SEC Form 5 · accession 0001140361-15-001530
TORTOISE ENERGY INFRASTRUCTURE CORP · TYG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terry Matlack
Officer — Chief Executive Officer · Director
Period of report
Nov 30, 2014
Accepted (ET)
Jan 13, 2015 · 10:29 am 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 | 13 | $50.18 | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
| Common SharesF1,F2 | Mar 3, 2014 | L | 15 | $45.22 | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
| Common SharesF1,F2 | Jun 2, 2014 | L | 14 | $48.58 | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
| Common SharesF3,F4 | Jun 23, 2014 | J | 409 | — | A | 415 | D | |
| Common SharesF5,F2 | Jun 23, 2014 | J | 10,816 | — | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
| Common SharesF6,F2 | Jun 23, 2014 | J | 10,683 | — | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
| Common SharesF1,F4 | Sep 2, 2014 | L | 5 | $49.02 | A | 415 | D | |
| Common SharesF1,F2 | Sep 2, 2014 | L | 15 | $49.02 | A | 38,920 | I | By Matlack Living Trust dated 12/30/04 |
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 1,181.65 shares acquired under the TYG dividend reinvestment plan.
- F3Received in exchange for 547.06 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.
- F4Includes 0.97 shares acquired under the TYG dividend reinvestment plan.
- F5Received in exchange for 14,432.24 common shares of 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 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.
- F6Received in exchange for 16,337.59 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