- Initial Statement of Beneficial Ownership (3)
12 März 2010 - 11:27PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
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GUILFORD CAPITAL MANAGEMENT LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
9/15/2009
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3. Issuer Name
and
Ticker or Trading Symbol
TORTOISE ENERGY CAPITAL CORP [TYY]
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(Last)
(First)
(Middle)
4200 W. 115TH STREET, SUITE 100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ Affiliate of Inv Advisor
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(Street)
LEAWOOD, KS 66211
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Shares
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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Remarks:
This Form 3 is filed today and reports the same securities by the following six filers Guilford Capital Management, LLC, Ascent Investment Partners, LLC, The Nations Group Advisors, LLC, Mariner Asset Management, LLC, Palmer Square Capital Management, LLC and Palmer Square Capital Advisors, LLC
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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GUILFORD CAPITAL MANAGEMENT LLC
4200 W. 115TH STREET
SUITE 100
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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ASCENT INVESTMENT PARTNERS, LLC
4200 W. 115TH STREET
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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NATIONS GROUP ADVISORS, LLC
4200 W. 115TH STREET
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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MARINER ASSET MANAGEMENT, LLC
4200 W. 115TH STREET, SUITE 100
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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PALMER SQUARE CAPITAL MANAGEMENT, LLC
4200 W. 115TH STREET
SUITE 100
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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PALMER SQUARE CAPITAL ADVISORS LLC
4200 W. 115TH STREET
SUITE 100
LEAWOOD, KS 66211
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Affiliate of Inv Advisor
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Signatures
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/s/ Martin C. Bicknell, on behalf of other reporting persons
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3/10/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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