SEC Form 5
FORM 5 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
| Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol TORTOISE ENERGY INFRASTRUCTURE CORP [ TYG ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year) 11/30/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) 01/13/2017 | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Shares | 03/01/2016 | P4 | 2.72(1) | A | $25.1 | 111.87 | I | By spouse | |||||||
Common Shares | 03/01/2016 | P4 | 20.38(1) | A | $25.1 | 7,835.83(2)(5) | D | ||||||||
Common Shares | 06/01/2016 | P4 | 2.48(1) | A | $28.25 | 111.87 | I | By spouse | |||||||
Common Shares | 06/01/2016 | P4 | 18.58(1) | A | $28.25 | 7,835.83(5) | D | ||||||||
Common Shares | 08/04/2016 | S4(3) | 10 | D | $30.75 | 7,835.83(5) | D | ||||||||
Common Shares | 08/09/2016 | S4(3) | 26 | D | $31.43 | 7,835.83(5) | D | ||||||||
Common Shares | 09/01/2016 | L | 17.61(1) | A | $30.46 | 836.54(4) | I | By adult child living at home | |||||||
Common Shares | 09/01/2016 | L | 2.35(1) | A | $30.46 | 111.87 | I | By spouse | |||||||
Common Shares | 12/22/2015(5) | P4(5) | 134(5) | A | $25.53 | 7,835.83(5) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Automatic reinvestment of distribution by broker not made at the Tortoise Energy Infrastructure Corporation dividend reinvestment plan price. |
2. Includes 239.84 shares acquired under the Tortoise Energy Infrastructure Corporation dividend reinvestment plan, and excludes 818.93 shares formerly reported as direct beneficial ownership but now being reported as indirect beneficial ownership by adult child living at home. |
3. Non-discretionary transaction; transaction by reporting person's investment adviser in account over which reporting person has no discretion. |
4. Includes 818.93 shares formerly reported as direct beneficial ownership but now held by adult child living at home. |
5. This Form 5 Amendment is being filed to correct the original Form 5 filing for fiscal year end 11/30/16 to include certain non-discretionary purchases by the reporting person's investment adviser in an account over which the reporting person has no discretion which were inadvertently excluded from the original Form 5 filing. |
P. Bradley Adams | 01/02/2018 | |
** 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. |