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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Swank Capital, LLC 3300 OAK LAWN AVENUE SUITE 650 DALLAS, TX 75219 |
Affiliate | |||
Swank Energy Income Advisors, LP 3300 OAK LAWN AVENUE SUITE 650 DALLAS, TX 75219 |
Affiliate | |||
Swank Jerry V 3300 OAK LAWN AVENUE DALLAS, TX 75219 |
Affiliate |
/s/ Jerry V. Swank, Manager of Swank Capital, LLC | 12/27/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jerry V. Swank, Manager of Swank Capital, LLC, the General Partner of Swank Energy Income Advisors, LP | 12/27/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jerry V. Swank | 12/27/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The 60,000 common shares of Cushing MLP Total Return Fund were purchased by a private investment fund that is managed by Swank Energy Income Advisors, LP. |
(2) | An additional 4,000 common shares of Cushing MLP Total Return Fund are held by a second private investment fund that is also managed by Swank Energy Income Advisors, LP, as previously reported on a Form 4 filed on 10/25/07. Swank Energy Income Advisors receives an allocation of net profits and an asset based fee from these funds. Jerry V. Swank ("Mr. Swank") serves as the manager of the general partner of Swank Energy Income Advisors, LP. |
(3) | The filing of this Form 4 shall not be construed as an admission that Mr. Swank is or was, for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any of the common shares of Cushing MLP Total Return Fund that may be held by any private investment funds that are ultimately managed by Mr. Swank. Pursuant to Rule 16a-1, Mr. Swank disclaims such beneficial ownership beyond his pecuniary interest in these funds. |
(4) | In addition, Mr. Swank holds 4,000 common shares of Cushing MLP Total Return Fund in a personal account, which were previously reported on a Form 4 filed on 08/29/2007. |