SEC Form 4 · accession 0001209191-18-026238
Kayne Anderson Energy Infrastructure Fund, Inc. · KYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Apr 26, 2018
Accepted (ET)
Apr 26, 2018 · 4:36 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 |
|---|---|---|---|---|---|---|---|---|
| 4.38% Series W Senior Unsecured Notes due May 26, 2018F2 | Apr 26, 2018 | J | 6,820,000 | $6,925,380.37 | D | — | I | Held through subsidiaries |
| 3.57% Series FF Senior Unsecured Notes due April 16, 2023F3 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.67% Series GG Senior Unsecured Notes due April 16, 2025F4 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.93% Series KK Senior Unsecured Notes due July 30, 2024F5 | holding | — | — | — | — | I | Held through subsidiaries | |
| 2.89% Series LL Senior Unsecured Notes due October 29, 2020F6 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.26% Series MM Senior Unsecured Notes due October 29, 2022F7 | holding | — | — | — | — | I | Held through subsidiaries | |
| 3.46% Series OO Senior Unsecured Notes due October 29, 2024F8 | holding | — | — | — | — | I | Held through subsidiaries | |
| Series H Mandatory Redeemable Preferred SharesF9 | holding | — | — | — | 800,000 | I | Held through subsidiaries | |
| Series I Mandatory Redeemable Preferred SharesF10 | holding | — | — | — | 240,000 | I | Held through subsidiaries |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes") were called for redemption by the issuer at a price equal to the principal amount of $6,820,000 of the redeemed securities plus accrued interest of $105,380.37 (the "Redemption").
- F10AHAC 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, The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held the Series W Notes. Prior to the Redemption, AIG was an indirect beneficial owner of the Series W Notes.
- F3American 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.
- F4Eaglestone 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.
- F5AHAC and The United States Life Insurance Company in the City of New York ("USLIC"), also an indirect wholly owned subsidiary of AIG, 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.
- F6AHAC, 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.
- F7AHAC, 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.
- F8American General Life Insurance Company ("AGLIC") 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.
- F9AGLIC 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.
Remarks
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.