0001752724-20-021420.txt : 20200212 0001752724-20-021420.hdr.sgml : 20200212 20200212144125 ACCESSION NUMBER: 0001752724-20-021420 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20191130 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kayne Anderson MLP/Midstream Investment Co CENTRAL INDEX KEY: 0001293613 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-21593 FILM NUMBER: 20603421 BUSINESS ADDRESS: STREET 1: 811 MAIN STREET STREET 2: 14TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-425-0242 MAIL ADDRESS: STREET 1: 811 MAIN STREET STREET 2: 14TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: Kayne Anderson MLP Investment CO DATE OF NAME CHANGE: 20040813 FORMER COMPANY: FORMER CONFORMED NAME: Kayne Anderson Midstream Investment CO DATE OF NAME CHANGE: 20040614 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001293613 XXXXXXXX 811-21593 false false false N-2 Kayne Anderson MLP/Midstream Investment Co 811-21593 0001293613 549300H9ZCLGQEKXQY57 811 Main Street 14th Floor Houston 77002-6119 US-TX US 713-493-2020 Ultimus Fund Solutions, LLC 225 Pictoria Drive Suite 450 Cincinnati 45246-1617 513-587-3400 Accounts, books, and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules promulgated thereunder N N N-2 Y William L. Thacker N/A N James C. Baker 002930819 Y Anne K. Costin N/A N Kevin S. McCarthy 001308931 Y William R. Cordes N/A N William H. Shea, Jr. N/A N Barry R. Pearl N/A N Albert L. Richey N/A N Michael J. O'Neil 006043576 1800 Avenue of the Stars Third Floor Los Angeles 90067 XXXXXX N N N N N N N Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 N UBS Securities, LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 N N PricewaterhouseCoopers LLP 238 N/A N N N N N N Kayne Anderson MLP/Midstream Investment Co 549300H9ZCLGQEKXQY57 N 0 0 0 N/A Y N N N Other N/A 0.00 0.00 N/A Y Y N N KA Fund Advisors, LLC 801-67089 000141037 N/A N American Stock Transfer and Trust Company, LLC 84-00416 254900TS5EWP83BEOU02 N N N Interactive Data Pricing and Reference Data LLC 801-55222 SEC File No. N N JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N Ultimus Fund Solutions, LLC 084-05829 SEC File No. N N N J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 76014.88 CITIGROUP GLOBAL MARKETS, INC (WAS SSB) 008-08177 000007059 MBNUM2BPBDO7JBLYG310 138415.91999999 UBS SECURITIES, INC. 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 145797.73 MORGAN STANLEY and CO., LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 50580 GOLDMAN, SACHS and CO. 008-00129 000000361 FOR8UP27PHTHYVLBNG30 73962 WELLS FARGO SECURITIES, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 126265.36 LIQUIDNET, INC. 008-52461 000103987 213800HSKBBO1GCVRG79 110044.62 JONES TRADING INSTITUTIONAL SERVICES LLC 008-26089 000006888 2138008JJ5PA8H5UIL69 77532.06 BARCLAYS CAPITAL, INC. 008-41342 000019714 AC28XWWI3WIBK2824319 211466 INSTINET LLC 008-23669 000007897 549300MGMN3RKMU8FT57 52756.07999999 1283476.77 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 2087500 CREDIT SUISSE FIRST BOSTON (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 7127750 9215250 N 2032591016 Preferred stock MRPS - Series C Bonds Senior Unsecured Note - Series JJ Bonds Senior Unsecured Note - Series OO Bonds Senior Unsecured Note - Series FF Preferred stock MRPS - Series K Bonds Senior Unsecured Note - Series LL Preferred stock MRPS - Series I Bonds Senior Unsecured Note - Series MM Bonds Senior Unsecured Note - Series CC Bonds Senior Unsecured Note - Series GG Preferred stock MRPS - Series F Common stock Common Bonds Senior Unsecured Note - Series EE Bonds Senior Unsecured Note - Series KK Preferred stock MRPS - Series J Bonds Senior Unsecured Note - Series NN Preferred stock MRPS - Series H Bonds Senior Unsecured Note - Series AA Bonds Senior Unsecured Note - Series BB N N N N N N 2.6 5.2 12.55000000 13.89 false false true false false false false false false true false INTERNAL CONTROL RPT 2 KYN_fp0050465_g1aiii.htm

[PWC LOGO APPEARS HERE]

Report of Independent Registered Public Accounting Firm

To the Board of Directors and Stockholders of Kayne Anderson MLP/Midstream Investment Company

In planning and performing our audit of the financial statements of Kayne Anderson MLP/Midstream Investment Company (the “Company”) as of and for the year ended November 30, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Company’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Company’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Company's internal control over financial reporting.

The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Company’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB.

PricewaterhouseCoopers LLP, 601 S. Figueroa, Los Angeles, CA 90017

T: (213) 356-6000, F: (813) 637-4444, www.pwc.com/us

However, we noted no deficiencies in the Company’s internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be material weaknesses as defined above as of November 30, 2019.

This report is intended solely for the information and use of the Board of Directors of Kayne Anderson MLP/Midstream Investment Company and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ PricewaterhouseCoopers LLP

Los Angeles, CA

January 28, 2020

2 of 2

ITEM 405 REG S-K 3 fp0050028_g1biv.htm

Attachment to N-CEN Item G.1.b.iv. (KYN)

SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

Section 30(h) of the 1940 Act and Section 16(a) of the 1934 Act require the Registrant’s directors and executive officers, investment adviser, affiliated persons of the investment adviser and persons who own more than 10% of a registered class of the Registrant’s equity securities to file Section 16(a) forms with the SEC and NYSE reporting their affiliation with the Registrant, their ownership and changes in their ownership of the Registrant’s shares. Those persons and entities are required by SEC regulations to furnish the Registrant with copies of all Section 16(a) forms they file. Based solely on a review of those Section 16(a) forms furnished to it, the Registrant believes that all such filing requirements were met on a timely basis during the last fiscal year, except with respect to the event described below.

On June 27, 2019, Kayne Anderson Capital Advisors, L.P., which is the parent company of Kayne Anderson Fund Advisors, LLC, the Registrant’s investment adviser, filed a Form 4 with respect to an acquisition of the Registrant’s shares on June 20, 2019 by William H. Thacker, a member of the Registrant’s Board of Directors. That filing should have been made by June 24, 2019.