Statement of Changes in Beneficial Ownership (4)
10 Juin 2022 - 10:31PM
Edgar (US Regulatory)
|
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * MetLife Investment
Management, LLC |
2. Issuer Name and Ticker or Trading
Symbol Neuberger Berman High Yield Strategies Fund Inc. [
NHS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
|
(Last)
(First)
(Middle)
ONE METLIFE WAY |
3. Date of Earliest Transaction (MM/DD/YYYY)
8/4/2020
|
|
(Street)
WHIPPANY, NJ 07981
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Floating Rate Senior Note, Series A Note, Due
Sep. 18, 2023 |
8/4/2020 |
|
J(1) |
|
15969333 |
D |
$15992744.26 (3) |
7984667 |
I (4)(5) |
See Footnotes (4)(5) |
|
Floating Rate Senior Note, Series A Note, Due
Sep. 18, 2023 |
8/4/2020 |
|
J(1) |
|
17621333 |
D |
$17647166.12 (3) |
8810667 |
I (4)(5) |
See Footnotes (4)(5) |
|
Floating Rate Senior Note, Series A Note, Due
Sep. 18, 2023 |
8/4/2020 |
|
J(1) |
|
26409334 |
D |
$26448050.45 (3) |
13204666 |
I (4)(5) |
See Footnotes (4)(5) |
|
Series B Mandatory Redeemable Preferred
Shares |
8/4/2020 |
|
J(2) |
|
1400 |
D |
$35092143.82 (3) |
0 |
I (4)(5) |
See Footnotes (4)(5) |
|
Series C Mandatory Redeemable Preferred
Shares |
8/4/2020 |
|
P |
|
4960000 |
A |
$12.5 |
4960000 |
I (4)(5) |
See Footnotes (4)(5) |
|
Series C Mandatory Redeemable Preferred
Shares |
8/4/2020 |
|
P |
|
960000 |
A |
$12.5 |
960000 |
I (4)(5) |
See Footnotes (4)(5) |
|
Series C Mandatory Redeemable Preferred
Shares |
8/4/2020 |
|
P |
|
1680000 |
A |
$12.5 |
1680000 |
I (4)(5) |
See Footnotes (4)(5) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of
Responses: |
| (1) |
These Floating Rate Senior
Notes, Series A Notes, due September 18, 2023 ("Notes") were
redeemed, in part, by the Issuer pursuant to a partial prepayment
of the principal plus accrued and unpaid interest. |
| (2) |
These Series B Mandatory
Redeemable Preferred Shares ("Series B MRPS") were redeemed, in
whole, by the Issuer at a price equal to the liquidation preference
of $25,000 per share plus accumulated and unpaid
dividends. |
| (3) |
This price reflects the
aggregate amount received in exchange for the
redemption. |
| (4) |
These Notes, Series B MRPS
and Series C MRPS are held directly by clients for whom the
Reporting Person serves as investment manager. |
| (5) |
The Reporting Person
disclaims beneficial ownership of the securities reported herein,
except to the extent of its pecuniary interest therein, and this
report shall not be deemed an admission that the Reporting Person
is the beneficial owner of such securities for purposes of Section
16 of the Securities Exchange Act of 1934, as amended, or for any
other purpose. |
Remarks:
The initial Form 3 was filed on October 9, 2013 by Metropolitan
Life Insurance Company. Subsequent to that filing, management of
positions in the Issuer's securities was transferred to MetLife
Investment Management, LLC, who assumed the Section 16 reporting
obligations for such positions. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
MetLife Investment Management, LLC
ONE METLIFE WAY
WHIPPANY, NJ 07981 |
|
X |
|
|
Signatures
|
|
/s/ Israel Grafstein, Chief Compliance Officer of
MetLife Investment Management, LLC |
|
6/10/2022 |
| **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 4(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 control number. |
Neuberger Berman High Yi... (AMEX:NHS)
Graphique Historique de l'Action
De Jan 2023 à Fév 2023
Neuberger Berman High Yi... (AMEX:NHS)
Graphique Historique de l'Action
De Fév 2022 à Fév 2023
