0001104659-14-031899.txt : 20140429 0001104659-14-031899.hdr.sgml : 20140429 20140429155420 ACCESSION NUMBER: 0001104659-14-031899 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20140429 DATE AS OF CHANGE: 20140429 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TORTOISE ENERGY INFRASTRUCTURE CORP CENTRAL INDEX KEY: 0001268533 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD BUSINESS ADDRESS: STREET 1: 11550 ASH STREET, SUITE 300 CITY: LEAWOOD STATE: KS ZIP: 66211 BUSINESS PHONE: 913-981-1020 MAIL ADDRESS: STREET 1: 11550 ASH STREET, SUITE 300 CITY: LEAWOOD STATE: KS ZIP: 66211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene USA Corp CENTRAL INDEX KEY: 0001051717 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21462 FILM NUMBER: 14793737 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: AMERUS GROUP CO/IA DATE OF NAME CHANGE: 20000921 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL HOLDING CO DATE OF NAME CHANGE: 19971217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Annuity & Life Co CENTRAL INDEX KEY: 0000837332 STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189] STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21462 FILM NUMBER: 14793738 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: Aviva Life & Annuity Co DATE OF NAME CHANGE: 20131023 FORMER NAME: FORMER CONFORMED NAME: AMERUS LIFE INSURANCE CO DATE OF NAME CHANGE: 19960726 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL LIFE INSURANCE CO DATE OF NAME CHANGE: 19950227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Annuity & Life Assurance Co of New York CENTRAL INDEX KEY: 0001590625 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21462 FILM NUMBER: 14793739 BUSINESS ADDRESS: STREET 1: 69 LYDECKER STREET CITY: NYACK STATE: NY ZIP: 10960 BUSINESS PHONE: 800-926-7599 MAIL ADDRESS: STREET 1: 69 LYDECKER STREET CITY: NYACK STATE: NY ZIP: 10960 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ATHENE ANNUITY & LIFE ASSURANCE Co CENTRAL INDEX KEY: 0000059252 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21462 FILM NUMBER: 14793740 BUSINESS ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 BUSINESS PHONE: 1-864-609-1000 MAIL ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 FORMER NAME: FORMER CONFORMED NAME: LIBERTY LIFE INSURANCE CO DATE OF NAME CHANGE: 19960202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STATE OF INCORPORATION: D0 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21462 FILM NUMBER: 14793741 BUSINESS ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 BUSINESS PHONE: 441-279-8400 MAIL ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 4 1 a4.xml 4 X0306 4 2013-05-09 0 0001268533 TORTOISE ENERGY INFRASTRUCTURE CORP TYG 0001527469 Athene Holding Ltd 96 PITTS BAY ROAD PEMBROKE D0 HM08 BERMUDA 0 0 1 0 0000059252 ATHENE ANNUITY & LIFE ASSURANCE Co 400 BROOKFIELD PARKWAY GREENVILLE SC 29607 0 0 1 0 0001590625 Athene Annuity & Life Assurance Co of New York 69 LYDECKER STREET NYACK NY 10960 0 0 1 0 0000837332 Athene Annuity & Life Co 7700 MILLS CIVIC PARKWAY WEST DES MOINES IA 50266 0 0 1 0 0001051717 Athene USA Corp 7700 MILLS CIVIC PARWAY WEST DES MOINES IA 50266 0 0 1 0 Preferred B Stock 2013-05-09 4 P 0 75000 10.00 A 1000800 I See footnote See Exhibit 99.1. [see signatures attached as Exhibit 99.2] 2014-04-28 EX-99.1 2 ex-99d1.htm EX-99.1 Exhibit 99

Exhibit 99.1

 

(1)         This Form 4 is being filed to report the acquisition of 75,000 shares of Preferred B Stock (the “Shares”) of Tortoise Energy Infrastructure Corp., a closed-end management investment company registered under the Investment Company Act of 1940, by Athene Annuity & Life Assurance Company of New York (“Athene New York”).  Following the transaction, Athene Holding Ltd. (“Athene Holding”) may be deemed the indirect beneficial owner of 1,000,800 Shares, of which 800,000 Shares are held of record by Athene Annuity & Life Assurance Company (“Athene Annuity”), and 200,800 Shares are held of record by Athene New York.

 

Athene Annuity and Life Company (“AAIA”) is the sole shareholder of Athene New York.  Athene Annuity is the sole shareholder of AAIA.  Athene USA Corporation (“AUSA”) is the sole shareholder of Athene Annuity, and Athene Holding is the sole shareholder of AUSA.

 

Athene Annuity disclaims beneficial ownership of the Shares held of record by Athene New York, Athene New York disclaims beneficial ownership of the Shares held of record by Athene Annuity, and each of Athene Holding, AUSA, and AAIA disclaims beneficial ownership of the Shares held of record by Athene Annuity and Athene New York, in each case except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

The address of Athene Annuity is 400 Brookfield Parkway, Greenville, South Carolina 29607.  The address of AUSA and AAIA is 7700 Mills Civic Parkway, West Des Moines, Iowa 50266.  The address of Athene New York is 69 Lydecker St., Nyack, New York 10960.  The address of Athene Holding is 96 Pitts Bay Road, Pembroke, Bermuda HM08.

 

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 EX-99.2 3 ex-99d2.htm EX-99.2 Exhibit 99

Exhibit 99.2

 

This Statement on Form 4 is filed by: (i) Athene Annuity & Life Assurance Company, (ii) Athene Annuity & Life Assurance Company of New York, (iii) Athene Annuity and Life Company, (iv) Athene USA Corporation, and (v) Athene Holding Ltd.

 

Name of Designated Filer:  Athene Holding Ltd.

Date of Event Requiring Statement:  May 9, 2013

Issuer Name and Ticker or Trading Symbol: Tortoise Energy Infrastructure Corp./TYG

 

 

ATHENE ANNUITY & LIFE ASSURANCE COMPANY

 

 

 

 

Dated: April 28, 2014

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

ATHENE ANNUITY & LIFE ASSURANCE COMPANY OF NEW YORK

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

ATHENE ANNUITY AND LIFE COMPANY

 

 

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

ATHENE USA CORPORATION

 

 

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

 

 

ATHENE HOLDING LTD.

 

 

 

 

 

By:

/s/ Tab Shanafelt

 

Name: Tab Shanafelt

 

Title: Chief Legal Officer and Secretary

 

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