FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TORTOISE ENERGY INFRASTRUCTURE CORP [ TYG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/23/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Shares | 06/23/2014 | J(1) | 14,466 | A | (1) | 61,816.819(2) | D | |||
Common Shares | 06/23/2014 | J(3) | 4,391 | A | (3) | 66,207.819 | D | |||
Common Shares | 06/23/2014 | J(4) | 675 | A | (4) | 2,506.63(5) | I | By spouse as custodian of children's accounts | ||
Common Shares | 06/23/2014 | J(6) | 580 | A | (6) | 3,086.63 | I | By spouse as custodian of children's accounts | ||
Common Shares | 08/15/2014 | S | 1.63(7) | D | $47.74 | 3,085 | I | By spouse as custodian of children's accounts | ||
Common Shares | 08/18/2014 | S | 0.736 | D | $48.18 | 66,207.083 | D | |||
Common Shares | 10/30/2014 | P | 100 | A | $46.29 | 66,518.046(8) | D | |||
Common Shares | 2,468(9) | I | By spouse as custodian of children's accounts |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Received in exchange for 19,303.44 common shares of Tortoise Energy Capital Corporation ("TYY") plus cash in lieu of fractional shares of TYG in connection with merger of TYY into Tortoise Energy Infrastructure Corporation ("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. |
2. Includes 13,066.485 shares acquired under the TYG dividend reinvestment plan. |
3. Received in exchange for 6,717.606 common shares of Tortoise North American Energy Corporation ("TYN") plus cash in lieu of fractional shares of TYG in connection with 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. |
4. Received in exchange for 901.28 common shares of TYY plus cash in lieu of fractional shares of TYG in connection with 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. |
5. Includes 678.649 shares acquired under the TYG dividend reinvestment plan, and excludes 310.287 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. |
6. Received in exchange for 888.115 common shares of TYN plus cash in lieu of fractional shares of TYG in connection with 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. |
7. Consists of fractional share sales from accounts in connection with account transfers. |
8. Includes 210.963 shares acquired under the TYG dividend reinvestment plan. |
9. Indirect shares noted above held by spouse as custodian of children's accounts, but excluding 617 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. |
Remarks: |
H. Kevin Birzer | 10/31/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |