SEC Form 5 · accession 0001140361-15-001649
TORTOISE ENERGY INFRASTRUCTURE CORP · TYG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth P Malvey
Officer — Senior VP and Treasurer
Period of report
Nov 30, 2014
Accepted (ET)
Jan 13, 2015 · 5:33 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 | Jun 23, 2014 | J | 374 | — | A | 2,503 | I | By spouse |
| Common SharesF2 | Jun 23, 2014 | J | 74 | — | A | 260 | I | By self as custodian of child's account |
| Common SharesF3 | Jun 23, 2014 | J | 65 | — | A | 260 | I | By self as custodian of child's account |
| Common SharesF4,F5 | Jun 23, 2014 | J | 1,420 | — | A | 9,678 | D | |
| Common SharesF6,F5 | Jun 23, 2014 | J | 924 | — | A | 9,678 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in exchange for 500 common shares of Tortoise Energy Capital Corporation ("TYY") and received cash in lieu of fractional shares of Tortoise Energy Infrastructure Corporation ("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.
- F2Received in exchange for 100 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.
- F3Received in exchange for 100 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.
- F4Received in exchange for 2,174.545 common shares of 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.
- F5Includes 306.42 shares acquired under the TYG dividend reinvestment plan.
- F6Received in exchange for 1,235.46 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.