SEC Form 5 · accession 0001140361-17-001802
TORTOISE PIPELINE & ENERGY FUND, INC. · TTP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth P Malvey
Other
Period of report
Nov 30, 2016
Accepted (ET)
Jan 13, 2017 · 3:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001526329
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Dec 1, 2015 | L | 32 | $17.47 | A | 1,388 | D | |
| Common SharesF1 | Dec 1, 2015 | L | 16 | $17.47 | A | 704 | I | By spouse |
| Common SharesF1 | Mar 1, 2016 | L | 41 | $12.67 | A | 1,388 | D | |
| Common SharesF1 | Mar 1, 2016 | L | 21 | $12.67 | A | 704 | I | By spouse |
| Common SharesF1 | Jun 1, 2016 | L | 31 | $17.37 | A | 1,388 | D | |
| Common SharesF1 | Jun 1, 2016 | L | 16 | $17.37 | A | 704 | I | By spouse |
| Common SharesF1 | Sep 1, 2016 | L | 28 | $19.68 | A | 1,388 | D | |
| Common SharesF1 | Sep 1, 2016 | L | 14 | $19.68 | A | 704 | I | By spouse |
| Common SharesF2 | holding | — | — | — | 0 | I | By self as custodian of child's account |
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 Pipeline & Energy Fund, Inc. dividend reinvestment plan price. This transaction is being reported on Form 5 pursuant to Rule 16a-6.
- F2Excludes 205.736 shares held by adult child no longer living at home and in which the reporting person no longer has a reportable beneficial interest but which have been included in the reporting person's prior ownership information.