Amended Statement of Beneficial Ownership (3/a)
October 13 2020 - 8:52AM
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
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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
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Aristides Capital LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/1/2020
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3. Issuer Name and Ticker or Trading Symbol
TORTOISE ENERGY INDEPENDENCE FUND, INC. [NDP]
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(Last)
(First)
(Middle)
25 SOUTH HURON, SUITE 2A |
4. 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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(Street)
TOLEDO, OH 43604
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 10/7/2020
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 64683 | I | By: Aristides Fund QP, LP (1) |
Common Stock | 120126 | I | By: Aristides Fund LP (2) |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Aristides Fund QP, LP (the "3c7 Fund") is a private investment vehicle. The 3c7 Fund directly owns these securities reported herein. Aristides Capital LLC (the "General Partner") is the general partner of the 3c7 Fund. Christopher M. Brown is the controlling person of the General Partner. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
(2) | Aristides Fund LP (the "3c1 Fund") is a private investment vehicle. The 3c1 Fund directly owns these securities reported herein. The General Partner is the general partner of the 3c1 Fund. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
Remarks: This amendment to the Form 3 originally filed on October 7, 2020 (the "Original Form 3") is being filed to add Christopher M. Brown as a Reporting Person. Although Mr. Brown was disclosed in the Original Form 3 and signed the Original Form 3 on behalf of the Reporting Persons, he was unable to be included as a Reporting Person himself as he did not have codes for the EDGAR system. Mr. Brown has since obtained such codes and thus is being added as a Reporting Person. The line items herein have not changed from the Original Form 3, but have been included in order to gain access to the EDGAR system, which will not accept filings without any line items. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Aristides Capital LLC 25 SOUTH HURON, SUITE 2A TOLEDO, OH 43604 |
| X |
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Aristides Fund QP, LP 25 SOUTH HURON, SUITE 2A TOLEDO, OH 43604 |
| X |
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ARISTIDES FUND LP 25 SOUTH HURON, SUITE 2A TOLEDO, OH 43604 |
| X |
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Brown Christopher M. 25 SOUTH HURON, SUITE 2A TOLEDO, OH 43604 |
| X |
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Signatures
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/s/ Christopher M. Brown, for himself and as the Managing Member of the General Partner (for itself and on behalf of the 3c7 Fund and the 3c1 Fund) | | 10/13/2020 |
**Signature of Reporting Person | Date |
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