SEC Form 4 · accession 0000899243-17-011221
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC. · KMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
Sep 24, 2015
Accepted (ET)
Apr 28, 2017 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001500096
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Mandatory Redeemable Preferred SharesF2 | Dec 24, 2015 | J | 133,333 | $25.50 | D | 266,667 | I | Held through subsidiaries |
| Series B Mandatory Redeemable Preferred Shares | Feb 16, 2016 | J | 266,667 | $25.50 | D | 0 | D | |
| Series C Mandatory Redeemable Preferred SharesF3 | Feb 16, 2016 | J | 150,000 | $25.50 | D | 1,050,000 | I | Held through subsidiaries |
| 3.93% Series A Senior Unsecured Notes due March 3, 2016F5 | Sep 24, 2015 | J | 5,454,545 | $5,498,181.81 | D | — | I | Held through subsidiaries |
| 3.93% Series A Senior Unsecured Notes due March 3, 2016F5 | Sep 29, 2015 | J | 3,636,364 | $3,665,454.55 | D | — | I | Held through subsidiaries |
| 3.93% Series A Senior Unsecured Notes due March 3, 2016 | Dec 7, 2015 | J | 909,091 | $914,545.46 | D | 0 | D | |
| 4.62% Series B Senior Unsecured Notes due March 3, 2018F8 | Dec 7, 2015 | J | 2,250,000 | $2,400,750.00 | D | — | I | Held through subsidiaries |
| 4.62% Series B Senior Unsecured Notes due March 3, 2018F8 | Dec 14, 2015 | J | 3,000,000 | $3,195,000.00 | D | — | I | Held through subsidiaries |
| 4.62% Series B Senior Unsecured Notes due March 3, 2018F8 | Jan 12, 2016 | J | 2,850,000 | $3,040,950.00 | D | — | I | Held through subsidiaries |
| 4.62% Series B Senior Unsecured Notes due March 3, 2018 | Feb 18, 2016 | J | 900,000 | $918,000.00 | D | 0 | D | |
| 4.00% Series C Senior Unsecured Notes due March 22, 2022F11 | Dec 14, 2015 | J | 4,000,000 | $4,080,000.00 | D | — | I | Held through subsidiaries |
| 4.00% Series C Senior Unsecured Notes due March 22, 2022F12 | Feb 18, 2016 | J | 1,800,000 | $1,836,000.00 | D | — | I | Held through subsidiaries |
| 3.46% Series E Senior Unsecured Notes due July 30, 2021F13 | holding | — | — | — | — | 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 102.0% of the face value of the redeemed securities.
- F10The 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.
- F11After giving effect to the redemption on December 14, 2015, AIG Property Casualty Company ("APCC"), also an indirect wholly owned subsidiary of AIG, and VALIC directly held $2,400,000.00 and $3,600,000.00 principal amount, respectively, of the 4.00% Series C Senior Unsecured Notes due March, 22, 2022 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes.
- F12After giving effect to the redemption on February 18, 2016, APCC and VALIC directly hold $1,680,000.00 principal amount and $2,520,000.00 principal amount, respectively, of the Series C Notes. AIG is an indirect beneficial owner of the Series C Notes.
- F13AHAC, USLIC and VALIC directly hold $4,875,000.00 principal amount, $9,875,000.00 principal amount and $250,000.00 principal amount, respectively, of the 3.46% Series E Senior Secured Notes due July 30, 2021 (the "Series E Notes"). AIG is an indirect beneficial owner of the Series E Notes.
- F2The Variable Annuity Life Insurance Company ("VALIC"), a wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held the reported shares of the Series B Mandatory Redeemable Preferred Shares (the "Series B MRPS"). AIG was an indirect beneficial owner of the Series B MRPS.
- F3After giving effect to the redemption on February 16, 2016, American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of AIG, American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, and United Guaranty Mortgage Insurance Company ("UGMIC"), a former indirect wholly owned subsidiary of AIG, directly held 698,250 shares, 341,250 shares and 10,500 shares, respectively, of the Series C Mandatory Redeemable Preferred Shares (the "Series C MRPS"). On July 11, 2016, as part of an exchange of securities baskets, UGMIC transferred 10,500 shares of the Series C MRPS to AHAC. AIG is an indirect beneficial owner of the Series C MRPS.
- F4The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 100.8% of the face value of the redeemed securities.
- F5The United States Life Insurance Company in the City of New York ("USLIC"), an indirect wholly owned subsidiary of AIG, directly held the reported principal amount of the 3.93% Series A Senior Unsecured Notes due March 3, 2016 (the "Series A Notes"). AIG was an indirect beneficial owner of the Series A Notes.
- F6The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 100.6% of the face value of the redeemed securities.
- F7The 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.
- F8AGLIC directly held the reported principal amount of the 4.62% Series B Senior Unsecured Notes due March 3, 2018 (the "Series B Notes"). AIG was an indirect beneficial owner of the Series B Notes.
- F9The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 106.5% of the face value of the redeemed securities.
Remarks
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.