SEC Form 4 · accession 0000899243-16-028749
Kayne Anderson Energy Total Return Fund, Inc. · KYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
VOYA INSURANCE & ANNUITY Co
10% Owner
Voya Financial, Inc.
10% Owner
Voya Holdings, Inc.
10% Owner
Period of report
Jan 13, 2016
Accepted (ET)
Sep 9, 2016 · 4:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001322652
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Mandatory Redeemable Preferred SharesF2 | Jan 13, 2016 | J | 133,334 | $25.66 | D | 533,333 | I | By Subsidiary |
| Series A Mandatory Redeemable Preferred SharesF2 | Sep 7, 2016 | J | 533,333 | $25.02 | D | 0 | I | By Subsidiary |
| Series C Mandatory Redeemable Preferred SharesF2 | Sep 7, 2016 | P | 800,000 | $20,000,000.00 | A | 800,000 | I | By Subsidiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 13, 2016, the Issuer redeemed $10,000,000 of its Series A Mandatory Redeemable Preferred Shares.
- F2Most of the securities reported herein are directly beneficially owned by Voya Retirement Insurance and Annuity Company, Voya Insurance and Annuity Company, Security Life of Denver Insurance Company, ReliaStar Life Insurance Company and ReliaStar Life Insurance Company of New York, each a direct or indirect subsidiary of Voya Financial, Inc. and/or Voya Holdings Inc. With respect to the remainder of the securities reported herein, Voya Investment Management, LLC, a subsidiary of Voya Holdings Inc., in its capacity as investment adviser to a third-party owner of such securities, has been delegated certain voting rights pursuant to an investment management contract with such third party, making Voya Investment Management, LLC a beneficial owner of such securities solely for regulatory reporting purposes. Voya Holdings Inc. is a direct subsidiary of Voya Financial, Inc. Voya Financial, Inc. is the indirect beneficial owner of the securities reported herein.
- F3On September 7, 2016, the Issuer redeemed $40,000,000 of its Series A Mandatory Redeemable Preferred Shares.