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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BIRZER H KEVIN 11550 ASH STREET SUITE 300 LEAWOOD, KS 66211 |
X |
H. Kevin Birzer | 10/31/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Automatic reinvestment of distribution by broker no made at the Tortoise MLP Fund, Inc.'s dividend reinvestment plan price. This transaction is being voluntarily reported early on Form 4. |
(2) | Includes 200.799 shares acquired under the Tortoise MLP Fund, Inc. dividend reinvestment plan. |
(3) | Includes 102.077 shares acquired under the Tortoise MLP Fund, Inc. dividend reinvestment plan, and excludes 104.778 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 reports. |
(4) | Consists of fractional share sales from accounts in connection with account transfers. |
(5) | Includes 9.04 shares acquired under the Tortoise MLP Fund, Inc. dividend reinvestment plan. |
(6) | Includes 18.079 shares acquired under the Tortoise MLP Fund, Inc. dividend reinvestment plan. |
(7) | Indirect shares noted above held by spouse as custodian of children's accounts, but excluding 126 shares held by adult child no longer living at home and in which the reporting person no longer has a reportable beneficial interest . |