Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Tortoise MLP Fund, Inc.
(Name of Issuer)
Mandatory Redeemable Preferred Shares
(Title of Class of Securities)
89148B4#5; 89148B5#4
(CUSIP Number)
December 31, 2015
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE 13G
| CUSIP No. 89148B4#5; 89148B5#4 | Page 2 of 5 Pages |
| (1) | Names of reporting persons
United of Omaha Life Insurance Company | |||||
| (2) | Check the appropriate box if a member of a group (see instructions) (a) ¨ (b) ¨
| |||||
| (3) | SEC use only
| |||||
| (4) | Citizenship or place of organization
Nebraska | |||||
| Number of shares beneficially owned by each reporting person with: |
(5) | Sole voting power
400,000 | ||||
| (6) | Shared voting power
| |||||
| (7) | Sole dispositive power
400,000 | |||||
| (8) | Shared dispositive power
| |||||
| (9) |
Aggregate amount beneficially owned by each reporting person
400,000 | |||||
| (10) | Check if the aggregate amount in Row (9) excludes certain shares (see instructions)
| |||||
| (11) | Percent of class represented by amount in Row (9)
9.09% as of December 15, 2015 | |||||
| (12) | Type of reporting person (see instructions)
IC | |||||
EXPLANATORY NOTE
This filing constitutes Amendment No. 1 to the Schedule 13G originally filed with the Securities and Exchange Commission (the “SEC”) by United of Omaha Life Insurance Company (“United”) on July 31, 2015. This Amendment No. 1 is being filed to satisfy United’s obligations under Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Act”), to report changes in its beneficial ownership of Tortoise MLP Fund, Inc. Mandatory Redeemable Preferred Shares.
Item 1.
Item 1(a) Name of issuer: Tortoise MLP Fund, Inc.
Item 1(b) Address of issuer’s principal executive offices:
11550 Ash Street, Suite 300
Leawood, KS 66211
Item 2.
2(a) Name of person filing: United of Omaha Life Insurance Company
2(b) Address or principal business office or, if none, residence:
Mutual of Omaha Plaza
Omaha, NE 68175
2(c) Citizenship: Nebraska
2(d) Title of class of securities: Mandatory Redeemable Preferred Shares
2(e) CUSIP No.: 89148B4#5; 89148B5#4
Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
| a. | ¨ Broker or dealer registered under Section 15 of the Act; |
| b. | ¨ Bank as defined in Section 3(a)(6) of the Act; |
| c. | x Insurance company as defined in Section 3(a)(19) of the Act; |
| d. | ¨ Investment company registered under Section 8 of the Investment Company Act of 1940; |
| e. | ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
| f. | ¨ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
| g. | ¨ A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
| h. | ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| i. | ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
| j. | ¨ A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
| k. | ¨ Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| a. | Amount beneficially owned: 400,000 shares |
| b. | Percent of class 9.09% |
| c. | Number of shares as to which such person has: |
| i. | Sole power to vote or to direct the vote 400,000 |
| ii. | Shared power to vote or to direct the vote 0 |
| iii. | Sole power to dispose or to direct the disposition of 400,000 |
| iv. | Shared power to dispose or to direct the disposition of 0 |
Instruction. For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1).
Item 5.
Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ¨.
Instruction. Dissolution of a group requires a response to this item.
Item 6. Ownership of More than 5 Percent on Behalf of Another Person
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
Not Applicable
Item 8. Identification and Classification of Members of the Group
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certifications
The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b):
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
Signature.
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated January 8, 2016
Signature /s/ Jan M. Brockman
Name/Title Jan M. Brockman, Assistant Secretary