Statement of Changes in Beneficial Ownership (4)
June 02 2020 - 10:54AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HOWARD RICHARD PAGE |
2. Issuer Name and Ticker or Trading Symbol
Cushing Energy Income Fund
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SRF
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BOILING POINT RESOURCES LLC, P.O. BOX 1401 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/29/2020 |
(Street)
GUILFORD, CT 06437
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 5/29/2020 | | J | | 368804 | D | (1) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | In the merger of SRF with and into The Cushing MLP & Infrastructure Total Return Fund ("SRV") (the "Merger"), the outstanding common shares of beneficial interest of SRF ("SRF Common Shares") were converted into common shares of beneficial interest of SRV ("SRV Common Shares"), the aggregate net asset value ("NAV") of which equaled the aggregate NAV of the outstanding SRF Common Shares immediately prior to the Merger, less the applicable costs of the Merger (though SRF shareholders may have received cash for fractional shares). Among those SRF Common Shares converted into SRV Common Shares in the Merger are the 368,804 SRF Common Shares reported above, and the aggregate NAV of the SRV Common Shares (and the value of the cash for fractional shares) received therefor was, as of the close of business on May 29, 2020, approximately $1,906,652.79. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HOWARD RICHARD PAGE C/O BOILING POINT RESOURCES LLC P.O. BOX 1401 GUILFORD, CT 06437 |
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Signatures
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/s/ Max Vogel, Attorney-in-Fact | | 6/2/2020 |
**Signature of Reporting Person | Date |
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