0000909012-13-000090.txt : 20130214 0000909012-13-000090.hdr.sgml : 20130214 20130214110727 ACCESSION NUMBER: 0000909012-13-000090 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TORTOISE ENERGY CAPITAL CORP CENTRAL INDEX KEY: 0001319869 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81667 FILM NUMBER: 13607869 BUSINESS ADDRESS: STREET 1: 11550 ASH STREET, SUITE 300 CITY: LEAWOOD STATE: KS ZIP: 66211 BUSINESS PHONE: 913-981-1020 MAIL ADDRESS: STREET 1: 11550 ASH STREET, SUITE 300 CITY: LEAWOOD STATE: KS ZIP: 66211 FORMER COMPANY: FORMER CONFORMED NAME: Tortoise MLP Investment CORP DATE OF NAME CHANGE: 20050304 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO LLC CENTRAL INDEX KEY: 0000763848 IRS NUMBER: 470875103 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO /CA/ DATE OF NAME CHANGE: 19990407 SC 13G 1 t307019.txt TTY UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.)* TORTOISE ENERGY CAPITAL CORPORATION ------------------------------------ (Name of Issuer) Mandatory Redeemable Preferred Shares ------------------------------------ (Title of Class of Securities) 89148J203 -------------------- (CUSIP Number) December 31, 2012 ------------------------------------------------------------- (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). PAGE 1 OF 4 PAGES -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NWQ Investment Management Company, LLC 47-0875103 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -- U.S.A. -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 200,200 NUMBER OF ----------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 272,700 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 272,700 -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.45% -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA -------------------------------------------------------------------------------- PAGE 2 OF 4 PAGES Item 1(a) Name of Issuer: Tortoise Energy Capital Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 11550 Ash Street Suite 300 Leawood, KS 66211 UNITED STATES Item 2(a) Name of Person Filing: NWQ Investment Management Company, LLC Item 2(b) Address of the Principal Office or, if none, Residence: 2049 Century Park East, 16th Floor Los Angeles, CA 90067 Item 2(c) Citizenship: Delaware -- U.S.A. Item 2(d) Title of Class of Securities: Mandatory Redeemable Preferred Shares Item 2(e) CUSIP Number: 89148J203 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (e) [X] An investment advisor in accordance with section 240.13d-1(b)(1)(ii)(E) Item 4 Ownership: a) Amount Beneficially Owned: 272,700 (b) Percent of Class: 5.45% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 200,200 (ii) shared power to vote or direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 272,700 (iv) shared power to dispose or to direct the disposition of: 0 PAGE 3 OF 4 PAGES Item 5 Ownership of Five Percent or Less of a Class: Not applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Securities reported on this Schedule 13G are beneficially owned by clients of the adviser, which may include investment companies registered under the Investment Company Act and/or employee benefit plans, pensions, Charitable funds or other institutional and high net worth clients. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not applicable. Item 8 Identification and Classification of Members of the Group: Not applicable. Item 9 Notice of Dissolution of a Group: Not applicable. Item 10 Certification: 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 such securities and were were not acquired in connection with or as a participant in any transaction having such 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: February 14, 2013 NWQ Investment Management Company, LLC By: /s/ JON D. BOSSE ----------------- Jon D. Bosse, CFA Chief Investment Officer PAGE 4 OF 4 PAGES