SEC Form 4 · accession 0000899243-18-021678
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC. · KMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
VOYA INVESTMENT MANAGEMENT LLC
10% Owner
Voya Financial, Inc.
10% Owner
Voya Holdings, Inc.
10% Owner
Period of report
Jan 5, 2016
Accepted (ET)
Aug 8, 2018 · 4:24 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 | Jan 5, 2016 | J | 66,667 | $25.61 | D | 133,333 | I | By Subsidiary |
| Series B Mandatory Redeemable Preferred SharesF2 | Mar 3, 2018 | J | 133,333 | $25.00 | D | 0 | I | By Subsidiary |
| Series C Mandatory Redeemable Preferred SharesF2 | Feb 29, 2016 | J | 50,000 | $25.75 | D | 350,000 | I | By Subsidiary |
| Series D Mandatory Redeemable Preferred SharesF5,F2 | Aug 6, 2018 | J | 800,000 | $25.00 | A | 800,000 | I | By Subsidiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 5, 2016, the Issuer redeemed $10,000,000 of its Series B Mandatory Redeemable Preferred Shares.
- F2Most of the securities reported herein are directly beneficially owned by Voya Retirement 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 March 3, 2018, the remaining Series B Mandatory Redeemable Preferred Shares of the Issuer matured.
- F4On February 29, 2016, the Issuer redeemed $5,000,000 of its Series C Mandatory Redeemable Preferred Shares.
- F5The Securities reported herein were terminated and reissued in connection with the Merger of Kayne Anderson Total Return Fund, Inc. (KYE) into KMF. on August 6, 2018. A separate Form 4 will be filed reporting the disposition of the securities terminated under that Issuer. These securities were formerly held as KYE Series C Mandatorily Redeemable Preferred Shares.