SEC Form 5 · accession 0001140361-18-001869
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC · TPZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
P. Bradley Adams
Officer — CEO & Princ Financial Officer
Period of report
Nov 30, 2017
Accepted (ET)
Jan 12, 2018 · 2:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001408201
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Dec 1, 2016 | L | 6 | $21.52 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Jan 3, 2017 | L | 6 | $22.69 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Feb 1, 2017 | L | 6 | $22.92 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Mar 1, 2017 | L | 6 | $22.71 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Apr 3, 2017 | L | 6 | $22.11 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | May 1, 2017 | L | 6 | $22.33 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Jul 3, 2017 | L | 6 | $21.02 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Aug 1, 2017 | L | 6 | $21.31 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Sep 1, 2017 | L | 7 | $20.25 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Oct 2, 2017 | L | 6 | $21.30 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF1,F2 | Nov 1, 2017 | L | 7 | $20.28 | A | 1,119 | I | By adult child living at home at time of transaction |
| Common SharesF3 | holding | — | — | — | 1,805 | 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 TPZ dividend reinvestment plan price. This transaction is being reported on Form 5 pursuant to Rule 16a-6.
- F2Transaction reported occurred while reporting person had a reportable beneficial interest, but subsequent to the fiscal year-end for which this filing is made, these shares are held by adult child no longer living at home and the reporting person no longer has a reportable beneficial interest and disclaims beneficial ownership.
- F3Includes 119.93 shares acquired under the TPZ dividend reinvestment plan.