FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Kayne Anderson MLP/Midstream Investment Co [ KYN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/24/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
3.95% Series CC Senior Unsecured Notes due May 3, 2022 | 04/24/2020 | J(1) | 7,431,596.03 | D | $7,607,838.39(8) | $1,361,196.76 | D | |||
3.57% Series FF Senior Unsecured Notes due April 16, 2023 | 04/24/2020 | J(2) | 5,071,150.58 | D | $5,184,723.22(8) | $928,849.42 | D | |||
3.67% Series GG Senior Unsecured Notes due April 16, 2025 | 04/24/2020 | J(2) | 5,916,342.34 | D | $6,050,898.04(8) | $1,083,657.66 | D | |||
3.93% Series KK Senior Unsecured Notes due July 30, 2024 | 04/24/2020 | J(3) | 14,368,259.95 | D | $14,708,009.43(8) | $2,631,740.05 | D | |||
3.46% Series OO Senior Unsecured Notes due October 29, 2024 | 04/24/2020 | J(4) | 18,594,218.76 | D | $19,003,549.83(8) | $3,405,781.24 | D | |||
Series H Mandatory Redeemable Preferred Shares | 04/24/2020 | J(5) | 217,049 | D | $5,524,966.47(8) | 222,951 | D | |||
Series I Mandatory Redeemable Preferred Shares | 04/24/2020 | J(6) | 78,927 | D | $2,008,486.81(8) | 81,073 | D | |||
Series M Mandatory Redeemable Preferred Shares | 04/24/2020 | J(7) | 98,659 | D | $2,509,646.59(8) | 101,341 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated May 3, 2012. |
2. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated April 16, 2013. |
3. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated April 30, 2014. |
4. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated October 29, 2014. |
5. These mandatory redeemable preferred shares ("MRPS") were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS. |
6. These MRPS were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS. |
7. These MRPS were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS. |
8. The prices in this column reflect the aggregate price received for the prepayments. |
By: Nuveen Alternatives Advisors, LLC, its investment manager; By: /s/ Trevor Sanford, Associate General Counsel | 04/28/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |