 
ITEM 1:
 
(a)  Name of Issuer:
 
Nuveen Floating Rate Income Opportunity Fund
 
 (b)  Address of Issuer’s Principal Executive Offices:
 
333 W. Wacker, Chicago IL, 60610
 
ITEM 2:
 
(a)  Name of Person Filing:
 
The Toronto-Dominion Bank, New York Branch
 
(b)  Address of Principal Business Office or, if None, Residence:
 
31 West 52nd Street, 20th Floor
New York, NY 10019
 
(c)  Citizenship:
 
USA
 
(d)  Title of Class of Securities:
 
Preferred Shares
 
(e)  CUSIP Number:
 
6706EN860
 
 
 
 
 
 
 
 
ITEM 3:  IF THIS STATEMENT IS FILED PURSUANT TO §§240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
 
          
(a)     
☐     
 Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
 
 
 
 
 
(b) 
☒
 Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
 
 
 
 
 
(c) 
☐
 Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
 
 
 
 
 
(d) 
☐
 Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
 
 
 
 
 
(e) 
☐
 An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
 
 
 
 
(f) 
☐
 An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
 
 
 
 
(g) 
☐
 A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
 
 
 
 
(h) 
☐
 A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
 
 
 
 
(i) 
☐
 A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
 
 
 
 
 
(j) 
☐
 A non-U.S. institution, in accordance with §240.13d-1(b)(1)(ii)(J);
 
 
 
 
 
(k) 
☐
 Group, in accordance with §240.13d-1(b)(1)(ii)(K).
 
 
 
 
 If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: ___________________________.
 
ITEM 4:  OWNERSHIP.
 
(a)  Amount beneficially owned:     $75,000,000
 
(b)  Percent of class:   100%
 
(c)  Number of shares as to which the person has:
 
                    
(i)   
Sole power to vote or to direct the vote
 
75,000 shares
 
(ii)   
Shared power to vote or to direct the vote
 
N/A
 
(iii)   
Sole power to dispose or to direct the disposition of
 
75,000 shares
 
(iv)   
Shared power to dispose or to direct the disposition of   
 
N/A
 
ITEM 5:   OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
N/A
 
ITEM 6:   OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
N/A
 
ITEM 7:   IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
N/A
 
ITEM 8:   IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
N/A
 
ITEM 9:   NOTICE OF DISSOLUTION OF GROUP.
N/A
 
ITEM 10:  CERTIFICATIONS.
 
 
 
 
 
 
 
SIGNATURE
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. 
 
 
 
 
 
 
 
Dated: 12/28/2020
 
 
 
 
 
 
 
 
 
 
 
 
 
THE TORONTO-DOMINION BANK, NEW YORK BRANCH
 
 
 
 
 
 
By:
 /s/
 
 
 
Name: Christina Petrou
 
 
 
Title: Vice President
 
 
 
 
THE TORONTO-DOMINION BANK
 
 
 
 
 
 
By:
 /s/
 
 
 
Name: Christina Petrou
 
 
 
Title: Vice President