SEC Form 5 · accession 0001140361-15-001495
TORTOISE ENERGY INFRASTRUCTURE CORP · TYG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
P. Bradley Adams
Officer — Chief Financial Officer
Period of report
Nov 30, 2014
Accepted (ET)
Jan 12, 2015 · 6:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001268533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Dec 2, 2013 | L | 4 | $50.18 | A | 6,044 | D | |
| Common SharesF1,F2 | Mar 3, 2014 | L | 5 | $45.22 | A | 6,044 | D | |
| Common SharesF1,F2 | Jun 2, 2014 | L | 4 | $48.58 | A | 6,044 | D | |
| Common SharesF3,F2 | Jun 23, 2014 | J | 1,359 | — | A | 6,044 | D | |
| Common SharesF4,F2 | Jun 23, 2014 | J | 1,031 | — | A | 6,044 | D | |
| Common SharesF1,F2 | Sep 2, 2014 | L | 9 | $49.02 | A | 6,044 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Automatic reinvestment of distribution by broker not made at the Tortoise Energy Infrastructure Corporation ("TYG") dividend reinvestment plan price. This transaction is being reported on Form 5 pursuant to Rule 16a-6.
- F2Includes 181.908 shares acquired under the TYG dividend reinvestment plan.
- F3Received in exchange for 1,814.84 common shares of Tortoise Energy Capital Corporation ("TYY") and received cash in lieu of fractional shares of TYG in connection with the merger of TYY into TYG which was effective on June 23, 2014. The exchange rate was based on each company's relative net asset value ("NAV") per share as of June 20, 2014, the business day immediately preceding the closing of the merger, which was $50.95 for TYG and $38.19 for TYY. On June 20, 2014, the closing price of TYY common shares was $36.22 and the closing price of TYG common shares was $48.46.
- F4Received in exchange for 1,578.79 common shares of Tortoise North American Energy Corporation ("TYN") and received cash in lieu of fractional shares of TYG in connection with the merger of TYN into TYG which was effective on June 23, 2014. The exchange rate was based on each company's relative NAV per share as of June 20, 2014, the business day immediately preceding the closing of the merger, which was $50.95 for TYG and $33.32 for TYN. On June 20, 2014, the closing price of TYN common shares was $31.54 and the closing price of TYG common shares was $48.46.