Nuveen New York Quality Municipal Income Fund

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM N-Q

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number 811-09135

Nuveen New York Quality Municipal Income Fund

(Exact name of registrant as specified in charter)

Nuveen Investments

    333 West Wacker Drive, Chicago, Illinois 60606    

(Address of principal executive offices) (Zip code)

Gifford R. Zimmerman

Vice President and Secretary

    333 West Wacker Drive, Chicago, Illinois 60606    

(Name and address of agent for service)

Registrant’s telephone number, including area code:     312-917-7700    

Date of fiscal year end: February 28

Date of reporting period: November 30, 2017

Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

 

 

 

 

Item 1. Schedule of Investments

 

 

NAN
Nuveen New York Quality Municipal Income Fund
Portfolio of Investments November 30, 2017 (Unaudited)
Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    LONG-TERM INVESTMENTS – 150.0% (100.0% of Total Investments)        
    MUNICIPAL BONDS – 150.0% (100.0% of Total Investments)        
    Consumer Staples  – 8.8% (5.9% of Total Investments)        
    Erie County Tobacco Asset Securitization Corporation, New York, Tobacco Settlement Asset-Backed Bonds, Series 2005A:        
$ 12,500   5.000%, 6/01/38   2/18 at 100.00 BB+ $12,500,750
3,210   5.000%, 6/01/45   2/18 at 100.00 B+ 3,071,424
1,350   Nassau County Tobacco Settlement Corporation, New York, Tobacco Settlement Asset-Backed Bonds, Refunding Series 2006A-2, 5.250%, 6/01/26   1/18 at 100.00 B- 1,350,162
12,415   Nassau County Tobacco Settlement Corporation, New York, Tobacco Settlement Asset-Backed Bonds, Series 2006A-3, 5.000%, 6/01/35   1/18 at 100.00 B- 12,272,352
    New York Counties Tobacco Trust VI, New York, Tobacco Settlement Pass-Through Bonds, Series 2016A-1:        
355   5.625%, 6/01/35   No Opt. Call BBB 389,889
1,145   5.750%, 6/01/43   No Opt. Call BBB 1,257,359
    TSASC Inc., New York, Tobacco Asset-Backed Bonds, Series 2006:        
2,620   5.000%, 6/01/45   6/27 at 100.00 B+ 2,691,736
7,155   5.000%, 6/01/48   6/27 at 100.00 N/R 7,279,425
40,750   Total Consumer Staples       40,813,097
    Education and Civic Organizations – 26.1% (17.4% of Total Investments)        
1,855   Albany Industrial Development Agency, New York, Revenue Bonds, Brighter Choice Charter Schools, Series 2007A, 5.000%, 4/01/37   2/18 at 100.00 B 1,644,309
3,265   Buffalo and Erie County Industrial Land Development Corporation, New York, Revenue Bonds, Enterprise Charter School Project, Series 2011A, 7.500%, 12/01/40   12/20 at 100.00 B+ 3,458,517
    Build New York City Resource Corporation, New York, Revenue Bonds, City University of New York - Queens College, Q Student Residences, LLC Project, Refunding Series 2014A:        
1,025   5.000%, 6/01/32   6/24 at 100.00 Aa2 1,182,317
2,070   5.000%, 6/01/43   6/24 at 100.00 Aa2 2,329,454
    Build New York City Resource Corporation, New York, Revenue Bonds, Metropolitan College of New York, Series 2014:        
1,405   5.250%, 11/01/34   11/24 at 100.00 BB 1,482,247
1,300   5.000%, 11/01/39   11/24 at 100.00 BB 1,319,643
    Build New York City Resource Corporation, New York, Revenue Bonds, South Bronx Charter School for International Cultures and the Arts Project, Series 2013A:        
950   5.000%, 4/15/33   4/23 at 100.00 BB+ 981,046
1,380   5.000%, 4/15/43   4/23 at 100.00 BB+ 1,407,214
1,760   Dormitory Authority of the State of New York, General Revenue Bonds, Saint Johns University, Series 2013A, 5.000%, 7/01/44   7/23 at 100.00 A- 1,945,134

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Education and Civic Organizations (continued)        
$ 2,000   Dormitory Authority of the State of New York, Housing Revenue Bonds, Fashion Institute of Technology, Series 2007, 5.250%, 7/01/29  –  FGIC Insured   No Opt. Call A3 $2,364,180
3,915   Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory Facilities, Refunding Series 2013A, 5.000%, 7/01/27   7/23 at 100.00 Aa3 4,542,849
3,500   Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory Facilities, Series 2012A, 5.000%, 7/01/37   7/22 at 100.00 Aa2 3,871,210
    Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory Facilities, Series 2015A:        
1,120   5.000%, 7/01/31   7/25 at 100.00 Aa3 1,304,554
1,245   5.000%, 7/01/33   7/25 at 100.00 Aa3 1,435,348
4,000   Dormitory Authority of the State of New York, Lease Revenue Bonds, State University Dormitory Facilities, Series 2017A, 5.000%, 7/01/42   7/27 at 100.00 Aa3 4,646,960
5,090   Dormitory Authority of the State of New York, Revenue Bonds, Icahn School of Medicine at Mount Sinai, Refunding Series 2015A, 5.000%, 7/01/40   7/25 at 100.00 A- 5,636,870
2,100   Dormitory Authority of the State of New York, Revenue Bonds, Marymount Manhattan College, Series 2009, 5.250%, 7/01/29   7/19 at 100.00 Baa2 2,195,571
1,955   Dormitory Authority of the State of New York, Revenue Bonds, New School University, Series 2015A, 5.000%, 7/01/45   7/25 at 100.00 A- 2,206,843
2,120   Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2001-1, 5.500%, 7/01/20  –  AMBAC Insured   No Opt. Call Aa2 2,326,594
    Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2015A:        
1,000   5.000%, 7/01/34   7/25 at 100.00 Aa2 1,157,330
2,300   5.000%, 7/01/35   7/25 at 100.00 Aa2 2,653,349
    Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2016A:        
5,100   5.000%, 7/01/33   7/26 at 100.00 Aa2 6,000,966
3,765   5.000%, 7/01/36   7/26 at 100.00 Aa2 4,386,225
1,055   5.000%, 7/01/39   7/26 at 100.00 Aa2 1,222,977
8,000   Dormitory Authority of the State of New York, Revenue Bonds, Non State Supported Debt, Cornell University, Series 2010A, 5.000%, 7/01/40   7/20 at 100.00 Aa1 8,628,640
1,600   Dormitory Authority of the State of New York, Revenue Bonds, Saint Joseph's College, Series 2010, 5.250%, 7/01/35   7/20 at 100.00 Ba1 1,659,984
3,140   Dormitory Authority of the State of New York, Revenue Bonds, Vaughn College of Aeronautics & Technology, Series 2016A, 144A, 5.500%, 12/01/36   12/26 at 100.00 BB- 3,200,194
2,705   Glen Cove Local Economic Assistance Corporation, New York, Revenue Bonds, Garvies Point Public Improvement Project, Capital Appreciation Series 2016C, 0.000%, 1/01/55 (4)   1/34 at 100.00 N/R 2,216,071
250   Hempstead Town Local Development Corporation, New York, Revenue Bonds, Adelphi University Project, Series 2009B, 5.250%, 2/01/39   2/19 at 100.00 A- 259,368
    Hempstead Town Local Development Corporation, New York, Revenue Bonds, Adelphi University Project, Series 2013:        
1,005   5.000%, 9/01/38   9/23 at 100.00 A- 1,124,304
265   5.000%, 9/01/43   9/23 at 100.00 A- 293,784
5,000   Madison County Capital Resource Corporation, New York, Revenue Bonds, Colgate University Project, Refunding Series 2015A, 5.000%, 7/01/40   7/25 at 100.00 AA 5,713,000

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Education and Civic Organizations (continued)        
$ 1,260   Madison County Capital Resource Corporation, New York, Revenue Bonds, Colgate University Project, Series 2010A, 5.000%, 7/01/40   7/20 at 100.00 AA $1,350,783
890   Monroe County Industrial Development Corporation, New York, Revenue Bonds, St. John Fisher College, Series 2011, 6.000%, 6/01/30   6/21 at 100.00 A- 1,003,706
    New Rochelle Corporation, New York, Local Development Revenue Bonds, Iona College Project, Series 2015A:        
2,945   5.000%, 7/01/40   7/25 at 100.00 BBB 3,191,762
85   5.000%, 7/01/45   7/25 at 100.00 BBB 91,657
    New York City Industrial Development Agency, New York, PILOT Revenue Bonds, Queens Baseball Stadium Project, Series 2006:        
1,000   5.000%, 1/01/31  –  AMBAC Insured   2/18 at 100.00 BBB 1,002,510
235   5.000%, 1/01/36  –  AMBAC Insured   2/18 at 100.00 BBB 238,828
3,515   5.000%, 1/01/39  –  AMBAC Insured   2/18 at 100.00 BBB 3,571,205
5,050   4.750%, 1/01/42  –  AMBAC Insured   2/18 at 100.00 BBB 5,061,059
400   5.000%, 1/01/46  –  AMBAC Insured   2/18 at 100.00 BBB 405,512
    New York City Industrial Development Authority, New York, PILOT Revenue Bonds, Yankee Stadium Project, Series 2006:        
7,555   4.500%, 3/01/39  –  FGIC Insured   2/18 at 100.00 Baa1 7,561,346
2,750   4.750%, 3/01/46  –  NPFG Insured   2/18 at 100.00 A3 2,754,070
1,000   New York City Trust for Cultural Resources, New York, Revenue Bonds, Whitney Museum of American Art, Series 2011, 5.000%, 7/01/31   1/21 at 100.00 AA 1,090,900
1,500   New York City Trust for Cultural Resources, New York, Revenue Bonds, Wildlife Conservation Society, Series 2013A, 5.000%, 8/01/33   8/23 at 100.00 AA- 1,700,055
1,515   Onondaga Civic Development Corporation, New York, Revenue Bonds, Le Moyne College Project, Series 2015, 5.000%, 7/01/40   7/25 at 100.00 Baa2 1,642,987
    Saint Lawrence County Industrial Development Agency Civic Development Corporation, New York, Revenue Bonds, Clarkson University Project, Series 2012A:        
1,050   5.250%, 9/01/33   3/22 at 100.00 A3 1,162,360
1,750   5.000%, 9/01/41   3/22 at 100.00 A3 1,898,522
2,260   Troy Capital Resource Corporation, New York, Revenue Bonds, Rensselaer Polytechnic Institute, Series 2010A, 5.125%, 9/01/40   9/20 at 100.00 A3 2,431,737
112,000   Total Education and Civic Organizations       120,956,051
    Financials – 3.2% (2.2% of Total Investments)        
4,725   New York Liberty Development Corporation, Revenue Bonds, Goldman Sachs Headquarters Issue, Series 2005, 5.250%, 10/01/35   No Opt. Call A 5,980,952
6,885   New York Liberty Development Corporation, Revenue Bonds, Goldman Sachs Headquarters Issue, Series 2007, 5.500%, 10/01/37   No Opt. Call A 9,051,985
11,610   Total Financials       15,032,937
    Health Care – 3.8% (2.5% of Total Investments)        
    Dormitory Authority of the State of New York, Highland Hospital of Rochester Revenue Bonds, Series 2010:        
350   5.000%, 7/01/26   7/20 at 100.00 A 375,081
350   5.200%, 7/01/32   7/20 at 100.00 A 373,979

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Health Care (continued)        
$ 3,700   Dormitory Authority of the State of New York, Revenue Bonds, North Shore Long Island Jewish Obligated Group, Series 2015A, 5.000%, 5/01/43   5/25 at 100.00 A $4,165,349
500   Dutchess County Local Development Corporation, New York, Revenue Bonds, Health Quest Systems Inc., Series 2010A, 5.750%, 7/01/30   7/20 at 100.00 A- 555,755
4,120   Dutchess County Local Development Corporation, New York, Revenue Bonds, Health Quest Systems, Inc. Project, Series 2016B, 5.000%, 7/01/32   7/26 at 100.00 A- 4,772,608
710   Livingston County Industrial Development Agency, New York, Civic Facility Revenue Bonds, Nicholas H. Noyes Hospital, Series 2005, 6.000%, 7/01/30   2/18 at 100.00 BB 717,576
715   Monroe County Industrial Development Corporation, New York, FHA Insured Mortgage Revenue Bonds, Unity Hospital of Rochester Project, Series 2010, 5.750%, 8/15/35   2/21 at 100.00 AA 809,258
2,730   Suffolk County Economic Development Corporation, New York, Revenue Bonds, Catholic Health Services of Long Island Obligated Group Project, Refunding Series 2011, 5.000%, 7/01/28   7/21 at 100.00 A- 3,000,652
2,175   Yonkers Industrial Development Agency, New York, Revenue Bonds, St. John's Riverside Hospital, Series 2001A, 7.125%, 7/01/31   1/18 at 100.00 BB- 2,176,392
625   Yonkers Industrial Development Agency, New York, Revenue Bonds, St. John's Riverside Hospital, Series 2001B, 7.125%, 7/01/31   2/18 at 100.00 BB- 625,400
15,975   Total Health Care       17,572,050
    Housing/Multifamily – 2.5% (1.6% of Total Investments)        
4,000   New York City Housing Development Corporation, New York, Multifamily Housing Revenue Bonds, Series 2009J, 4.800%, 5/01/36   5/19 at 100.00 AA+ 4,093,160
705   New York City Housing Development Corporation, New York, Multifamily Housing Revenue Bonds, Series 2010D-1A, 5.000%, 11/01/42   5/20 at 100.00 AA+ 750,311
2,000   New York State Housing Finance Agency, Affordable Housing Revenue Bonds, Series 2007B, 5.300%, 11/01/37 (Alternative Minimum Tax)   2/18 at 100.00 Aa2 2,002,360
600   New York State Housing Finance Agency, Affordable Housing Revenue Bonds, Series 2009B, 4.500%, 11/01/29   5/19 at 100.00 Aa2 612,768
2,000   New York State Housing Finance Agency, Affordable Housing Revenue Bonds, Series 2010A, 5.000%, 11/01/42   5/20 at 100.00 Aa2 2,066,640
1,385   New York State Housing Finance Agency, Affordable Housing Revenue, Series 2007A, 5.250%, 11/01/38 (Alternative Minimum Tax)   2/18 at 100.00 Aa2 1,386,454
530   New York State Housing Finance Agency, Secured Mortgage Program Multifamily Housing Revenue Bonds, Series 1999I, 6.200%, 2/15/20 (Alternative Minimum Tax)   2/18 at 100.00 Aa1 531,410
11,220   Total Housing/Multifamily       11,443,103
    Housing/Single Family – 0.1% (0.1% of Total Investments)        
645   Guam Housing Corporation, Mortgage-Backed Securities Program Single Family Mortgage Revenue Bonds, Series 1998A, 5.750%, 9/01/31 (Alternative Minimum Tax)   No Opt. Call N/R 670,381
    Industrials – 4.5% (3.0% of Total Investments)        
1,935   Build New York City Resource Corporation, New York, Solid Waste Disposal Revenue Bonds, Pratt Paper NY, Inc. Project, Series 2014, 144A, 5.000%, 1/01/35 (Alternative Minimum Tax)   1/25 at 100.00 N/R 2,221,187
17,145   New York Liberty Development Corporation, New York, Liberty Revenue Bonds, 3 World Trade Center Project, Class 1 Series 2014, 144A, 5.000%, 11/15/44   11/24 at 100.00 N/R 18,444,762
19,080   Total Industrials       20,665,949

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Long-Term Care – 1.4% (0.9% of Total Investments)        
$ 1,275   Dormitory Authority of the State of New York, Non-State Supported Debt, Ozanam Hall of Queens Nursing Home Revenue Bonds, Series 2006, 5.000%, 11/01/31   2/18 at 100.00 A3 $1,276,606
3,130   East Rochester Housing Authority, New York, Senior Living Revenue Bonds, Woodland Village Project, Series 2006, 5.500%, 8/01/33   8/18 at 100.00 N/R 3,075,006
    New York City Industrial Development Agency, New York, Civic Facility Revenue Bonds, Special Needs Facilities Pooled Program, Series 2008A-1:        
295   5.500%, 7/01/18   2/18 at 100.00 N/R 294,611
1,155   5.800%, 7/01/23   2/18 at 100.00 N/R 1,140,020
    Suffolk County Industrial Development Agency, New York, Civic Facility Revenue Bonds, Special Needs Facilities Pooled Program, Series 2008-B1:        
80   5.500%, 7/01/18   2/18 at 100.00 N/R 75,531
340   5.800%, 7/01/23   7/18 at 100.00 N/R 256,809
170   Yonkers Industrial Development Agency, New York, Civic Facilities Revenue Bonds, Special Needs Facilities Pooled Program Bonds, Series 2008-C1, 5.800%, 7/01/23   7/18 at 100.00 N/R 167,375
6,445   Total Long-Term Care       6,285,958
    Tax Obligation/General – 12.6% (8.4% of Total Investments)        
    Nassau County, New York, General Obligation Bonds, General Improvement Series 2016C:        
1,395   5.000%, 4/01/35   4/26 at 100.00 A+ 1,603,566
2,000   5.000%, 4/01/43   4/26 at 100.00 A+ 2,275,280
    Nassau County, New York, General Obligation Bonds, General Improvement Series, Refunding 2016A:        
3,630   5.000%, 1/01/28   1/26 at 100.00 A+ 4,295,597
500   5.000%, 1/01/38   1/26 at 100.00 A+ 569,690
400   New York City, New York, General Obligation Bonds, Fiscal 2009 Series E, 5.000%, 8/01/28   8/19 at 100.00 AA 421,892
1,000   New York City, New York, General Obligation Bonds, Fiscal 2012 Series B, 5.000%, 8/01/30   8/22 at 100.00 AA 1,129,920
980   New York City, New York, General Obligation Bonds, Fiscal 2012 Series I, 5.000%, 8/01/32   8/22 at 100.00 AA 1,101,755
5,000   New York City, New York, General Obligation Bonds, Fiscal 2014 Series A-1, 5.000%, 8/01/26   8/23 at 100.00 AA 5,801,500
8,365   New York City, New York, General Obligation Bonds, Fiscal 2015 Series B, 5.000%, 8/01/30   8/24 at 100.00 AA 9,690,183
410   New York City, New York, General Obligation Bonds, Fiscal 2017 Series B-1, 5.000%, 12/01/41   12/26 at 100.00 AA 475,957
    New York City, New York, General Obligation Bonds, Fiscal 2018 Series B-1:        
8,195   5.250%, 10/01/31   10/27 at 100.00 AA 10,090,913
6,730   5.000%, 10/01/37   10/27 at 100.00 AA 7,911,586
305   5.000%, 10/01/38   10/27 at 100.00 AA 358,265
3,775   New York City, New York, General Obligation Bonds, Subseries G-1 Fiscal Series 2012, 5.000%, 4/01/28   4/22 at 100.00 AA 4,236,871

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Tax Obligation/General (continued)        
    New York City, New York, General Obligation Bonds, Tender Option Bond Trust 2016-XG0082, 144A:        
$ 3,125   15.555%, 3/01/31 (IF) (5)   3/23 at 100.00 AA $4,815,250
1,525   15.555%, 3/01/31 (IF) (5)   3/23 at 100.00 AA 2,349,842
    Rochester, New York, General Obligation Bonds, Series 1999:        
720   5.250%, 10/01/18  –  NPFG Insured   No Opt. Call AA- 743,249
720   5.250%, 10/01/19  –  NPFG Insured   No Opt. Call AA- 766,930
48,775   Total Tax Obligation/General       58,638,246
    Tax Obligation/Limited – 24.3% (16.2% of Total Investments)        
980   Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, General Purpose Series 2011C, 5.000%, 3/15/41   3/21 at 100.00 AAA 1,069,288
1,000   Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, General Purpose Series 2012D, 5.000%, 2/15/33   2/22 at 100.00 AAA 1,115,040
5,000   Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, General Purpose Series 2013A, 5.000%, 2/15/43   2/23 at 100.00 AAA 5,595,150
2,080   Dormitory Authority of the State of New York, State Personal Income Tax Revenue Bonds, General Purpose Series 2014C, Group C, 5.000%, 3/15/44   3/24 at 100.00 AAA 2,348,174
1,000   Dormitory Authority of the State of New York, State Sales Tax Revenue Bonds, Series 2013A, 5.000%, 3/15/43   3/23 at 100.00 AAA 1,118,710
1,000   Dormitory Authority of the State of New York, State Sales Tax Revenue Bonds, Series 2015B. Group A,B&C, 5.000%, 3/15/35   9/25 at 100.00 AAA 1,165,740
    Government of Guam, Business Privilege Tax Bonds, Refunding Series 2015D:        
3,225   5.000%, 11/15/28   11/25 at 100.00 A 3,612,645
2,355   5.000%, 11/15/34   11/25 at 100.00 A 2,576,087
3,750   Hudson Yards Infrastructure Corporation, New York, Revenue Bonds, Second Indenture Fiscal 2017 Series A, 5.000%, 2/15/45   2/27 at 100.00 Aa3 4,335,712
    Hudson Yards Infrastructure Corporation, New York, Revenue Bonds, Senior Fiscal 2012 Series 2011A:        
2,000   5.250%, 2/15/47   2/21 at 100.00 AA- 2,185,980
2,670   5.750%, 2/15/47   2/21 at 100.00 AA- 2,997,048
    Metropolitan Transportation Authority, New York, Dedicated Tax Fund Bonds, Refunding Series 2012A:        
1,815   5.000%, 11/15/27   11/22 at 100.00 AA 2,076,687
2,250   5.000%, 11/15/29   11/22 at 100.00 AA 2,573,258
2,175   Metropolitan Transportation Authority, New York, State Service Contract Refunding Bonds, Series 2002A, 5.750%, 7/01/18   No Opt. Call AA 2,231,637
1,870   New York City Transitional Finance Authority, New York, Building Aid Revenue Bonds, Fiscal Series 2013S-1, 5.000%, 7/15/31   7/22 at 100.00 AA 2,122,226
    New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Subordinate Fiscal 2012 Series E-1:        
3,775   5.000%, 2/01/37   2/22 at 100.00 AAA 4,191,156
3,950   5.000%, 2/01/42   2/22 at 100.00 AAA 4,367,199
3,090   New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Subordinate Fiscal 2013 Series F-1, 5.000%, 2/01/29   2/23 at 100.00 AAA 3,516,111

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Tax Obligation/Limited (continued)        
$ 7,860   New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Subordinate Fiscal 2013 Series I, 5.000%, 5/01/38   5/23 at 100.00 AAA $8,877,791
4,170   New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Subordinate Fiscal 2014 Series D-1, 5.000%, 2/01/35   2/24 at 100.00 AAA 4,766,602
    New York City Transitional Finance Authority, New York, Future Tax Secured Bonds, Subordinate Fiscal 2017 Series B-1:        
4,960   5.000%, 8/01/34   8/26 at 100.00 AAA 5,839,557
5,000   5.000%, 8/01/36   8/26 at 100.00 AAA 5,848,750
2,825   New York City Transitional Finance Authority, New York, Future Tax Secured Revenue Bonds, Subordinate Lien Series 2011C, 5.500%, 11/01/35   11/20 at 100.00 AAA 3,131,710
2,000   New York City Transitional Finance Authority, New York, Future Tax Secured Revenue Bonds, Subordinate Series 2011-D1, 5.000%, 2/01/35   2/21 at 100.00 AAA 2,184,620
2,400   New York City Transitional Finance Authority, New York, Future Tax Secured Revenue Bonds, Tender Option Bond Trust 2015-XF0080, 144A, 11.843%, 5/01/38 (IF)   5/19 at 100.00 AAA 2,736,168
6,000   New York City, New York, Educational Construction Fund, Revenue Bonds, Series 2011A, 5.750%, 4/01/41   4/21 at 100.00 AA- 6,697,560
11,300   New York State Thruway Authority, Highway and Bridge Trust Fund Bonds, Series 2005B, 144A, 5.500%, 4/01/20  –  AMBAC Insured (UB) (5)   No Opt. Call AA+ 12,309,768
2,110   New York State Thruway Authority, State Personal Income Tax Revenue Bonds, Series 2010A, 5.000%, 3/15/29   9/20 at 100.00 AAA 2,292,874
    Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, Series 2007A:        
16,000   0.000%, 8/01/43  –  NPFG Insured   No Opt. Call A3 3,237,600
12,500   0.000%, 8/01/45  –  NPFG Insured   No Opt. Call A3 2,233,875
    Syracuse Industrial Development Authority, New York, PILOT Revenue Bonds, Carousel Center Project, Refunding Series 2016A:        
2,000   5.000%, 1/01/30 (Alternative Minimum Tax)   1/26 at 100.00 A- 2,278,760
1,000   5.000%, 1/01/35 (Alternative Minimum Tax)   1/26 at 100.00 A- 1,124,150
124,110   Total Tax Obligation/Limited       112,757,633
    Transportation – 27.2% (18.1% of Total Investments)        
7,500   Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Refunding Series 2015D-1, 5.000%, 11/15/30   11/25 at 100.00 AA- 8,826,000
6,640   Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2012E, 5.000%, 11/15/42   11/22 at 100.00 AA- 7,424,317
5,425   Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2015A-1, 5.000%, 11/15/45   5/25 at 100.00 AA- 6,179,184
    Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2016C-1:        
2,500   5.000%, 11/15/34   11/26 at 100.00 AA- 2,904,675
12,560   5.000%, 11/15/56   11/26 at 100.00 AA- 14,359,220
    New York City Industrial Development Agency, New York, Civic Facility Revenue Bonds, Bronx Parking Development Company, LLC Project, Series 2007:        
200   5.750%, 10/01/37 (6)   2/18 at 100.00 N/R 62,000
5,500   5.875%, 10/01/46 (6)   10/37 at 100.00 N/R 1,705,000
2,850   New York Liberty Development Corporation, New York, Liberty Revenue Bonds, 4 World Trade Center Project, Series 2011, 5.000%, 11/15/44   11/21 at 100.00 A+ 3,109,464

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Transportation (continued)        
$ 1,350   New York State Thruway Authority, General Revenue Junior Indebtedness Obligations, Series 2016A, 5.000%, 1/01/51   1/26 at 100.00 A- $1,519,641
    New York Transportation Development Corporation, New York, Special Facility Revenue Bonds, American Airlines, Inc. John F Kennedy International Airport Project, Refunding Series 2016:        
1,760   5.000%, 8/01/26 (Alternative Minimum Tax)   8/21 at 100.00 BB 1,886,086
11,470   5.000%, 8/01/31 (Alternative Minimum Tax)   8/21 at 100.00 BB 12,213,715
12,110   New York Transportation Development Corporation, Special Facilities Bonds, LaGuardia Airport Terminal B Redevelopment Project, Series 2016A, 5.000%, 7/01/46 (Alternative Minimum Tax)   7/24 at 100.00 BBB 13,257,665
    Port Authority of New York and New Jersey, Consolidated Revenue Bonds, One Hundred Eighty-Forth Series 2014:        
6,000   5.000%, 9/01/33   9/24 at 100.00 AA- 6,941,220
4,000   5.000%, 9/01/34   9/24 at 100.00 AA- 4,611,360
8,780   Port Authority of New York and New Jersey, Consolidated Revenue Bonds, One Hundred Eighty-Ninth Series 2015, 5.000%, 5/01/45   5/25 at 100.00 AA- 10,133,876
5,000   Port Authority of New York and New Jersey, Consolidated Revenue Bonds, One Hundred Sixty Sixth Series 2011, 5.000%, 1/15/41   1/21 at 100.00 AA- 5,445,800
5,000   Port Authority of New York and New Jersey, Consolidated Revenue Bonds, Two Hundredth Series 2017, 5.250%, 10/15/57   4/27 at 100.00 AA- 5,863,250
    Port Authority of New York and New Jersey, Special Project Bonds, JFK International Air Terminal LLC Project, Eighth Series 2010:        
1,020   6.500%, 12/01/28   2/18 at 100.00 Baa1 1,072,989
5,000   6.000%, 12/01/36   12/20 at 100.00 Baa1 5,561,000
2,330   Triborough Bridge and Tunnel Authority, New York, General Purpose Revenue Bonds, MTA Bridges & Tunnels, Series 2017C-2, 5.000%, 11/15/42   11/27 at 100.00 AA- 2,741,338
5,000   Triborough Bridge and Tunnel Authority, New York, General Purpose Revenue Bonds, Refunding Series 2016A, 5.000%, 11/15/46   5/26 at 100.00 AA- 5,777,550
780   Triborough Bridge and Tunnel Authority, New York, General Purpose Revenue Bonds, Refunding Subordinate Lien Series 2002E, 5.500%, 11/15/20  –  NPFG Insured   No Opt. Call A+ 865,316
3,500   Triborough Bridge and Tunnel Authority, New York, Subordinate Lien General Purpose Revenue Refunding Bonds, Tender Option Bond Trust 2016-XG0004, 144A, 8.435%, 11/15/33 (IF) (5)   11/18 at 100.00 AA- 3,754,485
116,275   Total Transportation       126,215,151
    U.S. Guaranteed – 14.6% (9.8% of Total Investments) (7)        
    Brooklyn Arena Local Development Corporation, New York, Payment in Lieu of Taxes Revenue Bonds, Barclays Center Project, Series 2009:        
2,950   6.250%, 7/15/40 (Pre-refunded 1/15/20)   1/20 at 100.00 AA+ (7) 3,240,427
1,000   6.375%, 7/15/43 (Pre-refunded 1/15/20)   1/20 at 100.00 AA+ (7) 1,101,040
400   Canton Capital Resource Corporation, New York, Student Housing Facility Revenue Bonds, Grasse River LLC at SUNY Canton Project Series 2010A, 5.000%, 5/01/40 (Pre-refunded 5/01/20)   5/20 at 100.00 AA (7) 432,296

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    U.S. Guaranteed (7) (continued)        
    Dormitory Authority of the State of New York, Orange Regional Medical Center Obligated Group Revenue Bonds, Series 2008:        
$ 3,845   6.500%, 12/01/21 (Pre-refunded 12/01/18)   12/18 at 100.00 Baa3 (7) $3,997,454
2,420   6.125%, 12/01/29 (Pre-refunded 12/01/18)   12/18 at 100.00 Baa3 (7) 2,533,934
4,800   6.250%, 12/01/37 (Pre-refunded 12/01/18)   12/18 at 100.00 Baa3 (7) 5,031,888
1,750   Dormitory Authority of the State of New York, Revenue Bonds, New School University, Series 2010, 5.250%, 7/01/30 (Pre-refunded 7/01/20)   7/20 at 100.00 A- (7) 1,908,620
290   Dormitory Authority of the State of New York, Revenue Bonds, New York University, Series 2009A, 5.000%, 7/01/39 (Pre-refunded 7/01/19)   7/19 at 100.00 Aa2 (7) 305,318
1,000   Dormitory Authority of the State of New York, Revenue Bonds, North Shore Long Island Jewish Obligated Group, Series 2011A, 5.000%, 5/01/41 (Pre-refunded 5/01/21)   5/21 at 100.00 A (7) 1,107,760
5,500   Dormitory Authority of the State of New York, Revenue Bonds, NYU Hospitals Center, Series 2011A, 6.000%, 7/01/40 (Pre-refunded 7/01/20)   7/20 at 100.00 A- (7) 6,102,140
4,445   Hempstead Town Local Development Corporation, New York, Revenue Bonds, Molloy College Project, Series 2009, 5.750%, 7/01/39 (Pre-refunded 7/01/19)   7/19 at 100.00 N/R (7) 4,735,036
4,030   Hudson Yards Infrastructure Corporation, New York, Revenue Bonds, Senior Fiscal 2012 Series 2011A, 5.750%, 2/15/47 (Pre-refunded 2/15/21)   2/21 at 100.00 Aa3 (7) 4,541,085
    Long Island Power Authority, New York, Electric System Revenue Bonds, Series 2011A:        
1,000   5.000%, 5/01/36 (Pre-refunded 5/01/21)  –  AGM Insured   5/21 at 100.00 AA (7) 1,111,270
8,265   5.000%, 5/01/38 (Pre-refunded 5/01/21)   5/21 at 100.00 A- (7) 9,184,646
    Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2010D:        
4,000   5.000%, 11/15/34 (Pre-refunded 11/15/20)   11/20 at 100.00 AA- (7) 4,389,960
1,560   5.250%, 11/15/40 (Pre-refunded 11/15/20)   11/20 at 100.00 AA- (7) 1,723,270
2,000   Metropolitan Transportation Authority, New York, Transportation Revenue Bonds, Series 2013E, 5.000%, 11/15/31 (Pre-refunded 11/15/23)   11/23 at 100.00 AA- (7) 2,353,240
2,175   New York City Transitional Finance Authority, New York, Future Tax Secured Revenue Bonds, Subordinate Lien Series 2011C, 5.500%, 11/01/35 (Pre-refunded 11/01/20)   11/20 at 100.00 N/R (7) 2,411,792
470   Suffolk County Economic Development Corporation, New York, Revenue Bonds, Catholic Health Services of Long Island Obligated Group Project, Refunding Series 2011, 5.000%, 7/01/28 (Pre-refunded 7/01/21)   7/21 at 100.00 N/R (7) 523,571
1,600   Triborough Bridge and Tunnel Authority, New York, General Purpose Revenue Bonds, Series 1993B, 5.000%, 1/01/20 (ETM)   No Opt. Call AA+ (7) 1,656,976
7,500   Triborough Bridge and Tunnel Authority, New York, General Purpose Revenue Bonds, Series 1999B, 5.500%, 1/01/30 (Pre-refunded 1/01/22)   1/22 at 100.00 AA+ (7) 8,471,850
1,000   Yonkers Industrial Development Agency, New York, Civic Facility Revenue Bonds, Sarah Lawrence College Project, Series 2001A Remarketed, 6.000%, 6/01/41 (Pre-refunded 6/01/19)   6/19 at 100.00 BBB (7) 1,065,670
62,000   Total U.S. Guaranteed       67,929,243
    Utilities – 10.5% (7.0% of Total Investments)        
3,500   Chautauqua County Industrial Development Agency, New York, Exempt Facility Revenue Bonds, NRG Dunkirk Power Project, Series 2009, 5.875%, 4/01/42   2/20 at 100.00 Baa3 3,665,970
370   Guam Power Authority, Revenue Bonds, Series 2012A, 5.000%, 10/01/34   10/22 at 100.00 BBB 391,297
1,460   Long Island Power Authority, New York, Electric System General Revenue Bonds, Series 2014A, 5.000%, 9/01/44   9/24 at 100.00 A- 1,628,469

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Utilities (continued)        
$ 1,250   Long Island Power Authority, New York, Electric System Revenue Bonds, Series 2012A, 5.000%, 9/01/37   9/22 at 100.00 A- $1,371,262
11,760   Niagara Area Development Corporation, New York, Solid Waste Disposal Facility Revenue Refunding Bonds, Covanta Energy Project, Series 2012A, 144A, 5.250%, 11/01/42 (Alternative Minimum Tax)   2/18 at 100.00 BB+ 11,767,762
3,300   Suffolk County Industrial Development Agency, New York, Revenue Bonds, Nissequogue Cogeneration Partners Facility, Series 1998, 5.500%, 1/01/23 (Alternative Minimum Tax)   1/18 at 100.00 N/R 3,301,254
3,785   Utility Debt Securitization Authority, New York, Restructuring Bonds, Refunding Series 2015, 5.000%, 12/15/32   12/25 at 100.00 AAA 4,542,719
    Utility Debt Securitization Authority, New York, Restructuring Bonds, Series 2013TE:        
3,800   5.000%, 12/15/33   12/23 at 100.00 AAA 4,407,126
1,060   5.000%, 12/15/34   12/23 at 100.00 AAA 1,222,869
8,030   5.000%, 12/15/41   12/23 at 100.00 AAA 9,195,635
1,515   Utility Debt Securitization Authority, New York, Restructuring Bonds, Series 2016A, 5.000%, 12/15/35   6/26 at 100.00 AAA 1,796,654
4,500   Utility Debt Securitization Authority, New York, Restructuring Bonds, Series 2017, 5.000%, 12/15/39   12/27 at 100.00 AAA 5,404,095
44,330   Total Utilities       48,695,112
    Water and Sewer – 10.4% (6.9% of Total Investments)        
4,000   Guam Government Waterworks Authority, Water and Wastewater System Revenue Bonds, Series 2010, 5.625%, 7/01/40   7/20 at 100.00 A- 4,378,560
4,140   New York City Municipal Water Finance Authority, New York, Water and Sewer System Revenue Bonds, Second Generation Resolution, Fiscal 2012 Series BB, 5.000%, 6/15/44   12/21 at 100.00 AA+ 4,601,651
5,000   New York City Municipal Water Finance Authority, New York, Water and Sewer System Second General Resolution Revenue Bonds, Fiscal 2014 Series DD, 5.000%, 6/15/35   6/24 at 100.00 AA+ 5,765,100
10,000   New York City Municipal Water Finance Authority, New York, Water and Sewer System Second General Resolution Revenue Bonds, Fiscal 2018 Series AA, 5.000%, 6/15/38   6/27 at 100.00 AA+ 11,746,700
9,750   New York State Environmental Facilities Corporation, State Clean Water and Drinking Water Revolving Funds Revenue Bonds, New York City Municipal Water Finance Authority Projects, Second Resolution Series 2011B, 5.000%, 6/15/41   6/21 at 100.00 AAA 10,731,728
2,000   New York State Environmental Facilities Corporation, State Clean Water and Drinking Water Revolving Funds Revenue Bonds, New York City Municipal Water Finance Authority Projects, Second Resolution Series 2017E, 5.000%, 6/15/42 (WI/DD, Settling 12/14/17)   6/27 at 100.00 AAA 2,339,420
1,000   New York State Environmental Facilities Corporation, State Clean Water and Drinking Water Revolving Funds Revenue Bonds, New York City Municipal Water Finance Authority Projects, Second Resolution Subordinated SRF Series, 5.000%, 6/15/40   6/25 at 100.00 AAA 1,155,040
1,940   New York State Environmental Facilities Corporation, State Clean Water and Drinking Water Revolving Funds Revenue Bonds, New York City Municipal Water Finance Authority Projects-Second Resolution Bonds, Series 2016A, 4.000%, 6/15/46   6/26 at 100.00 AAA 2,056,536
1,000   New York State Environmental Facilities Corporation, State Clean Water and Drinking Water Revolving Funds Revenue Bonds, New York City Municipal Water Finance Authority Projects-Second Resolution Bonds, Subordinated SRF, 5.000%, 6/15/46   6/27 at 100.00 AAA 1,174,670

Principal Amount (000)   Description (1)   Optional Call Provisions (2) Ratings (3) Value
    Water and Sewer (continued)        
$ 3,840   New York State Environmental Facilities Corporation, State Revolving Funds Revenue Bonds, 2010 Master Financing Program, Series 2010C, 5.000%, 10/15/35   4/20 at 100.00 AAA $ 4,114,752
42,670   Total Water and Sewer       48,064,157
$ 655,885   Total Long-Term Investments (cost $657,785,852)       695,739,068
    Floating Rate Obligations – (1.8)%       (8,475,000)
    Variable Rate MuniFund Term Preferred Shares, net of deferred offering costs – (31.7)% (8)       (147,000,000)
    Variable Rate Demand Preferred Shares, net of deferred offering costs – (19.0)% (9)       (87,989,125)
    Other Assets Less Liabilities – 2.5%       11,499,120
    Net Assets – 100%       $ 463,774,063
Fair Value Measurements
Fair value is defined as the price that would be received upon selling an investment or transferring a liability in an orderly transaction to an independent buyer in the principal or most advantageous market for the investment. A three-tier hierarchy is used to maximize the use of observable market data and minimize the use of unobservable inputs and to establish classification of fair value measurements for disclosure purposes. Observable inputs reflect the assumptions market participants would use in pricing the asset or liability. Observable inputs are based on market data obtained from sources independent of the reporting entity. Unobservable inputs reflect the reporting entity’s own assumptions about the assumptions market participants would use in pricing the asset or liability. Unobservable inputs are based on the best information available in the circumstances. The following is a summary of the three-tiered hierarchy of valuation input levels.
Level 1  –   Inputs are unadjusted and prices are determined using quoted prices in active markets for identical securities.
Level 2  –   Prices are determined using other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.).
Level 3  –   Prices are determined using significant unobservable inputs (including management’s assumptions in determining the fair value of investments).
The inputs or methodologies used for valuing securities are not an indication of the risks associated with investing in those securities. The following is a summary of the Fund’s fair value measurements as of the end of the reporting period:
  Level 1 Level 2 Level 3 Total
Long-Term Investments:        
Municipal Bonds $ — $695,739,068 $ — $695,739,068
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing taxable market discount, timing differences in recognizing certain gains and losses on investment transactions and the treatment of investments in inverse floating rate securities reflected as financing transactions, if any. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
The table below presents the cost and unrealized appreciation (depreciation) of the Fund's investment portfolio, as determined on a federal income tax basis, as of November 30, 2017.
Tax cost of investments $648,891,947
Gross unrealized:  
Appreciation $ 42,565,895
Depreciation (4,193,802)
Net unrealized appreciation (depreciation) of investments $ 38,372,093

(1) All percentages shown in the Portfolio of Investments are based on net assets applicable to common shares unless otherwise noted.  
(2) Optional Call Provisions: Dates (month and year) and prices of the earliest optional call or redemption. There may be other call provisions at varying prices at later dates. Certain mortgage-backed securities may be subject to periodic principal paydowns.  
(3) For financial reporting purposes, the ratings disclosed are the highest of Standard & Poor’s Group (“Standard & Poor’s”), Moody’s Investors Service, Inc. (“Moody’s”) or Fitch, Inc. (“Fitch”) rating. This treatment of split-rated securities may differ from that used for other purposes, such as for Fund investment policies. Ratings below BBB by Standard & Poor’s, Baa by Moody’s or BBB by Fitch are considered to be below investment grade. Holdings designated N/R are not rated by any of these national rating agencies.  
(4) Step-up coupon bond, a bond with a coupon that increases ("steps up"), usually at regular intervals, while the bond is outstanding. The rate shown is the coupon as of the end of the reporting period.  
(5) Investment, or portion of investment, has been pledged to collateralize the net payment obligations for investments in inverse floating rate transactions.  
(6) As of, or subsequent to, the end of the reporting period, this security is non-income producing. Non-income producing, in the case of a fixed-income security, generally denotes that the issuer has (1) defaulted on the payment of principal or interest, (2) is under the protection of the Federal Bankruptcy Court or (3) the Fund’s Adviser has concluded that the issue is not likely to meet its future interest payment obligations and has ceased accruing additional income on the Fund’s records.  
(7) Backed by an escrow or trust containing sufficient U.S. Government or U.S. Government agency securities, which ensure the timely payment of principal and interest. Certain bonds backed by U.S. Government or agency securities are not rated by national ratings agencies and are regarded as having an implied rating equal to the rating of the U.S. Government or agency.  
(8) Variable Rate MuniFund Term Preferred Shares, net of deferred offering costs as a percentage of Total Investments is 21.1%.  
(9) Variable Rate Demand Preferred Shares, net of deferred offering costs as a percentage of Total Investments is 12.6%.  
144A Investment is exempt from registration under Rule 144A of the Securities Act of 1933, as amended. These investments may only be resold in transactions exempt from registration, which are normally those transactions with qualified institutional buyers.  
ETM Escrowed to maturity.  
IF Inverse floating rate security issued by a tender option bond (“TOB”) trust, the interest rate on which varies inversely with the Securities Industry Financial Markets Association (SIFMA) short-term rate, which resets weekly, or a similar short-term rate, and is reduced by the expenses related to the TOB trust.  
UB Underlying bond of an inverse floating rate trust reflected as a financing transaction.  
WI/DD Investment, or portion of investment, purchased on a when-issued or delayed delivery basis.  

Item 2. Controls and Procedures.

 

  a. The registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)).

 

  b. There were no changes in the registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting.

Item 3. Exhibits.

File as exhibits as part of this Form a separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)), exactly as set forth below: See EX-99 CERT attached hereto.

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant)    Nuveen New York Quality Municipal Income Fund   
By (Signature and Title)    /s/ Gifford R. Zimmerman                                                       
   Gifford R. Zimmerman   
   Vice President and Secretary   

Date: January 29, 2018

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By (Signature and Title)    /s/ Cedric H. Antosiewicz                                                        
   Cedric H. Antosiewicz   
   Chief Administrative Officer (principal executive officer)   
Date: January 29, 2018      
By (Signature and Title)    /s/ Stephen D. Foy                                                                    
   Stephen D. Foy   
   Vice President and Controller (principal financial officer)   
Date: January 29, 2018