# EDGAR Filing Document

**Accession Number:** 0001102113
**File Stem:** 0001102113-23-000004
**Filing Date:** 2023-3
**Character Count:** 7414
**Document Hash:** 329cc519a25ff328cd4fa36fb9dff447
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001102113-23-000004.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001102113-23-000004

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 8

**FILED AS OF DATE**: 20230320

**DATE AS OF CHANGE**: 20230321

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BANK OF AMERICA NA
- **CENTRAL INDEX KEY:** 0001102113
- **IRS NUMBER:** 941687665

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00158
- **FILM NUMBER:** 23748569

**BUSINESS ADDRESS:**
- **STREET 1:** 100 N. TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28255
- **BUSINESS PHONE:** (704) 386-5494

**MAIL ADDRESS:**
- **STREET 1:** 100 N. TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28255

### Attached PDF Documents

**Attachment 1:** `BANA7RforAmd8.pdf`

_No text found in this document._

**Attachment 2:** `BANASBSDAAmd8SmryOfChanges.pdf`

_No text found in this document._

**Attachment 3:** `BANASBSDACombined13BAmd8.pdf`

_No text found in this document._

**Attachment 4:** `BANASBSDAQ7.pdf`

_No text found in this document._

**Attachment 5:** `BANASBSDAQ13AScheduleBII.pdf`

_No text found in this document._

**Attachment 6:** `BANASBSDAQ14ScheduleBII.pdf`

_No text found in this document._

**Attachment 7:** `BANASBSDAQ17ScheduleFII.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** BANK OF AMERICA NA

**NFA Number:** 282338

**IRS Employer ID No.:** 94-1687665

**CIK:** 0001102113

**UIC:** B4TYDEB6GKMZO031MB27

**Main Address:** 100 N. TRYON STREET, CHARLOTTE, NC, 28255

**Business Telephone:** (704) 386-5494

**Contact Employee:**

- **Name:** MARK DEANGELIS

- **Title:** Director; EAC Compliance & Operational Risk Manager

- **Phone:** 646-743-6928

- **Email:** mark.deangelis@bofa.com

**Chief Compliance Officer:**

- **Name:** AMY LITTMAN

- **Title:** Managing Director; Head of Global Compliance & Operational R

- **Phone:** 646-855-0841

- **Email:** amy.littman@bofa.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** No

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Office of the Comptroller of the Currency, The Federal Deposit Insurance Corporation

**Description of Business:**
See Supplemental Attachment

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 22

### Schedule A: Principals

| Name                            | Title or Status                               | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Arnold Wayne Donald             | Director                                      | 01/2013         | 01/2013              |  |       457531 |
| Brian Thomas Moynihan           | Chief Executive Officer/Director              | 12/2012         | 12/2012              |  |       401299 |
| Clayton Stuart Rose             | Director                                      | 12/2018         | 10/2018              |  |       466397 |
| Denise Laura Ramos              | Director                                      | 08/2019         | 07/2019              |  |       524095 |
| Frank Paul Bramble              | Director                                      | 12/2012         | 06/2009              |  |       449750 |
| James Paul Demare               | Head of Business Unit, Division or Function   | 04/2016         | 04/2016              |  |       494981 |
| Linda Parker Hudson             | Director                                      | 12/2012         | 08/2012              |  |       449755 |
| Lionel Lewis Nowell             | Director                                      | 01/2013         | 01/2013              |  |       457530 |
| Maria Theresa Zuber             | Director                                      | 12/2017         | 12/2017              |  |       510243 |
| Michael Dennis White            | Director                                      | 08/2016         | 06/2016              |  |       497808 |
| Monica Cecilia Lozano           | Director                                      | 12/2012         | 06/2009              |  |       449756 |
| Pierre Jacques Philippe De Weck | Director                                      | 12/2013         | 11/2013              |  |       470677 |
| Robert David Yost               | Director                                      | 12/2012         | 08/2012              |  |       449761 |
| Sharon Lee Allen                | Director                                      | 02/2013         | 08/2012              |  |       449746 |
| Soofian J Zuberi                | Head of Business Unit, Division or Function   | 11/2020         | 11/2020              |  |       533174 |
| Stephen Yankauer                | Head of Business Unit, Division or Function   | 04/2019         | 04/2019              |  |       521112 |
| Thomas Dunne Woods              | Director                                      | 05/2016         | 04/2016              |  |       496348 |
| Susan Yung                      | Head of a Business Unit, Division or Function | 11/2021         | 08/2021              |  |       544284 |
| Amy Littman                     | Chief Compliance Officer                      | 11/2021         | 05/2005              |  |       543612 |
| Alastair Borthwick              | Chief Financial Officer                       | 11/2021         | 09/2005              |  |       544946 |
| Matthew Michael Koder           | Head of a Business Unit, Division or Function | 10/2021         | 06/2011              |  |       547563 |
| Jose Eduardo Almeida            | Director                                      | 12/2022         | 09/2022              |  |       470432 |

### Schedule B: Explanations

**Description:**
BANA's non-securities activities include, among others, accepting deposits, making loans and extensions of credit, acting as a fiduciary and engaging in credit intermediation (which includes engaging in derivative transactions where the reference assets may include products other than securities.

**Records Keeper:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, NC, NA

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

**Onbehalf:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, NC, NA

  - **Effective Date:** 10-26-2021

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** See Supplemental Attachment

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

### Execution

**Date:** 03-20-2023

**Name of Applicant:** BANK OF AMERICA NA

**Signature:** /s/ James DeMare

**Printed Name:** James DeMare

**Title:** Managing Director, President, and Head of Global Markets