SEC Form 4 · accession 0000899243-17-011218
Kayne Anderson Energy Infrastructure Fund, Inc. · KYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Dec 14, 2015
Accepted (ET)
Apr 28, 2017 · 5:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001293613
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| 3.71% Series V Senior Unsecured Notes due May 26, 2016F2 | Dec 14, 2015 | J | 41,000,000 | $41,287,000.00 | D | 0 | I | Held through subsidiaries |
| 4.38% Series W Senior Unsecured Notes due May 26, 2018F4 | Jan 20, 2016 | J | 2,200,000 | $2,347,400.00 | D | — | I | Held through subsidiaries |
| 4.38% Series W Senior Unsecured Notes due May 26, 2018F4 | Jan 28, 2016 | J | 4,620,000 | $4,712,400.00 | D | — | I | Held through subsidiaries |
| 4.38% Series W Senior Unsecured Notes due May 26, 2018F4 | Feb 18, 2016 | J | 8,360,000 | $8,527,200.00 | D | — | I | Held through subsidiaries |
| 3.57% Series FF Senior Unsecured Notes due April 16, 2023F6 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.67% Series GG Senior Unsecured Notes due April 16, 2025F7 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.93% Series KK Senior Unsecured Notes due July 30, 2024F8 | holding | — | — | — | — | I | Held through subsidiaries | |
| 2.89% Series LL Senior Unsecured Notes due October 29, 2020F9 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.26% Series MM Senior Unsecured Notes due October 29, 2022F10 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.46% Series OO Senior Unsecured Notes due October 29, 2024F11 | holding | — | — | — | — | I | Held through subsidiaries | |
| Series H Mandatorily Redeemable Preferred SharesF12 | holding | — | — | — | 800,000 | I | Held through subsidiaries | |
| Series I Mandatorily Redeemable Preferred SharesF13 | holding | — | — | — | 240,000 | I | Held through subsidiaries |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 100.7% of the face value of the redeemed securities.
- F10AHAC, Lexington and NUF directly hold $4,701,500.00 principal amount, $298,500.00 principal amount and $5,000,000.00 principal amount, respectively, of the 3.26% Series MM Senior Unsecured Notes due October 29, 2022 (the "Series MM Notes"). AIG is an indirect beneficial owner of the Series MM Notes.
- F11AGLIC and Lexington directly hold $14,750,000.00 principal amount and $250,000.00 principal amount, respectively, of the 3.46% Series OO Senior Unsecured Notes due October 29, 2024 (the "Series OO Notes"). AIG is an indirect beneficial owner of the Series OO Notes.
- F12AGLIC and AHAC directly hold 532,000 shares and 268,000 shares, respectively, of the Series H Mandatory Redeemable Preferred Shares (the "Series H MRPS"). AIG is an indirect beneficial owner of the Series H MRPS.
- F13AHAC and VALIC directly hold 80,000 shares and 160,000 shares, respectively, of the Series I Mandatory Redeemable Preferred Shares (the "Series I MRPS"). AIG is an indirect beneficial owner of the Series I MRPS.
- F2Prior to the redemption on December 14, 2015, American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held $21,000,000.00 principal amount and $20,000,000.00 principal amount, respectively, of the 3.71% Series V Senior Unsecured Notes due May 26, 2016.
- F3The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 106.7% of the face value of the redeemed securities.
- F4The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of AIG, directly holds the 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes"). AIG is an indirect beneficial owner of the Series W Notes.
- F5The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities.
- F6American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, and VALIC directly hold $4,000,000.00 principal amount and $5,000,000.00 principal amount, respectively, of the 3.57% Series FF Senior Unsecured Notes due April 16, 2023 (the "Series FF Notes"). AIG is an indirect beneficial owner of the Series FF Notes.
- F7Eaglestone Reinsurance Company ("ERC"), an indirect wholly owned subsidiary of AIG, and VALIC directly hold $2,300,000.00 principal amount and $7,700,000.00 principal amount, respectively, of the 3.67% Series GG Senior Unsecured Notes due April 16, 2025 (the "Series GG Notes"). AIG is an indirect beneficial owner of the Series GG Notes.
- F8AHAC and USLIC directly hold $6,775,000.00 principal amount and $13,225,000.00 principal amount, respectively, of the 3.93% Series KK Senior Unsecured Notes due July 30, 2024 (the "Series KK Notes"). AIG is an indirect beneficial owner of the Series KK Notes.
- F9AHAC, Lexington Insurance Company ("Lexington"), also an indirectly wholly owned subsidiary of AIG, and National Union Fire Insurance Company of Pittsburgh, PA ("NUF"), also an indirectly wholly owned subsidiary of AIG, directly hold $16,014,900.00 principal amount, $985,100.00 principal amount and $16,000,000.00 principal amount, respectively, of the 2.89% Series LL Senior Unsecured Notes due October 29, 2020 (the "Series LL Notes"). AIG is an indirect beneficial owner of the Series LL Notes.
Remarks
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.