As filed with the Securities and Exchange Commission on September 28, 2007
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: 811-21169
NEUBERGER BERMAN NEW YORK INTERMEDIATE MUNICIPAL FUND INC.
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(Exact Name of the Registrant as Specified in Charter)
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
Peter E. Sundman, Chief Executive Officer
Neuberger Berman New York Intermediate Municipal Fund Inc.
605 Third Avenue, 2nd Floor
New York, New York 10158-0180
Arthur Delibert, Esq.
Kirkpatrick & Lockhart Preston Gates Ellis 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, 2007
Date of reporting period: July 31, 2007
Form N-Q is to be used by management investment companies to file reports with
the Commission not later than 60 days after the close of their 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
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. ss. 3507.
ITEM 1. SCHEDULE OF INVESTMENTS.
JULY 31, 2007 (UNAUDITED)
SCHEDULE OF INVESTMENTS New York Intermediate Municipal Fund Inc.
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PRINCIPAL AMOUNT SECURITY(@) RATING VALUE(+)
($000's omitted) Moody's S&P ($000's omitted)
ARIZONA (0.7%)
500 Verrado Comm. Fac. Dist. Number 1 G.O., Ser.
2003, 6.15%, due 7/15/17 529(^^)
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CALIFORNIA (1.3%)
1,000 Santa Rosa Rancheria Tachi Yokut Tribe Enterprise Rev., Ser.
2003, 6.13%, due 3/1/13 1,015(^^)
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FLORIDA (0.6%)
500 Miami Beach Hlth. Fac. Au. Hosp. Ref. Rev. (Mount
Sinai Med. Ctr. of Florida Proj.), Ser. 2004, 6.25%,
due 11/15/09 Ba1 BB+ 521(B)
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GEORGIA (1.3%)
1,000 De Kalb Co. Dev. Au. Ref. PCR (General Motors
Corp. Proj.), Ser. 2002, 6.00%, due 3/15/21 Caa1 B- 1,009(B)
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GUAM (0.7%)
500 Guam Gov't. Waterworks Au. Wtr. & Wastewater
Sys. Rev., Ser. 2005, 5.50%, due 7/1/16 Ba2 526
-----------
LOUISIANA (2.6%)
1,000 Morehouse Parish Ref. PCR (Int'l. Paper Co. Proj.),
Ser. 2001 A, 5.25%, due 11/15/13 Baa3 BBB 1,023(B)
1,000 Tobacco Settlement Fin. Corp. Tobacco Settlement
Asset-Backed Rev., Ser. 2001 B, 5.50%, due
5/15/30 Baa3 BBB 1,041
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2,064
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NEW YORK (142.8%)
3,000 Albany IDA Civic Fac. Rev. (Charitable Leadership
Foundation Ctr. for Med. Science Proj.), Ser. 2002
A, 6.00%, due 7/1/19 Ba2 3,136
1,000 Buffalo & Fort Erie Pub. Bldg Au. Toll Bridge Sys.
Rev., Ser. 2005, 4.00%, due 7/1/10 P-1 A-1+ 1,000(u)
500 Cattaraugus Co. IDA (St. Bonaventure Univ. Proj.),
Ser. 2006 A, 5.00%, due 5/1/23 BBB- 504(B)
1,000 Dutchess Co. IDA Civic Fac. Ref. Rev. (Marist
College Proj.), Ser. 2003 A, 5.15%, due 7/1/17 A3 1,038(B)
2,000 Dutchess Co. IDA Ind. Dev. Rev. (IBM Proj.), Ser.
1999, 5.45%, due 12/1/29 Putable 12/1/09 A1 A+ 2,055(B)
500 Essex Co. IDA Solid Waste Disp. Rev. (Int'l. Paper),
Ser. 2005 A, 5.20%, due 12/1/23 Baa3 BBB 496(B)
2,000 Long Island Pwr. Au. Elec. Sys. Gen. Rev., Ser.
1998 A, (FSA Insured), 5.50%, due 12/1/13 Aaa AAA 2,182
1,265 Lyons Comm. Hlth. Initiatives Corp. Fac. Rev., Ser.
2004, 5.50%, due 9/1/14 A2 1,339
2,000 Metro. Trans. Au. Ref. Rev., Ser. 2002 A, (AMBAC
Insured), 5.50%, due 11/15/15 Aaa AAA 2,157
1,000 Monroe Co. IDA Civic Fac. Rev. (Highland Hosp.
Rochester), Ser. 2005, 5.00%, due 8/1/15 Baa1 BBB+ 1,029(B)
980 Monroe Co. IDA Std. Hsg. Rev. (Collegiate Hsg.
Foundation - Rochester Institute of Technology
Proj.), Ser. 1999 A, 5.25%, due 4/1/19 Baa3 996(B)
1,000 Monroe Co. Newpower Corp. Pwr. Fac. Rev., Ser.
2003, 5.10%, due 1/1/16 BBB 1,019
1,000 Monroe Co. Pub. Imp. Ref. G.O., Ser. 1996, 6.00%,
due 3/1/13 Baa1 BBB+ 1,082
1,000 New York City G.O., Ser. 2002 A, 5.75%, due 8/1/16 Aa3 AA 1,077
750 New York City G.O., Ser. 2002 C, 5.50%, due 8/1/15 Aa3 AA 806
1,410 New York City Hlth. & Hosp. Corp. Rev., Ser. 2002
A, (FSA Insured), 5.50%, due 2/15/13 Aaa AAA 1,503
See Notes to Schedule of Investments
JULY 31, 2007 (UNAUDITED)
SCHEDULE OF INVESTMENTS New York Intermediate Municipal Fund Inc. cont'd
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PRINCIPAL AMOUNT SECURITY(@) RATING VALUE(+)
($000's omitted) Moody's S&P ($000's omitted)
4,000 New York City Hsg. Dev. Corp. Multi-Family Hsg.
Rev., Ser. 2002 E-2, 5.05%, due 11/1/23 Aa2 AA 4,034
1,000 New York City IDA Civic Fac. Rev. (Lycee Francais
de New York Proj.), Ser. 2002 A, (ACA Insured),
5.50%, due 6/1/15 A 1,037(B)
1,030 New York City IDA Civic Fac. Rev. (Lycee Francais
de New York Proj.), Ser. 2002 A, (ACA Insured),
5.50%, due 6/1/17 A 1,063(B)
2,920 New York City IDA Civic Fac. Rev. (Packer
Collegiate Institute Proj.), Ser. 2002, (AMBAC
Insured), 5.00%, due 6/1/22 Aaa AAA 3,015(B)
750 New York City IDA Civic Fac. Rev. (Vaughn College
of Aeronautics and Technology), Ser. 2006 A,
5.00%, due 12/1/21 BB+ 742(B)
1,000 New York City IDA Ind. Dev. Rev. (Brooklyn Navy
Yard Cogeneration Partners, L.P. Proj.), Ser. 1997,
6.20%, due 10/1/22 Ba1 BBB- 1,070(B)
500 New York City IDA Ind. Dev. Rev. (Harlem Auto Mall
Proj.), Ser. 2004, 5.13%, due 12/30/23 Caa1 B- 463(B)
750 New York City IDA Liberty Rev. (7 World Trade
Center, LLC Proj.), Ser. 2005 A, 6.25%, due 3/1/15 788(^^)
750 New York City IDA Spec. Fac. Rev. (American
Airlines, Inc. J.F.K. Int'l. Arpt. Proj.), Ser. 2005,
7.50%, due 8/1/16 B 856(B)
2,000 New York City IDA Spec. Fac. Rev. (Term. One
Group Assoc. Proj.), Ser. 2005, 5.50%, due 1/1/19 A3 BBB+ 2,133(B)
960 New York City Muni. Wtr. Fin. Au. Wtr. & Swr. Sys.
Rev., Ser. 1992 A, (AMBAC Insured), 5.88%, due
6/15/13 Aaa AAA 1,062
4,000 New York City Muni. Wtr. Fin. Au. Wtr. & Swr. Sys.
Rev., Ser. 2002 D, 5.25%, due 6/15/15 Aa2 AA+ 4,226
3,000 New York City Trans. Fin. Au. Ref. Rev., Ser. 2002
B, 5.25%, due 2/1/29 Aa1 AAA 3,131
2,025 New York City Trans. Fin. Au. Ref. Rev., Ser. 2002 2,144
C, (AMBAC Insured), 5.25%, due 8/1/17 Aaa AAA
85 New York G.O., Ser. 1998 J, 5.00%, due 8/1/11 Pre-
Refunded 8/1/08 Aa3 AA 87
915 New York G.O. Unrefunded Balance, Ser. 1998 J,
5.00%, due 8/1/11 Aa3 AA 934
750 New York Liberty Dev. Corp. Rev. (Nat'l. Sports
Museum Proj.), Ser. 2006 A, 6.13%, due 2/15/19 774(^^)
2,000 New York St. Dorm. Au. Court Fac. Lease Rev.
(New York City Issue), Ser. 2003 A, 5.50%, due
5/15/17 Pre-Refunded 5/15/13 A1 AA- 2,168
2,000 New York St. Dorm. Au. Insured Rev. (Long Island
Jewish Med. Ctr.), Ser. 1998, (MBIA Insured),
5.00%, due 7/1/18 Pre-Refunded 7/1/08 Aaa AAA 2,044(B)
1,675 New York St. Dorm. Au. Insured Rev. (Long Island
Univ.), Ser. 2003 A, (Radian Insured), 5.25%, due
9/1/15 Aa3 AA 1,736(B)
1,600 New York St. Dorm. Au. Insured Rev. (The Culinary
Institute of America), Ser. 1999, (MBIA Insured),
5.38%, due 7/1/15 Aaa AAA 1,660(B)
3,000 New York St. Dorm. Au. Ref. Rev. (North Gen.
Hosp. Proj.), Ser. 2003, 5.75%, due 2/15/17 AA- 3,218(B)
1,125 New York St. Dorm. Au. Rev. (City Univ. Sys. Proj.),
Ser. 1995 A, 5.63%, due 7/1/16 A1 AA- 1,244
1,010 New York St. Dorm. Au. Rev. (Columbia Univ. Proj.),
Ser. 2001 A, 5.25%, due 7/1/16 Pre-Refunded
7/1/11 Aaa AAA 1,074(B)
2,985 New York St. Dorm. Au. Rev. (Lenox Hill Hosp.
Oblig. Group Proj.), Ser. 2001, 5.75%, due 7/1/14 Ba2 3,135(B)
See Notes to Schedule of Investments
JULY 31, 2007 (UNAUDITED)
SCHEDULE OF INVESTMENTS New York Intermediate Municipal Fund Inc. cont'd
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PRINCIPAL AMOUNT SECURITY(@) RATING VALUE(+)
($000's omitted) Moody's S&P ($000's omitted)
2,000 New York St. Dorm. Au. Rev. (Lenox Hill Hosp.
Oblig. Group Proj.), Ser. 2001, 5.75%, due 7/1/16 Ba2 2,099(B)
2,000 New York St. Dorm. Au. Rev. (Mount Sinai NYU
Hlth.), Ser. 2000 C, 5.50%, due 7/1/26 Baa1 BBB 2,021(B)
1,980 New York St. Dorm. Au. Rev. (New York Med.
College Proj.), Ser. 1998, (MBIA Insured), 5.00%,
due 7/1/21 Aaa AAA 2,017(B)
525 New York St. Dorm. Au. Rev. (New York Methodist
Hosp.), Ser. 2004, 5.25%, due 7/1/18 Baa2 537
500 New York St. Dorm. Au. Rev. (North Shore-Long
Island Jewish Oblig. Group), Ser. 2003, 5.00%, due
5/1/18 A3 511(B)
2,855 New York St. Dorm. Au. Rev. (Rivington House Hlth.
Care Fac.), Ser. 2002, 5.25%, due 11/1/15 Aa1 2,988(B)
2,410 New York St. Dorm. Au. Rev. (Rochester Institute of
Technology Proj.), Ser. 2002 A, (AMBAC Insured),
5.25%, due 7/1/19 Aaa 2,536(B)
3,000 New York St. Dorm. Au. Rev. (SS Joachim & Anne
Residence Proj.), Ser. 2002, 4.60%, due 7/1/16 Aa3 2,980
1,000 New York St. Dorm. Au. Rev. Non. St. Supported
Debt (NYU Hosp. Ctr.), Ser. 2006 A, 5.00%, due
7/1/20 Ba2 BB 996(B)
250 New York St. Dorm. Au. Rev. Secured Hosp. Ref.
Rev. (Brookdale Hosp. Med. Ctr.), Ser. 1998 J,
5.20%, due 2/15/16 A1 AA- 255(B)
3,900 New York St. Dorm. Au. Rev. St. Personal Income
Tax Rev., Ser. 2003 A, 5.38%, due 3/15/17 Pre-
Refunded 3/15/13 Aa3 AAA 4,200
5,000 New York St. Energy Res. & Dev. Au. Fac. Rev.
(Consolidated Edison Co. of New York, Inc. Proj.),
Ser. 2001, 4.70%, due 6/1/36 Putable 10/1/12 A1 A+ 5,003(B)
1,500 New York St. Env. Fac. Corp. Solid Waste Disp.
Rev. (Waste Management, Inc. Proj.), Ser. 2004 A,
4.45%, due 7/1/17 Putable 7/1/09 BBB 1,497(B)
2,000 New York St. Mtge. Agcy. Homeowner Mtge. Rev.,
Ser. 1997-67, 5.70%, due 10/1/17 Aa1 2,031
2,000 New York St. Pwr. Au. Rev., Ser. 2002 A, 5.25%,
due 11/15/16 Aa2 AA- 2,127
250 New York St. Urban Dev. Corp. Correctional & Youth
Fac. Svc. Rev., Ser. 2002 C, 4.00%, due 1/1/20 A1 AA- 250
1,325 New York St. Urban Dev. Corp. Proj. Ref. Rev. (Ctr.
for Ind. Innovation), Ser. 1995, 6.25%, due 1/1/09 A1 AA- 1,369
2,000 Niagara Co. IDA Civic Fac. Rev. (Niagara Univ.
Proj.), Ser. 2001 A, (Radian Insured), 5.50%, due
11/1/16 AA 2,120(B)
2,500 Niagara Co. IDA Solid Waste Disp. Fac. Ref. Rev.
(American Ref.-Fuel Co. of Niagara), Ser. 2001 C,
5.63%, due 11/15/24 Putable 11/15/14 Baa2 BB+ 2,574(B)
3,000 Port Authority of NY & NJ Rev., Ser. 2002, (AMBAC
Insured), 5.50%, due 12/15/12 Aaa AAA 3,214
3,000 Triborough Bridge & Tunnel Au. Gen Purp. Ref.
Rev., Ser. 2002 B, 5.25%, due 11/15/18 Aa2 AA- 3,171
1,535 Ulster Co. Res. Rec. Agcy. Solid Waste Sys. Ref.
Rev., Ser. 2002, (AMBAC Insured), 5.25%, due
3/1/16 Aaa AAA 1,631
500 United Nations Dev. Corp. Sr. Lien. Ref. Rev., Ser.
2004 A, 5.25%, due 7/1/17 A3 503
1,000 Westchester Co. IDA Continuing Care Retirement
Comm. Rev. (Kendal on Hudson Proj.), Ser. 2003 B, 1,023(B)(^^)
5.70%, due 1/1/34 Putable 1/1/10
See Notes to Schedule of Investments
JULY 31, 2007 (UNAUDITED)
SCHEDULE OF INVESTMENTS New York Intermediate Municipal Fund Inc. cont'd
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PRINCIPAL AMOUNT SECURITY(@) RATING VALUE(+)
($000's omitted) Moody's S&P ($000's omitted)
1,000 Yonkers IDA Civic Fac. Rev. (Comm. Dev.
Properties-Yonkers, Inc.), Ser. 2001 A, 6.25%, due
2/1/16 Pre-Refunded 2/1/11 Baa3 1,061(B)
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113,971
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OHIO (0.6%)
500 Coshocton Co. Env. Imp. Ref. Rev. (Smurfit-Stone
Container Enterprises, Inc. Proj.), Ser. 2005, 5.13%,
due 8/1/13 CCC+ 496(n)(B)
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PENNSYLVANIA (2.1%)
1,590 Cumberland Co. West Shore Area Au. Hosp. Rev.
(Holy Spirit Hosp. of the Sisters of Christian Charity
Proj.), Ser. 2001, 5.90%, due 1/1/17 BBB 1,659(B)
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PUERTO RICO (2.5%)
875 Puerto Rico Children's Trust Tobacco Settlement
Asset-Backed Rev., Ser. 2002, 5.38%, due 5/15/33 Baa3 BBB 887
1,060 Puerto Rico Ind. Tourist Ed. Med. & Env. Ctrl. Fac.
Rev. (Polytechnic Univ. of Puerto Rico Proj.), Ser.
2002 A, (ACA Insured), 5.25%, due 8/1/16 A 1,097(B)
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1,984
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TEXAS (2.5%)
800 Brazos River Au. Ref. PCR (TXU Energy Co. LLC
Proj.), Ser. 2003 A, 6.75%, due 4/1/38 Putable
4/1/13 Baa2 BB 853(B)
750 Brazos River Au. Ref. Rev. (Reliant Energy, Inc.
Proj.), Ser. 1999 B, 7.75%, due 12/1/18 Ba1 BBB- 782(B)
400 Dallas-Fort Worth Int'l. Arpt. Fac. Imp. Corp. Rev.,
Ser. 2004 A-1, 6.15%, due 1/1/16 Ba2 402(B)
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2,037
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VIRGIN ISLANDS (1.3%)
250 Virgin Islands Pub. Fin. Au. Refinery Fac. Rev.
(HOVENSA Refinery), Ser. 2003, 6.13%, due 7/1/22 Baa3 BBB 271
750 Virgin Islands Pub. Fin. Au. Rev. (Virgin Islands
Matching Fund Loan Notes), Ser. 1998 E, 6.00%,
due 10/1/22 773(^^)
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1,044
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TOTAL INVESTMENTS (159.0%) (COST $125,560) 126,855(##)
Cash, receivables and other assets, less liabilities (1.5%) 1,177
Liquidation Value of Auction Market Preferred Shares [(60.5%)] (48,250)
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TOTAL NET ASSETS APPLICABLE TO COMMON SHAREHOLDERS (100.0%) $79,782
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See Notes to Schedule of Investments
JULY 31, 2007 (UNAUDITED)
NOTES TO SCHEDULE OF INVESTMENTS
--------------------------------
(+) Investments in securities by 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") (individually a "Fund", and collectively,
the "Funds") are valued daily by obtaining bid price quotations from
independent pricing services on all securities available in each service's
data base. For all other securities, bid prices are obtained from principal
market makers in those securities or, if quotations are not readily
available, by methods each Fund's Board of Directors has approved on the
belief that they reflect fair value. Numerous factors may be considered
when determining the fair value of a security, including available analyst,
media or other reports, trading in futures or ADRs and whether the issuer
of the security being fair valued has other securities outstanding.
Short-term debt securities with less than 60 days until maturity may be
valued at cost which, when combined with interest earned, approximates
market value.
(##) At July 31, 2007, selected Fund information on a U.S. federal income tax
basis was as follows:
GROSS GROSS NET
(000'S OMITTED) UNREALIZED UNREALIZED UNREALIZED
NEUBERGER BERMAN COST APPRECIATION DEPRECIATION APPRECIATION
CALIFORNIA $153,698 $2,763 $166 $2,597
INTERMEDIATE 466,220 8,456 885 7,571
NEW YORK 125,560 1,733 438 1,295
(@) At time of investment, municipal securities purchased by the Funds are
within the four highest rating categories (with respect to at least 80% of
total assets) assigned by a nationally recognized statistical rating
organization ("NRSRO") such as Moody's Investors Service, Inc., Standard &
Poor's, or Fitch Investors Services, Inc. or, where not rated, are
determined by the Funds' investment manager to be of comparable quality.
Approximately 80%, 70%, and 61% of the municipal securities held by
California, Intermediate, and New York, respectively, have credit
enhancement features backing them, which the Funds may rely on, such as
letters of credit, insurance, or guarantees. Without these credit
enhancement features the securities may or may not meet the quality
standards of the Funds. Pre-refunded bonds are supported by securities in
escrow issued or guaranteed by the U.S. Government, its agencies, or
instrumentalities. The amount escrowed is sufficient to pay the periodic
interest due and the principal of these bonds. Putable bonds give the Funds
the right to sell back the issue on the date specified.
(B) Security is guaranteed by the corporate or non-profit obligor.
(n) Restricted security subject to restrictions on resale under federal
securities laws. These securities may be resold in transactions exempt from
registration, normally to qualified institutional buyers under Rule 144A
and have been deemed by the investment manager to be liquid. At July 31,
2007, these securities amounted to approximately $496,000 or 0.5% of net
assets applicable to common shareholders for California, approximately
$5,434,000 or 1.8% of net assets applicable to common shareholders for
Intermediate and approximately $496,000 or 0.6% of net assets applicable to
common shareholders for New York.
(^^) Not rated by a NRSRO.
(u) 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 July 31, 2007.
(T) Rated BBB by Fitch Investor Services, Inc.
For information on the Funds' significant accounting policies, please refer to
the Funds' most recent financial statments.
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 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 New York Intermediate Municipal Fund Inc.
By: /s/ Peter E. Sundman
-----------------------
Peter E. Sundman
Chief Executive Officer
Date: September 25, 2007
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/ Peter E. Sundman
-----------------------
Peter E. Sundman
Chief Executive Officer
Date: September 25, 2007
By: /s/ John M. McGovern
-----------------------
John M. McGovern
Treasurer and Principal Financial
and Accounting Officer
Date: September 25, 2007