n-q.htm
As filed with the Securities and Exchange Commission on March 31, 2014


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

FORM N-Q

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF
REGISTERED MANAGEMENT INVESTMENT COMPANIES

Investment Company Act file number: 811-21168

NEUBERGER BERMAN INTERMEDIATE MUNICIPAL FUND INC.
(Exact Name of the Registrant as Specified in Charter)
c/o Neuberger Berman Management LLC
 605 Third Avenue, 2nd Floor
New York, New York 10158-0180
(Address of Principal Executive Offices – Zip Code)

Registrant's telephone number, including area code: (212) 476-8800

Robert Conti, Chief Executive Officer and President
Neuberger Berman Intermediate Municipal Fund Inc.
c/o Neuberger Berman Management LLC
605 Third Avenue, 2nd Floor
New York, New York 10158-0180

Arthur C. Delibert, Esq.
K&L Gates LLP
1601 K Street, N.W.
Washington, D.C. 20006-1600
(Names and addresses of agents for service)

Date of fiscal year end: October 31

Date of reporting period: January 31, 2014

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 (“1940 Act”) (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, 100 F Street, NE, 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.

 
JANUARY 31, 2014


Schedule of Investments Intermediate Municipal Fund Inc.
(Unaudited)
 
 
Principal Amount
       Security
 
Value
 
($000's omitted)
     
($000's omitted)z
 
         
Municipal Notes (163.0%)
     
Alabama (1.2%)
         
 
1,500
 
Courtland IDB Solid Waste Disp. Rev. (Champion Int'l Corp. Proj.), Ser. 1999, 6.00%, due 8/1/29
 
1,502
ß
 
1,900
 
Selma IDB Rev. (Int'l Paper Co. Proj.), Ser. 2011-A, 5.38%, due 12/1/35
 
1,916
ß
         
3,418
 
Arizona (8.5%)
         
 
5,000
 
Arizona Sch. Fac. Board Cert. of Participation, Ser. 2008, (Assured Guaranty Insured), 5.13%, due 9/1/21
 
5,509
 
 
2,265
 
Arizona Wtr. Infrastructure Fin. Au. Rev. (Wtr. Quality), Ser. 2008-A, 5.00%, due 10/1/22
 
2,571
 
 
5,870
 
Mohave Co. Ind. Dev. Au. Correctional Fac. Contract Rev. (Mohave Prison LLC Expansion Proj.), Ser. 2008, 7.50%, due 5/1/19
 
6,701
ß
 
1,500
 
Phoenix Ind. Dev. Au. Solid Waste Disp. Rev. (Vieste Spec. LLC), Ser. 2013-A, 4.38%, due 4/1/28
 
1,418
ß
 
400
 
Phoenix-Mesa Gateway Arpt. Au. Spec. Fac. Rev. (Mesa Proj.), Ser. 2012, 5.00%, due 7/1/24
 
423
 
 
1,450
 
Pima Co. Swr. Rev., Ser. 2012-A, 5.00%, due 7/1/27
 
1,610
 
 
1,840
 
Pinal Co. Cert. of Participation, Ser. 2004, 5.25%, due 12/1/18
 
1,895
 
 
1,155
 
Pinal Co. Cert. of Participation, Ser. 2004, 5.25%, due 12/1/22
 
1,199
 
 
2,325
 
Verrado Comm. Fac. Dist. Number 1 G.O., Ser. 2006, 5.05%, due 7/15/18
 
2,240
 
         
23,566
 
California (27.9%)
       
 
695
 
California HFA Rev. (Home Mtge.), Ser. 2007-E, 5.00%, due 2/1/42
 
715
 
 
1,755
 
California HFA Rev. (Home Mtge.), Ser. 2006-E, (FGIC Insured), 4.95%, due 8/1/26
 
1,747
 
 
2,250
 
California Hlth. Fac. Fin. Au. Rev. (Cedars-Sinai Med. Ctr.), Ser. 2009, 5.00%, due 8/15/39
 
2,281
ß
 
1,000
 
California Hlth. Facs. Fin. Au. Rev. (Children's Hosp. Los Angeles), Ser. 2012-A, 5.00%, due 11/15/26
 
1,047
ß
 
1,725
 
California Infrastructure & Econ. Dev. Bank St. Sch. Fund Rev. (King City Joint Union High Sch.), Ser. 2010, 5.13%, due 8/15/24
 
1,766
 
 
1,685
 
California St. G.O., Ser. 2007, (XLCA Insured), 4.50%, due 8/1/27
 
1,749
 
 
1,845
 
California St. G.O., Ser. 2005, 5.00%, due 3/1/19
 
1,932
 
 
5,000
 
California St. Poll. Ctrl. Fin. Au. Wtr. Furnishing Rev., Ser. 2012, 5.00%, due 7/1/27
 
4,923
ñß
 
1,500
 
California St. Pub. Works Board Lease Rev. (Dept. of Gen. Svcs. Cap East End), Ser. 2002-A, (AMBAC Insured), 5.25%, due 12/1/17
 
1,506
 
 
4,000
 
California St. Var. Purp. G.O., Ser. 2009, 5.63%, due 4/1/25
 
4,589
 
 
940
 
California Statewide CDA Rev. (California Baptist Univ. Proj.), Ser. 2007-A, 5.30%, due 11/1/18
 
1,011
ß
 
2,000
 
Emery Unified Sch. Dist. G.O. (Election 2010), Ser. 2011-A, 6.50%, due 8/1/33
 
2,315
 
 
2,000
 
Imperial Comm. College Dist. G.O. Cap. Appreciation (Election 2010), Ser. 2011-A, (AGM Insured), 0.00%, due 8/1/40
 
2,027
h
 
1,000
 
Inglewood Pub. Fin. Au. Ref. Rev. (Lease), Ser. 2012, 5.00%, due 8/1/16
 
1,073
 
 
1,950
 
Inglewood Pub. Fin. Au. Ref. Rev. (Lease), Ser. 2012, 5.00%, due 8/1/17
 
2,125
 
 
1,115
 
Inglewood Pub. Fin. Au. Ref. Rev. (Lease), Ser. 2012, 5.00%, due 8/1/18
 
1,220
 
 
3,620
 
Norwalk-La Mirada Unified Sch. Dist. G.O. Cap. Appreciation, Ser. 2005-B, (AGM Insured), 0.00%, due 8/1/24
 
2,329
 
 
5,750
 
Norwalk-La Mirada Unified Sch. Dist. G.O. Cap. Appreciation (Election 2002), Ser. 2009-E, (Assured Guaranty Insured), 0.00%, due 8/1/29
 
4,136
d
 
5,000
 
Redondo Beach Unified Sch. Dist. G.O., Ser. 2009, 0.00%, due 8/1/34
 
4,828
e
 
2,060
 
Rocklin Unified Sch. Dist. G.O. Cap. Appreciation, Ser. 1994-B, (National Public Finance Guarantee Corp. Insured), 0.00%, due 8/1/19
 
1,811
 
 
4,000
 
Sacramento City Fin. Au. Ref. Rev. (Master Lease Prog. Facs.), Ser. 2006-E, (AMBAC Insured), 5.25%, due 12/1/26
 
4,459
 
 
2,000
 
San Bernardino Comm. College Dist. G.O. Cap. Appreciation (Election), Ser. 2009-B, 0.00%, due 8/1/34
 
1,647
f
 
740
 
San Diego Redev. Agcy. Sub. Parking Rev. (Centre City Redev. Proj.), Ser. 2003-B, 5.00%, due 9/1/17
 
742
 
 
2,000
 
San Francisco City & Co. Arpt. Commission Int'l Arpt. Ref. Rev., Ser. 2009-C2, 5.00%, due 5/1/25
 
2,250
 
 
6,000
 
San Mateo Foster City Sch. Dist. G.O. Cap. Appreciation (Election 2008), Ser. 2010-A, 0.00%, due 8/1/32
 
3,618
g
 
1,540
 
Successor Agcy. to the Monrovia Redev. Agcy. Tax Allocation Rev. (Cent. Redev. Proj.), Ser. 2013, 5.00%, due 8/1/26
 
1,563
 
 
2,040
 
Sweetwater Union High Sch. Dist. Pub. Fin. Au. Rev., Ser. 2013, (BAM Insured), 5.00%, due 9/1/25
 
2,240
 
 
3,000
 
Vernon Elec. Sys. Rev., Ser. 2009-A, 5.13%, due 8/1/21
 
3,292
 
 
9,070
 
Victor Valley Comm. College Dist. G.O. Cap. Appreciation (Election 2008), Ser. 2009-C, 0.00%, due 8/1/37
 
7,582
i
 
5,095
 
Victor Valley Joint Union High Sch. Dist. G.O. Cap. Appreciation Bonds, Ser. 2009, (Assured Guaranty Insured), 0.00%, due 8/1/26
 
2,891
 
 
3,000
 
Wiseburn Sch. Dist. G.O. Cap. Appreciation (Election 2010), Ser. 2011-B, (AGM Insured), 0.00%, due 8/1/36
 
1,664
j
         
77,078
 
Colorado (2.9%)
       
             
 
5,000
 
Denver City & Co. Arpt. Sys. Rev., Ser. 2011-B, 5.00%, due 11/15/24
 
5,475
 
 
2,550
 
Plaza Metro. Dist. Number 1 Tax Allocation Rev., Ser. 2013, 4.00%, due 12/1/23
 
2,424
 
         
7,899
 
Connecticut (0.5%)
       
 
650
 
Hamden G.O., Ser. 2013, (AGM Insured), 3.00%, due 8/15/24
 
600
 
 
750
 
Hamden G.O., Ser. 2013, (AGM Insured), 3.13%, due 8/15/25
 
687
 
         
1,287
 
District of Columbia (2.9%)
     
 
1,615
 
Dist. of Columbia HFA Rev. (Capitol Hill Towers Proj.), Ser. 2011, (Fannie Mae Insured), 4.10%, due 12/1/26
 
1,687
ß
 
3,035
 
Dist. of Columbia Rev. (Friendship Pub. Charter Sch.), Ser. 2012, 3.55%, due 6/1/22
 
2,813
ß
 
1,000
 
Metro. Washington Dist. of Columbia Arpt. Au. Sys. Rev., Ser. 2008-A, 5.50%, due 10/1/18
 
1,163
 
 
2,000
 
Metro. Washington Dist. of Columbia Arpt. Au. Sys. Rev., Ser. 2011-C, 5.00%, due 10/1/26
 
2,196
 
         
7,859
 
Florida (5.3%)
         
 
1,000
 
Cityplace Comm. Dev. Dist. Spec. Assessment Rev. Ref., Ser. 2012, 5.00%, due 5/1/26
 
1,083
 
 
1,000
 
Collier Co. Ind. Dev. Au. Continuing Care Comm. Rev. (Arlington of Naples Proj.), Ser. 2014-B-1, 6.88%, due 5/15/21
 
1,003
 
1,000
 
Florida Dev. Fin. Corp. Ed. Facs. Rev. (Renaissance Charter Sch., Inc.), Ser. 2012-A, 5.50%, due 6/15/22
 
937
ß
 
3,120
 
Florida Dev. Fin. Corp. Ed. Facs. Rev. (Renaissance Charter Sch., Inc.), Ser. 2013-A, 6.75%, due 12/15/27
 
3,185
ß
 
1,795
 
Florida St. Muni. Loan Council Rev., Ser. 2012, (AGM Insured), 5.00%, due 5/1/21
 
2,041
 
 
1,000
 
Hillsborough Co. Ind. Dev. Au. IDR (Hlth. Facs.), Ser. 2008-B, 8.00%, due 8/15/32 Pre-Refunded 8/15/19
 
1,353
ß
 
1,135
 
Lakeland Ed. Facs. Rev. Ref. (Florida So. College Proj.), Ser. 2012-A, 5.00%, due 9/1/27
 
1,159
ß
 
2,000
 
Lee Co. Arpt. Ref. Rev., Ser. 2011-A, 5.63%, due 10/1/25
 
2,218
 
 
2,000
 
Martin Co. Ind. Dev. Au. Ref. Rev. (Indiantown Cogeneration Proj.), Ser. 2013, 4.20%, due 12/15/25
 
1,772
ß
         
14,751
 
Guam (2.7%)
         
 
1,220
 
Guam Gov't Hotel Occupancy Tax Rev., Ser. 2011-A, 5.75%, due 11/1/20
 
1,339
 
 
650
 
Guam Gov't Hotel Occupancy Tax Rev., Ser. 2011-A, 5.75%, due 11/1/21
 
708
 
 
2,550
 
Guam Gov't Waterworks Au. Wtr. & Wastewater Sys. Rev., Ser. 2005, 6.00%, due 7/1/25
 
2,592
 
 
2,630
 
Guam Gov't Waterworks Au. Wtr. & Wastewater Sys. Rev., Ser. 2010, 5.25%, due 7/1/25
 
2,713
 
         
7,352
 
Hawaii (2.7%)
         
 
5,200
 
Hawaii St. Arpt. Sys. Ref. Rev., Ser. 2011, 4.13%, due 7/1/24
 
5,369
 
 
2,000
 
Hawaii St. Dept. of Budget & Fin. Spec. Purp. Rev. (Hawaii Elec. Co., Inc. -Subsidiary), Ser. 2009, 6.50%, due 7/1/39
 
2,199
ß
         
7,568
 
Illinois (17.8%)
         
 
2,680
 
Bartlett Sr. Lien Tax Increment Ref. Rev. (Quarry Redev. Proj.), Ser. 2007, 5.35%, due 1/1/17
 
2,714
 
 
5,705
 
Berwyn G.O., Ser. 2013-A, 5.00%, due 12/1/27
 
5,906
 
 
180
 
Chicago G.O. (Unrefunded Bal.), Ser. 2002-A, (AMBAC Insured), 5.38%, due 1/1/17
 
181
 
 
1,350
 
Cook Co. Sch. Dist. Number 83 G.O. (Mannheim), Ser. 2013-C, 5.45%, due 12/1/30
 
1,434
 
 
1,960
 
Cook Co. Sch. Dist. Number 83 G.O. (Mannheim), Ser. 2013-C, 5.50%, due 12/1/31
 
2,076
 
 
1,970
 
Cook Co. Township High Sch. Dist. Number 225 Northfield Township, Ser. 2008, 5.00%, due 12/1/25
 
2,163
 
 
1,875
 
Illinois Fin. Au. Ref. Rev. (Roosevelt Univ. Proj.), Ser. 2009, 5.00%, due 4/1/16
 
1,953
ß
 
4,000
 
Illinois Fin. Au. Ref. Rev. (Roosevelt Univ. Proj.), Ser. 2009, 5.75%, due 4/1/24
 
4,152
ß
 
1,960
 
Illinois Fin. Au. Rev. (Navistar Int'l Rec. Zone Fac.), Ser. 2010, 6.50%, due 10/15/40
 
1,907
ß
 
5,840
 
Illinois Fin. Au. Rev. (Provena Hlth.), Ser. 2010-A, 6.25%, due 5/1/22
 
6,617
ß
 
3,000
 
Illinois Hlth. Fac. Au. Rev. (Loyola Univ. Hlth. Sys.) (Unrefunded Bal.), Ser. 1997-A, (National Public Finance Guarantee Corp. Insured), 6.00%, due 7/1/14
 
3,070
ß
 
1,670
 
Illinois Metro. Pier & Exposition Au. Dedicated St. Tax Ref. Rev., Ser. 1998-A, (FGIC Insured), 5.50%, due 6/15/17
 
1,930
 
 
1,905
 
Illinois Sports Facs. Au. Cap. Appreciation Rev. (St. Tax Supported), Ser. 2001, (AMBAC Insured), 0.00%, due 6/15/26
 
1,071
 
 
3,900
 
Illinois St. G.O., Ser. 2012, 4.00%, due 8/1/25
 
3,805
 
 
2,025
 
Pingree Grove Village Rev. (Cambridge Lakes Learning Ctr. Proj.), Ser. 2011, 8.00%, due 6/1/26
 
2,161
ß
 
2,725
 
Univ. of Illinois (Hlth. Svc. Facs. Sys.), Ser. 2013, 5.00%, due 10/1/27
 
2,811
 
 
2,875
 
Univ. of Illinois (Hlth. Svc. Facs. Sys.), Ser. 2013, 5.75%, due 10/1/28
 
3,119
 
 
1,850
 
Will Co. High Sch. Dist. Number 204 G.O. (Joliet Jr. College), Ser. 2011-A, 6.25%, due 1/1/31
 
2,148
 
         
49,218
 
Indiana (5.6%)
         
 
4,000
 
Indiana Bond Bank Rev. (Spec. Prog. Clark Mem. Hosp.), Ser. 2009-D, 5.50%, due 8/1/29
 
4,267
ß
 
500
 
Indiana Fin. Au. Midwestern Disaster Relief Rev. (Ohio Valley Elec. Corp. Proj.), Ser. 2012-A, 5.00%, due 6/1/32
 
488
ß
 
4,000
 
Indiana Hlth. & Ed. Fac. Fin. Au. Hosp. Ref. Rev. (Clarian Hlth. Oblig. Group), Ser. 2006-B, 5.00%, due 2/15/21
 
4,311
ß
 
3,055
 
Indiana Trans. Fin. Au. Hwy. Ref. Rev., Ser. 2004-B, (National Public Finance Guarantee Corp. Insured), 5.75%, due 12/1/21
 
3,801
 
 
1,640
 
Jasper Hosp. Au. Hosp. Fac. Ref. Rev. (Mem. Hosp. & Hlth. Care Ctr. Proj.), Ser. 2002, (Radian Insured), 5.50%, due 11/1/17
 
1,640
ß
 
1,000
 
Valparaiso Exempt Facs. Rev. (Pratt Paper LLC Proj.), Ser. 2013, 5.88%, due 1/1/24
 
1,038
ß
         
15,545
 
Iowa (5.7%)
         
 
1,000
 
Coralville Urban Renewal Rev., Tax Increment, Ser. 2007-C, 5.00%, due 6/1/15
 
1,001
 
 
5,110
 
Iowa Fin. Au. Rev. (St. Revolving Fund Prog.), Ser. 2008, 5.50%, due 8/1/22
 
5,905
 
 
4,000
 
Iowa Higher Ed. Loan Au. Rev. (William Penn Univ.), Ser. 2013-D, 6.00%, due 5/15/14
 
4,016
ß
 
2,850
 
Iowa Std. Loan Liquidity Corp. Rev., Ser. 2011-A1, 5.00%, due 12/1/21
 
2,935
 
 
825
 
Iowa Std. Loan Liquidity Corp. Rev., Ser. 2011-A-1, 5.30%, due 12/1/23
 
841
 
 
1,005
 
Kirkwood Comm. College Iowa New Jobs Training Cert. G.O. (Merged Area X), Ser. 2007-1B, 5.00%, due 6/1/17
 
1,062
 
         
15,760
 
Kansas (0.2%)
         
 
500
 
Kansas Independent College Fin. Au. Rev. (Bethel College), Ser. 2013-A, 4.50%, due 5/1/14
 
500
ß
           
Kentucky (0.0%)
         
 
10
 
Shelby Co. Lease Rev., Ser. 2004-A, (LOC: U.S. Bank), 0.05%, due 9/1/34
 
10
µ
         
Louisiana (1.5%)
       
 
1,500
 
Louisiana Local Gov't Env. Fac. & Comm. (Westlake Chemical Corp.), Ser. 2010-A2, 6.50%, due 11/1/35
 
1,637
ß
 
775
 
Louisiana Pub. Facs. Au. Rev. (Southwest Louisiana Charter Academy Foundation Proj.), Ser. 2013-A, 7.63%, due 12/15/28
 
789
 
 
1,655
 
St. Charles Parish Gulf Zone Opportunity Rev. (Valero Energy Corp.), Ser. 2010, 4.00%, due 12/1/40 Putable 6/1/22
 
1,669
µß
         
4,095
 
Maine (0.9%)
       
 
2,400
 
Maine St. Fin. Au. Solid Waste Disp. Rev. (Casella Waste Sys., Inc.), Ser. 2005, 6.25%, due 1/1/25 Putable 2/1/17
 
2,439
µß
         
Maryland (0.9%)
       
 
2,400
 
Prince Georges Co. Hsg. Au. Multi-Family Rev. (Bristol Pines Apts. Proj.), Ser. 2005, (Fannie Mae Insured), 4.85%, due 12/15/38 Putable 12/15/23
 
2,476
µß
       
Massachusetts (8.7%)
     
 
200
 
Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.), Ser. 2014-F, 5.00%, due 7/15/24
 
205
ß
 
415
 
Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.), Ser. 2014-F, 5.00%, due 7/15/25
 
420
ß
 
200
 
Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.), Ser. 2014-F, 5.00%, due 7/15/26
 
200
ß
 
190
 
Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.), Ser. 2014-F, 5.00%, due 7/15/27
 
188
ß
 
150
 
Massachusetts St. Dev. Fin. Agcy. Rev. (Milford Reg. Med. Ctr.), Ser. 2014-F, 5.00%, due 7/15/28
 
146
ß
 
3,395
 
Massachusetts St. Ed. Fin. Au. Rev., Ser. 2011-J, 5.00%, due 7/1/23
 
3,546
 
 
4,770
 
Massachusetts St. Ed. Fin. Au. Rev., Ser. 2012-J, 4.70%, due 7/1/26
 
4,805
 
 
5,000
 
Massachusetts St. Ed. Fin. Au. Rev., Ser. 2013-K, 4.50%, due 7/1/24
 
5,035
 
 
5,000
 
Massachusetts St. HFA Hsg. Rev., Ser. 2010-C, 4.90%, due 12/1/25
 
5,142
 
 
4,030
 
Massachusetts St. Wtr. Poll. Abatement Trust Rev. (MWRA Prog.), Ser. 2002-A, 5.25%, due 8/1/19
 
4,045
 
 
140
 
Massachusetts St. Wtr. Poll. Abatement Trust Rev. (Unrefunded Bal. Rev. Pool Prog.), Ser. 2001-7, 5.25%, due 2/1/16
 
141
 
         
23,873
 
Michigan (0.8%)
         
 
2,000
 
Summit Academy North Pub. Sch. Academy Ref. Rev., Ser. 2005, 5.25%, due 11/1/20
 
1,970
 
 
295
 
Summit Academy Pub. Sch. Academy Ref. Rev., Ser. 2005, 6.00%, due 11/1/15
 
300
 
         
2,270
 
Minnesota (2.6%)
       
 
2,000
 
Maple Grove Hlth. Care Sys. Rev. (Maple Grove Hosp. Corp.), Ser. 2007, 5.00%, due 5/1/17
 
2,138
ß
 
2,250
 
Minneapolis & St. Paul Hsg. & Redev. Au. Hlth. Care Sys. (Children's Hlth. Care Facs.), Ser. 2010-A1, (AGM Insured), 4.50%, due 8/15/24
 
2,420
ß
 
2,500
 
Wayzata Sr. Hsg. Enhanced Deposit Rev. (Folkestone Sr. Living Comm.), Ser. 2012-B, 4.88%, due 5/1/19
 
2,517
ß
         
7,075
 
Mississippi (1.7%)
       
 
4,000
 
Mississippi Bus. Fin. Corp. Gulf Opportunity Zone Rev., Ser. 2009-A, 4.70%, due 5/1/24
 
4,246
ß
 
500
 
Mississippi Dev. Bank Spec. Oblig. (Wilkinson Co. Correctional), Ser. 2008-D, 5.00%, due 8/1/15
 
535
ß
         
4,781
 
Missouri (2.2%)
       
 
390
 
Missouri St. Env. Imp. & Energy Res. Au. Wtr. PCR (Unrefunded Bal. Drinking Wtr.), Ser. 2002-B, 5.50%, due 7/1/16
 
391
 
 
2,275
 
Missouri St. Hlth. & Ed. Facs. Au. Rev. (Children's Mercy Hosp.), Ser. 2009, 5.13%, due 5/15/24
 
2,426
ß
 
2,965
 
Missouri St. Univ. Auxiliary Enterprise Sys. Rev., Ser. 2007-A, (XLCA Insured), 5.00%, due 4/1/26
 
3,232
 
         
6,049
 
Nevada (2.0%)
       
 
1,635
 
Las Vegas Redev. Agcy. Tax Increment Rev., Ser. 2009-A, 6.50%, due 6/15/17
 
1,733
 
 
3,545
 
Las Vegas Redev. Agcy. Tax Increment Rev., Ser. 2009-A, 7.50%, due 6/15/23
 
3,844
 
         
5,577
 
New Hampshire (1.0%)
     
 
2,600
 
New Hampshire Hlth. & Ed. Facs. Au. Rev. (Dartmouth-Hitchcock Clinic), Ser. 2009, 5.00%, due 8/1/19
 
2,646
ß
         
New Jersey (5.6%)
       
 
300
 
JP Morgan Chase Putters/Drivers Trust Var. Sts., Ser. 2013, (LOC: JP Morgan Chase), 0.29%, due 7/1/14
 
300
ñµ
 
2,500
 
New Jersey Econ. Dev. Au. Rev. (Continental Airlines, Inc., Proj.), Ser. 1999, 5.13%, due 9/15/23
 
2,430
ß
 
500
 
New Jersey Econ. Dev. Au. Rev. (The Goethals Bridge Replacement Proj.), Ser. 2013, 5.25%, due 1/1/25
 
548
ß
 
500
 
New Jersey Econ. Dev. Au. Rev. (The Goethals Bridge Replacement Proj.), Ser. 2013, 5.50%, due 1/1/26
 
554
ß
 
1,420
 
New Jersey Econ. Dev. Au. Rev. (United Methodist Homes of New Jersey Obligated Group), Ser. 2013, 3.50%, due 7/1/24
 
1,311
ß
 
1,470
 
New Jersey Econ. Dev. Au. Rev. (United Methodist Homes of New Jersey Obligated Group), Ser. 2013, 3.63%, due 7/1/25
 
1,346
ß
 
1,520
 
New Jersey Econ. Dev. Au. Rev. (United Methodist Homes of New Jersey Obligated Group), Ser. 2013, 3.75%, due 7/1/26
 
1,388
ß
 
765
 
New Jersey Econ. Dev. Au. Rev. (United Methodist Homes of New Jersey Obligated Group), Ser. 2013, 4.00%, due 7/1/27
 
703
ß
 
7,000
 
New Jersey Higher Ed. Assist. Au. Rev. (Std. Loan Rev.), Ser. 2012-1A, 4.38%, due 12/1/26
 
6,922
 
         
15,502
 
New York (9.7%)
       
 
1,320
 
Build NYC Res. Corp. Rev. (Int'l Leadership Charter Sch. Proj.), Ser. 2013, 5.00%, due 7/1/23
 
1,262
ß
 
500
 
Build NYC Res. Corp. Rev. (South Bronx Charter Sch. for Int'l Cultures and the Arts), Ser. 2013-A, 3.88%, due 4/15/23
 
417
ß
 
1,450
 
Build NYC Res. Corp. Rev. (South Bronx Charter Sch. for Int'l Cultures and the Arts), Ser. 2013-A, 5.00%, due 4/15/43
 
1,037
ß
 
165
 
Lyons Comm. Hlth. Initiatives Corp. Fac. Rev., Ser. 2004, 5.50%, due 9/1/14
 
165
 
 
1,100
 
New York Liberty Dev. Corp. Rev. (Nat'l Sports Museum Proj.), Ser. 2006-A, 6.13%, due 2/15/19
 
0
#‡
 
4,000
 
New York St. Dorm. Au. Rev. Non St. Supported Debt (Mount Sinai Sch. of Medicine), Ser. 2009, 5.25%, due 7/1/33
 
4,173
ß
 
3,200
 
New York St. Dorm. Au. Rev. Non St. Supported Debt (Univ. Facs.), Ser. 2013-A, 5.00%, due 7/1/28
 
3,536
 
 
2,000
 
New York St. HFA Rev. (Affordable Hsg.), Ser. 2009-B, 4.85%, due 11/1/41
 
2,014
 
 
2,000
 
New York St. Urban Dev. Corp. Rev., Ser. 2008-D, 5.25%, due 1/1/20
 
2,311
 
 
710
 
Newburgh G.O., Ser. 2012-A, 5.00%, due 6/15/20
 
764
 
 
495
 
Newburgh G.O. (Deficit Liquidation), Ser. 2012-B, 5.00%, due 6/15/20
 
533
 
 
520
 
Newburgh G.O. (Deficit Liquidation), Ser. 2012-B, 5.00%, due 6/15/21
 
557
 
 
550
 
Newburgh G.O. (Deficit Liquidation), Ser. 2012-B, 5.00%, due 6/15/22
 
583
 
 
1,435
 
Niagara Area Dev. Corp. Rev. (Niagara Univ. Proj.), Ser. 2012-A, 5.00%, due 5/1/23
 
1,553
ß
 
1,000
 
Niagara Area Dev. Corp. Solid Waste Disp. Fac. Rev. (Covanta Energy Proj.), Ser. 2012-B, 4.00%, due 11/1/24
 
945
ß
 
1,155
 
Suffolk Co. Judicial Facs. Agcy. Lease Rev. (H. Lee Dennison Bldg.), Ser. 2013, 4.25%, due 11/1/26
 
1,147
 
 
5,000
 
Utility Debt Securitization Au. Rev., Ser. 2013-TE, 5.00%, due 12/15/28
 
5,747
 
         
26,744
 
North Carolina (3.8%)
     
 
1,835
 
North Carolina Med. Care Commission Hlth. Care Facs. Rev. (Lutheran Svc. For Aging, Inc.), Ser. 2012-A, 4.25%, due 3/1/24
 
1,728
ß
 
2,000
 
North Carolina Med. Care Commission Retirement Facs. Rev., Ser. 2013, 5.13%, due 7/1/23
 
2,023
ß
 
5,250
 
North Carolina Muni. Pwr. Agcy. Number 1 Catawba Elec. Rev., Ser. 2009-A, 5.00%, due 1/1/26
 
5,686
 
 
1,000
 
Oak Island Enterprise Sys. Rev., Ser. 2009, (Assured Guaranty Insured), 5.63%, due 6/1/24
 
1,125
 
         
10,562
 
Ohio (0.8%)
         
 
2,060
 
Cleveland Arpt. Sys. Rev. Ref., Ser. 2012-A, 5.00%, due 1/1/27
 
2,167
 
           
Oregon (0.2%)
         
 
500
 
Oregon St. Hsg. & Comm. Svc. Dept. Multi-Family Rev., Ser. 2012-B, (FHA Insured), 3.50%, due 7/1/27
 
465
 
       
Pennsylvania (5.4%)
     
 
500
 
Indiana Co. Ind. Dev. Au. Rev. (Std. Cooperative Assoc., Inc.), Ser. 2012, 3.50%, due 5/1/25
 
469
ß
 
350
 
Indiana Co. Ind. Dev. Au. Rev. (Std. Cooperative Assoc., Inc.), Ser. 2012, 3.60%, due 5/1/26
 
326
ß
 
2,000
 
Lancaster Co. Hosp. Au. Rev. (Brethren Village Proj.), Ser. 2008-A, 6.10%, due 7/1/22
 
2,070
ß
 
1,250
 
Lancaster Ind. Dev. Au. Rev. (Garden Spot Village Proj.), Ser. 2013, 5.38%, due 5/1/28
 
1,268
ß
 
3,430
 
Norristown Area Sch. Dist. Cert. of Participation (Installment Purchase), Ser. 2012, 4.50%, due 4/1/27
 
3,393
 
 
2,625
 
Pennsylvania Econ. Dev. Fin. Au. Exempt Facs. Rev. Ref. (Amtrak Proj.), Ser. 2012-A, 5.00%, due 11/1/24
 
2,845
ß
 
1,000
 
Pennsylvania St. Turnpike Commission Turnpike Rev. (Cap. Appreciation), Subser. 2010-B2, 0.00%, due 12/1/34
 
965
b
 
275
 
Philadelphia Au. For Ind. Dev. Rev. (Discovery Charter Sch. Proj.), Ser. 2012, 4.00%, due 4/1/17
 
270
ß
 
895
 
Philadelphia Au. For Ind. Dev. Rev. (Discovery Charter Sch. Proj.), Ser. 2012, 5.00%, due 4/1/22
 
874
ß
 
415
 
Philadelphia Au. For Ind. Dev. Rev. (Discovery Charter Sch. Proj.), Ser. 2012, 5.50%, due 4/1/27
 
398
ß
 
2,000
 
Susquehanna Area Reg. Arpt. Au. Sys. Rev., Ser. 2012-A, 5.00%, due 1/1/27
 
2,043
 
             
14,921
 
Puerto Rico (2.5%)
     
 
7,000
 
Puerto Rico Commonwealth G.O. Ref. (Pub. Imp.), Ser. 2012-A, 5.50%, due 7/1/26
 
5,019
 
 
2,020
 
Puerto Rico Commonwealth Ref. G.O. (Pub. Imp.), Ser. 2001-A, (National Public Finance Guarantee Corp. Insured), 5.50%, due 7/1/20
 
1,918
 
         
6,937
 
Rhode Island (1.9%)
     
 
1,000
 
Rhode Island St. Hlth. & Ed. Bldg. Corp. Rev. (Hosp. Fin. - Care New England Hlth. Sys.), Ser. 2013-A, 5.00%, due 9/1/23
 
1,027
ß
 
2,650
 
Rhode Island St. Std. Loan Au. Std. Loan Rev. (Sr. Prog.), Ser. 2013-A, 3.75%, due 12/1/26
 
2,342
 
 
2,135
 
Rhode Island St. Std. Loan Au. Std. Loan Rev. (Sr. Prog.), Ser. 2013-A, 3.75%, due 12/1/27
 
1,856
 
         
5,225
 
Tennessee (2.0%)
       
 
2,705
 
Memphis-Shelby Co. Arpt. Au. Arpt. Rev., Ser. 2010-B, 5.50%, due 7/1/19
 
3,171
 
 
2,000
 
Tennessee St. Energy Acquisition Corp. Gas Rev. (Goldman Sachs Group, Inc.), Ser. 2006-A, 5.25%, due 9/1/23
 
2,227
 
         
5,398
 
Texas (11.0%)
       
 
1,050
 
Clifton Higher Ed. Fin. Corp. Rev. (Uplift Ed.), Ser. 2013-A, 3.10%, due 12/1/22
 
967
ß
 
1,935
 
Dallas-Fort Worth Int'l Arpt. Imp. Rev., Ser. 2004-B, (AGM Insured), 5.50%, due 11/1/18
 
1,999
 
 
2,000
 
Fort Bend Co. Ind. Dev. Corp. Rev. (NRG Energy, Inc.), Ser. 2012-B, 4.75%, due 11/1/42
 
1,787
ß
 
500
 
Gulf Coast Ind. Dev. Au. Rev. (CITGO Petroleum Proj.), Ser. 1995, 4.88%, due 5/1/25
 
483
ß
 
1,000
 
Harris Co. Cultural Ed. Facs. Fin. Corp. Rev. (Brazos Presbyterian Homes, Inc. Proj.), Ser. 2013-B, 5.75%, due 1/1/28
 
1,012
ß
 
2,300
 
Harris Co. Perm. Imp. Ref. G.O., Ser. 2008-B, 5.00%, due 10/1/19 Pre-Refunded 10/1/18
 
2,715
 
 
2,900
 
Harris Co. Toll Road Sr. Lien Rev., Ser. 2008-B, 5.00%, due 8/15/33
 
3,057
 
 
610
 
HFDC Ctr. Texas, Inc. Retirement Fac. Rev., Ser. 2006-A, 5.25%, due 11/1/15
 
621
ß
 
590
 
Houston Higher Ed. Fin. Corp. Rev. (Cosmos Foundation), Ser. 2012-A, 4.00%, due 2/15/22
 
580
ß
 
1,000
 
Houston Higher Ed. Fin. Corp. Rev. (Cosmos Foundation), Ser. 2012-A, 5.00%, due 2/15/32
 
970
ß
 
1,000
 
Houston Pub. Imp. Ref. G.O., Ser. 2008-A, 5.00%, due 3/1/20
 
1,147
 
 
3,000
 
North Texas Tollway Au. Dallas North Tollway Sys. Rev., Ser. 2005-C, 6.00%, due 1/1/23
 
3,512
 
 
3,700
 
Port of Port Arthur Navigation Dist. Rev. (Motiva Enterprises  Proj.), Ser. 2009-B, 0.41%, due 12/1/39
 
3,700
µß
 
4,400
 
Port of Port Arthur Navigation Dist. Rev. (Motiva Enterprises  Proj.), Ser. 2010-B, 0.42%, due 4/1/40
 
4,400
µß
 
500
 
San Leanna Ed. Fac. Corp. Higher Ed. Ref. Rev., (St. Edwards Univ. Proj.), Ser. 2007, 5.00%, due 6/1/19
 
529
ß
 
1,500
 
Texas Pub. Fin. Au. Rev. (So. Univ. Fin. Sys.), Ser. 2013, (BAM Insured), 5.00%, due 11/1/21
 
1,631
 
 
1,175
 
West Harris Co. Reg. Wtr. Au. Sys. Wtr. Rev., Ser. 2009, 5.00%, due 12/15/35
 
1,257
 
         
30,367
 
Utah (2.1%)
       
 
3,000
 
Salt Lake Co. Hosp. Rev. (IHC Hlth. Svc., Inc.), Ser. 2001, (AMBAC Insured), 5.40%, due 2/15/28
 
3,410
ß
 
1,200
 
Uintah Co. Muni. Bldg. Au. Lease Rev., Ser. 2008, 5.25%, due 6/1/20
 
1,332
 
 
330
 
Utah Hsg. Corp. Single Family Mtge. Rev., Ser. 2011-A2, Class I, 5.00%, due 7/1/20
 
351
 
 
300
 
Utah Hsg. Corp. Single Family Mtge. Rev., Ser. 2011-A2, Class I, 5.25%, due 7/1/21
 
319
 
 
425
 
Utah Hsg. Corp. Single Family Mtge. Rev., Ser. 2011-A2, Class I, 5.45%, due 7/1/22
 
452
 
         
5,864
 
Vermont (1.9%)
       
 
1,600
 
Vermont Std. Assist. Corp. Ed. Loan Rev., Ser. 2012-A, 5.00%, due 6/15/21
 
1,700
 
 
465
 
Vermont Std. Assist. Corp. Ed. Loan Rev., Ser. 2013-A, 4.25%, due 6/15/24
 
455
 
 
1,105
 
Vermont Std. Assist. Corp. Ed. Loan Rev., Ser. 2013-A, 4.35%, due 6/15/25
 
1,065
 
 
1,640
 
Vermont Std. Assist. Corp. Ed. Loan Rev., Ser. 2013-A, 4.45%, due 6/15/26
 
1,567
 
 
535
 
Vermont Std. Assist. Corp. Ed. Loan Rev., Ser. 2013-A, 4.55%, due 6/15/27
 
510
 
         
5,297
 
Virginia (0.7%)
       
 
1,000
 
Fairfax Co. Econ. Dev. Au. Residential Care Fac. Rev. (Vinson Hall LLC), Ser. 2013-A, 4.00%, due 12/1/22
 
942
ß
 
1,000
 
Virginia Beach Dev. Au. Residential Care Fac. Mtge. Ref. Rev. (Westminster-Canterbury of Hampton Roads, Inc.), Ser. 2005, 5.00%, due 11/1/22
 
1,011
ß
         
1,953
 
Washington (3.9%)
       
 
1,600
 
Skagit Co. Pub. Hosp. Dist. Number 1 Ref. Rev., Ser. 2007, 5.63%, due 12/1/25
 
1,651
 
 
6,700
 
Vancouver Downtown Redev. Au. Rev. (Conference Ctr. Proj.), Ser. 2013, 4.00%, due 1/1/28
 
6,546
 
 
2,525
 
Washington St. Higher Ed. Fac. Au. Ref. Rev. (Whitworth Univ. Proj.), Ser. 2009, 5.38%, due 10/1/29
 
2,570
ß
         
10,767
 
West Virginia (0.4%)
     
 
1,000
 
West Virginia Sch. Bldg. Au. Excess Lottery Rev., Ser. 2008, 5.00%, due 7/1/19
 
1,146
 
         
Wisconsin (4.3%)
       
 
1,100
 
Wisconsin St. Hlth. & Ed. Fac. Au. Rev. (Beloit College), Ser. 2010-A, 6.13%, due 6/1/35
 
1,165
ß
 
1,225
 
Wisconsin St. Hlth. & Ed. Fac. Au. Rev. (Beloit College), Ser. 2010-A, 6.13%, due 6/1/39
 
1,294
ß
 
1,000
 
Wisconsin St. Hlth. & Ed. Fac. Au. Rev. (Franciscan Sisters Hlth. Care), Ser. 2007, 5.00%, due 9/1/14
 
1,021
ß
 
5,000
 
Wisconsin St. Hlth. & Ed. Fac. Au. Rev. (Marquette Univ.), Ser. 2008-B3, 5.00%, due 10/1/30
 
5,316
ß
 
3,000
 
Wisconsin St. Hlth. & Ed. Fac. Au. Rev. (Meriter Hosp., Inc.), Ser. 2009, 5.63%, due 12/1/29
 
3,163
ß
         
11,959
 
Other (0.6%)
         
 
3,000
 
Non-Profit Pfd. Fdg. Trust I, Ser. 2006-C, 4.72%, due 9/15/37
 
1,674
#
             
     
Total Municipal Notes (Cost $434,952)
 
450,040
 
       
Tax Exempt Preferred (0.7%)
     
         
Real Estate (0.7%)
       
 
1,925
 
Munimae TE Bond Subsidiary LLC, Unsecured Notes, 5.00%, due 4/30/28 (Cost $1,925)
 
1,925
#
             
     
Total Investments (163.7%) (Cost $436,877)
 
451,965
##
             
     
Cash, receivables and other assets, less liabilities (1.3%)
 
3,596
 
             
     
Liquidation Value of Auction Market Preferred Shares [(65.0%)]
 
(179,400)
 
             
     
Total Net Assets Applicable to Common Shareholders (100.0%)
 
$276,161
 
 

See Notes to Schedule of Investments
 
 

 
January 31, 2014 (Unaudited)

 Notes to Schedule of Investments

In accordance with Accounting Standards Codification (“ASC”) 820 “Fair Value Measurements and Disclosures” (“ASC 820”), all investments held by each of Neuberger Berman California Intermediate Municipal Fund Inc. (“California”), Neuberger Berman Intermediate Municipal Fund Inc. (“Intermediate”) and Neuberger Berman New York Intermediate Municipal Fund Inc. (“New York”) (each individually a “Fund” and collectively, the “Funds”) are carried at the value that Neuberger Berman Management LLC (“Management”) believes a Fund would receive upon selling an investment in an orderly transaction to an independent buyer in the principal or most advantageous market for the investment under current market conditions. Various inputs, including the volume and level of activity for the asset or liability in the market, are considered in valuing the Funds’ investments, some of which are discussed below. Significant management judgment may be necessary to value investments in accordance with ASC 820.
   
 
ASC 820 established a three-tier hierarchy of inputs to create a classification of value measurements for disclosure purposes. The three-tier hierarchy of inputs is summarized in the three broad Levels listed below.
   
 
Level 1 – quoted prices in active markets for identical investments
 
Level 2 – other observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, amortized cost, etc.)
 
Level 3 – unobservable inputs (including a Fund’s own assumptions in determining the fair value of investments)
   
 
The inputs or methodology used for valuing an investment are not necessarily an indication of the risk associated with investing in those securities.
   
 
The value of the Funds’ investments in municipal securities is determined by Management primarily by obtaining valuations from independent pricing services based on readily available bid quotations, or if quotations are not available, by methods which include various considerations such as yields or prices of securities of comparable quality, coupon, maturity and type; indications as to values from dealers; and general market conditions (generally Level 2 inputs). Other Level 2 inputs used by an independent pricing service to value municipal securities include current trades, bid-wanted lists (which informs the market that a holder is interested in selling a position and that offers will be considered), offerings, general information on market movement, direction, trends, and specific data on specialty issues.
   
 
Management has developed a process to periodically review information provided by independent pricing services for all types of securities.
   
 
If a valuation is not available from an independent pricing service, or if Management has reason to believe that the valuation received does not represent the amount a Fund might reasonably expect to receive on a current sale in an orderly transaction, the applicable Fund seeks to obtain quotations from principal market makers (generally considered Level 3 inputs). If such quotations are not readily available, the security is valued using methods the Fund’s Board of Directors (each Fund’s Board of Directors, a “Board”) has approved on the belief that they reflect fair value. Numerous factors may be considered when determining the fair value of a security based on Level 2 or 3 inputs, including available analyst, media or other reports, trading in futures or American Depositary Receipts ("ADRs") and whether the issuer of the security being fair valued has other securities outstanding.
   
 
Fair value prices are necessarily estimates, and there is no assurance that such a price will be at or close to the price at which the security is next quoted or next trades.
 
For information on the Funds’ significant accounting policies, please refer to the Funds’ most recent shareholder reports.
 

 
 
 
The following is a summary, categorized by Level, of inputs used to value the Funds’ investments as of January 31, 2014:
 
Asset Valuation Inputs
       
         
(000’s omitted)
Level 1
Level 2 
Level 3§
Total    
California
       
Investments:
       
Municipal Notes^
$—   
$139,141
$—   
$139,141
Total Investments
—   
139,141
—   
139,141
Intermediate
       
Investments:
       
Municipal Notes^
—   
450,040
—   
450,040
Tax Exempt Preferred^
Total Investments
—   
—   
1,925
451,965
—   
—   
1,925
451,965
New York
       
Investments:
       
Municipal Notes^
—   
115,464
—   
115,464
Liquidating Trust—Real Estate^
—   
2,071   
2,071
Total Investments
$—   
$115,464
$2,071   
$117,535

 
^
The Schedule of Investments provides information on the state categorization for the portfolio.
     
 
§
The following is a reconciliation between the beginning and ending balances of investments in which significant unobservable inputs (Level 3) were used in determining value:

 
 
 
 
 
 
Beginning
balance, as of
11/1/13
 
 
 
 
 
Accrued
discounts/
(premiums)
 
 
 
 
 
 
Realized
gain/(loss)
 
 
 
 
Change in
unrealized
appreciation/ (depreciation)
 
 
 
 
 
 
 
Purchases
 
 
 
 
 
 
 
Sales
 
 
 
 
 
Transfers
in
to Level 3
 
 
 
 
 
Transfers
out of
Level 3
 
 
 
 
 
Balance
as of
1/31/14
Net change in unrealized appreciation/
(depreciation)
from
investments still
held as of
1/31/14
Investments in Securities
New York
                   
Units
                   
Liquidating Trust—Real Estate
 
 
$1,920      
 
 
$—                          
 

          $—                        


             $151
 
 
     $
 
 
     $
 
 
         $
 
 
     $
 
 
     $2,071
 
 
          $151
Total
$1,920      
$—                          
      $
     $151
 $— 
     $
     $
     $
     $2,071
          $151
 
The following table presents additional information about valuation techniques and inputs used for investments that are measured at fair value and categorized within Level 3 as of January 31, 2014.

 
 
 
 
 
Asset class
 
 
 
Fair value at
1/31/14
 
 
 
Valuation
techniques
 
 
 
Unobservable
input
 
 
 
 
Range per unit
 
 
Weighted
average per
unit
Impact to
valuation from
increase in input
New York
Units
$2,071,000
Income Approach
Appraised Value
$3,252-$3,680
$3,466
Increase

The Funds had no transfers between Levels 1, 2 and 3 during the period ended January 31, 2014.

##
At January 31, 2014, selected fund information on a U.S. federal income tax basis was as follows:

 
 
(000’s omitted)
 
 
Cost
 
Gross Unrealized
Appreciation
 
Gross Unrealized
Depreciation
Net Unrealized
Appreciation
(Depreciation)
California
$136,584
$5,089
$2,532
$2,557
Intermediate
  436,883
 24,222
 9,140
15,082
New York
  117,595
  3,884
 3,944
(60)

ß
Security is guaranteed by the corporate or non-profit obligor.
 
For information on the Funds’ significant accounting policies, please refer to the Funds’ most recent shareholder reports.
 

 
 
ñ
Securities were purchased under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”), or are private placements and, unless registered under the 1933 Act or exempted from registration, may only be sold to qualified institutional investors. These securities have been deemed by the investment manager to be liquid. At January 31, 2014, these securities amounted to approximately $1,969,000 or 2.4% of net assets applicable to common shareholders for California and approximately $5,223,000 or 1.9% of net assets applicable to common shareholders for Intermediate.
   
Ø
All or a portion of this security was purchased on a when-issued basis.  At January 31, 2014, these securities amounted to $752,000 or 0.9% of net assets applicable to common shareholders for California.
   
ØØ
All or a portion of this security is segregated in connection with obligations for when-issued security purchase commitments.
   
µ
Floating rate securities are securities whose yields vary with a designated market index or market rate. These securities are shown at their current rates as of January 31, 2014, and at their final maturity dates.
   
b
Currently a zero coupon security; will convert to 6.00% on December 1, 2015.
   
c
Currently a zero coupon security; will convert to 6.50% on December 1, 2015.
   
d
Currently a zero coupon security; will convert to 5.50% on August 1, 2021.
   
e
Currently a zero coupon security; will convert to 6.38% on August 1, 2016.
   
f
Currently a zero coupon security; will convert to 6.38% on August 1, 2019.
   
g
Currently a zero coupon security; will convert to 6.13% on August 1, 2023.
   
h
Currently a zero coupon security; will convert to 6.75% on August 1, 2015.
   
i
Currently a zero coupon security; will convert to 6.88% on August 1, 2019.
   
j
Currently a zero coupon security; will convert to 7.30% on August 1, 2026.
   
z
A zero balance, if any, may reflect actual amounts rounding to less than $1,000.
   
*
Security did not produce income during the last twelve months.
   
Security had an event of default. 
   
#
Restricted securities subject to restrictions on resale. Securities were purchased under Rule 144A of the 1933 Act or are private placements and, unless registered under the 1933 Act or exempted from registration, may only be sold to qualified institutional investors. These securities have been deemed by the investment manager to be illiquid.
   
 
At January 31, 2014, these securities amounted to approximately $502,000 or 0.6% of net assets applicable to common shareholders for  California, approximately $4,602,000 or 1.7 % of net assets applicable to common shareholders for Intermediate, and  approximately $2,572,000 or 3.7% of net assets applicable to common shareholders for New York.

 
For information on the Funds’ significant accounting policies, please refer to the Funds’ most recent shareholder reports.
 

 
 
(000’s omitted)
Restricted Security
Acquisition
Date
Acquisition
Cost
Acquisition
Cost
Percentage of
Net Assets
Applicable to
Common
Shareholders
as of
Acquisition
Date
Value as of
January 31,
2014
Fair Value
Percentage of
Net Assets
Applicable to
Common
Shareholders
as of January
31, 2014
California
Collier Co. Ind. Dev. Au. Continuing Care Comm. Rev. (Arlington of Naples Proj.), Ser. 2014-B1, 6.88%, due 5/15/21
12/16/2013
$500
0.6%
 $502
0.6%
Intermediate
Collier Co. Ind. Dev. Au. Continuing Care Comm. Rev. (Arlington of Naples Proj.), Ser. 2014-B1, 6.88%, due 5/15/21
12/16/2013
1,000
0.4%
1,003
0.4%
 
Munimae TE Bond Subsidiary LLC, Unsecured Notes, 5.00%, due 4/30/28
1/31/2013
1,925
0.7%
1,925
0.7%
 
New York Liberty Dev. Corp. Rev. (Nat’l Sports Museum Proj.), Ser. 2006-A, 6.13%,due 2/15/19
8/4/2006
1,100
0.4%
    0
0.0%
 
Non-Profit Pfd. Fdg. Trust I, Ser. 2006-C, 4.72%, due 9/15/37
10/2/2006
3,000
1.0%
1,674
0.6%
New York
Collier Co. Ind. Dev. Au. Continuing Care Comm. Rev. (Arlington of Naples Proj.), Ser. 2014-B1, 6.88%, due 5/15/21
12/16/2013
500
0.7%
  501
0.7%
 
New York Liberty Dev. Corp. Rev. (Nat’l Sports Museum Proj.), Ser. 2006-A, 6.13%,due 2/15/19
 8/4/2006
660
0.9%
     0
0.0%
 
CMS Liquidating Trust
11/21/2012
3,105
4.0%
2,071
3.0%
 
 
For information on the Funds’ significant accounting policies, please refer to the Funds’ most recent shareholder reports.
 
 
 

 
Item 2. Controls and Procedures.

(a)
Based on an evaluation of the disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (“1940 Act”)), as of a date within 90 days of the filing date of this document, the Chief Executive Officer and Treasurer and Principal Financial and Accounting Officer of the Registrant have concluded that such disclosure controls and procedures are effectively designed to ensure that information required to be disclosed by the Registrant on Form N-CSR and Form N-Q is accumulated and communicated to the Registrant’s management to allow timely decisions regarding required disclosure.
   
(b)
There were no significant changes in the Registrant’s internal controls over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) 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.

 
The certifications required by Rule 30a-2(a) of the 1940 Act are filed herewith.

 
 

 

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.

Neuberger Berman Intermediate Municipal Fund Inc.


By:
/s/ Robert  Conti  
 
Robert Conti
Chief Executive Officer and President
 

Date: March 31, 2014


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:
/s/ Robert Conti  
 
Robert Conti
Chief Executive Officer and President
 
 
Date: March 31, 2014


By:
/s/ John M. McGovern  
 
John M. McGovern
Treasurer and Principal Financial
and Accounting Officer
 
 
Date: March 31, 2014