0001104659-14-031892.txt : 20140429 0001104659-14-031892.hdr.sgml : 20140429 20140429155031 ACCESSION NUMBER: 0001104659-14-031892 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20131002 FILED AS OF DATE: 20140429 DATE AS OF CHANGE: 20140429 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TORTOISE ENERGY CAPITAL CORP CENTRAL INDEX KEY: 0001319869 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 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 FORMER COMPANY: FORMER CONFORMED NAME: Tortoise MLP Investment CORP DATE OF NAME CHANGE: 20050304 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21725 FILM NUMBER: 14793699 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21725 FILM NUMBER: 14793700 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 CENTRAL INDEX KEY: 0000059252 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21725 FILM NUMBER: 14793701 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21725 FILM NUMBER: 14793702 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 3 1 a3.xml 3 X0206 3 2013-10-02 0 0001319869 TORTOISE ENERGY CAPITAL CORP TYY 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 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 Senior Notes 17800000 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 99.1

 

(1)         The amount reported includes an aggregate of $17,800,000 principal amount of senior notes (the “Notes”) of Tortoise Energy Capital Corp., a closed-end management investment company registered under the Investment Company Act of 1940, all of which are held of record by Athene Annuity and Life Company (“AAIA”).

 

Athene Annuity & Life Assurance Company (“Athene Annuity”) is the sole shareholder of AAIA.  Athene USA Corporation (“AUSA”) is the sole shareholder of Athene Annuity.  Athene Holding Ltd. (“Athene Holding”) is the sole shareholder of AUSA.  Athene Holding acquired AUSA (formerly known as Aviva USA Corporation) and AAIA (formerly known as Aviva Life and Annuity Company), on October 2, 2013.  Prior to the acquisition by Athene Holding, AAIA had purchased $11,800,000 principal amount of the Notes on December 21, 2007 and $6,000,000 principal amount of the Notes on September 17, 2013.

 

Each of Athene Holding, AUSA, and Athene Annuity disclaims beneficial ownership of the Notes held of record by AAIA, 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 AAIA and AUSA is 7700 Mills Civic Parkway, West Des Moines, Iowa 50266.  The address of Athene Holding is 96 Pitts Bay Road, Pembroke, Bermuda HM08.

 

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

Exhibit 99.2

 

This Statement on Form 3 is filed by: (i) Athene Annuity & Life Assurance Company, (ii) Athene Annuity and Life Company, (iii) Athene USA Corporation, and (iv) Athene Holding Ltd.

 

Name of Designated Filer:  Athene Holding Ltd.

Date of Event Requiring Statement:  October 2, 2013

Issuer Name and Ticker or Trading Symbol:  Tortoise Energy Capital Corp./TYY

 

 

ATHENE ANNUITY & LIFE ASSURANCE COMPANY

 

 

 

 

Dated: April 28, 2014

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