SEC Form 4 · accession 0001304186-18-000016
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC. · KMF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 2, 2018
Accepted (ET)
Oct 4, 2018 · 4:35 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Oct 2, 2018 | S | 20,000 | $13.0022 | D | 113,568 | I | See footnotes |
| Common StockF1,F2,F3 | Oct 2, 2018 | S | 109,568 | $129,559.00 | D | 4,000 | I | See footnotes |
| Common Stock | holding | — | — | — | 203,844 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.
- F24,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.
- F3Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.