0001104659-14-071336.txt : 20141015 0001104659-14-071336.hdr.sgml : 20141015 20141010171957 ACCESSION NUMBER: 0001104659-14-071336 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140623 FILED AS OF DATE: 20141010 DATE AS OF CHANGE: 20141010 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: 141153119 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: 141153120 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: 141153121 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: 141153122 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: 141153123 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 2014-06-23 1 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 Series C Mandatory Redeemable Preferred Stock 2014-06-23 4 J 0 250000 0.00 A 250000 I See footnote Series D Mandatory Redeemable Preferred Stock 2014-10-09 4 P 0 480000 10.00 A 480000 I See footnote Series E Mandatory Redeemable Preferred Stock 2014-10-09 4 P 0 280000 10.00 A 280000 I See footnote See Exhibit 99.1. [see signatures attached as Exhibit 99.2] 2014-10-10 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

(1)         This Form 4 is being filed to report the acquisition of 250,000 shares of Series C Mandatory Redeemable Preferred Shares (the “Series C Stock”) of Tortoise Energy Infrastructure Corporation, a closed-end management investment company registered under the Investment Company Act of 1940 (the “Issuer”), that were received by Athene Annuity & Life Assurance Company (“Athene Annuity”) in exchange for 250,000 shares of Series C Mandatory Redeemable Preferred Shares issued by Tortoise Energy Capital Corporation (“Tortoise Capital”) upon the closing of the merger of Tortoise Capital with and into the Issuer on June 23, 2014.  This Form 4 also reflects the acquisition on October 9, 2014 of 480,000 shares of the Issuer’s Series D Mandatory Redeemable Preferred Shares (the “Series D Stock”) and 280,000 shares of the Issuer’s Series E Mandatory Redeemable Preferred Shares (the “Series E Stock”) by Athene Annuity and Life Company (“AAIA”).  Following the reported transactions, the amount of preferred stock of the Issuer held of record by the reporting persons includes: (i) 800,000 shares of the Issuer’s Series B Mandatory Redeemable Preferred Shares (the “Series B Stock”) held of record by Athene Annuity; (ii) 200,800 shares of the Issuer’s Series B Stock held of record by Athene Annuity & Life Assurance Company of New York (“Athene New York”); (iii) 250,000 shares of the Issuer’s Series C Stock held of record by Athene Annuity; (iv) 480,000 shares of the Issuer’s Series D Stock held of record by AAIA; and (v) 280,000 shares of the Issuer’s Series E Stock held of record by AAIA.

 

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 Ltd. (“Athene Holding”) is the sole shareholder of AUSA.

 

Athene Annuity, AAIA and Athene New York each disclaim beneficial ownership of the shares of Series B Stock, Series C Stock, Series D Stock and Series E Stock held of record by any of the reporting persons other than themselves, and AUSA and Athene Holding each disclaims beneficial ownership of the shares of Series B Stock, Series C Stock, Series D Stock and Series E Stock held of record by Athene Annuity, Athene New York or 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 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.

 

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

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:  June 23, 2014

Issuer Name and Ticker or Trading Symbol: Tortoise Energy Infrastructure Corporation [TYG]

 

 

ATHENE ANNUITY & LIFE ASSURANCE COMPANY

 

 

 

 

 

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