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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-21593
Kayne Anderson MLP Investment Company |
(Exact name of registrant as specified in charter) |
717 Texas Avenue, Suite 3100 Houston, Texas | 77002 |
(Address of principal executive offices) | (Zip code) |
David J. Shladovsky, Esq. KA Fund Advisors, LLC 717 Texas Avenue, Suite 3100 Houston, Texas 77002 |
(Name and address of agent for service) |
Registrant's telephone number, including area code: (310) 284-6438
Date of fiscal year end: November 30
Date of reporting period: July 1, 2011 - June 30, 2012
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
(a) | The name of the issuer of the portfolio security; |
(b) | The exchange ticker symbol of the portfolio security; |
(c) | The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security; |
(d) | The shareholder meeting date; |
(e) | A brief identification of the matter voted on; |
(f) | Whether the matter was proposed by the issuer or by a security holder; |
(g) | Whether the registrant cast its vote on the matter; |
(h) | How the registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and |
(i) | Whether the registrant cast its vote for or against management. |
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) Kayne Anderson MLP Investment Company
By (Signature and Title)* | /s/ Kevin S. McCarthy | ||
Kevin S. McCarthy, | |||
Date | August 20, 2012 | Chairman of the Board of Directors, President and Chief Executive Officer |
* Print the name and title of each signing officer under his or her signature.
Item 1 – Proxy Voting Record
Kayne Anderson MLP Investment Company |
7/1/2011 - 6/30/2012 |
Issuer | Symbol | CUSIP | Meeting Date | Matter: | Proposed by (I)ssuer or (S)hrhldr | Vote Cast? | How Voted | For/Against Mgmt | |||||
CRUDE CARRIERS CORPORATION | CRU | Y1820X106 | 9/20/2011 | ADOPT: | I | YES | FOR | FOR | |||||
THE AGREEMENT AND PLAN OF MERGER, DATED AS OF MAY 5, 2011, BY AND AMONG CAPITAL PRODUCT PARTNERS, L.P., CAPITAL GP L.L.C., POSEIDON PROJECT CORP. ("CRUDE"), ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
ADJOURN THE SPECIAL MEETING, IF NECESSARY, TO PERMIT FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT AND APPROVE THE PROPOSED MERGER. | |||||||||||||
KNIGHTSBRIDGE TANKERS LTD. | VLCCF | G5299G106 | 9/23/2011 | ELECT: | I | YES | FOR | FOR | |||||
OLA LORENTZON | |||||||||||||
DOUGLAS C. WOLCOTT | |||||||||||||
DAVID M. WHITE | |||||||||||||
HANS PETER AAS | |||||||||||||
HERMAN BILLUNG | |||||||||||||
RE-APPOINT AND AUTHORIZE: | I | YES | FOR | FOR | |||||||||
PRICEWATERHOUSECOOPERS AS THE COMPANY'S INDEPENDENT AUDITORS AND TO AUTHORIZE THE BOARD OF DIRECTORS TO DETERMINE THEIR REMUNERATION. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
THE INCREASE OF THE COMPANY'S AUTHORISED SHARE CAPITAL FROM US$350,000.00 DIVIDED INTO 35,000,000 COMMON SHARES OF US$0.01 PAR VALUE EACH (OF WHICH 24,425,699 ARE IN ISSUE) TO US$500,000.00 DIVIDED INTO 50,000,000 COMMON SHARES OF US$0.01 PAR VALUE EACH BY THE CREATION OF 15,000,000 COMMON SHARES OF US$0.01 PAR VALUE EACH. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
THE REMUNERATION OF THE COMPANY'S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US$500,000.00 FOR THE YEAR ENDED DECEMBER 31, 2011. | |||||||||||||
CAPITAL PRODUCTS PARTNERS L.P. | CPLP | Y11082107 | 11/15/2011 | ELECT: | I | YES | FOR | FOR | |||||
CLASS I DIRECTOR TO SERVE UNTIL THE 2014 ANNUAL MEETING OF LIMITED PARTNERS: P. DE DEMANDOLX-DEDONS. | |||||||||||||
NAVIOS MARITIME PARTNERS L.P. | NMM | Y62267102 | 11/22/2011 | ELECT: | I | YES | FOR | FOR | |||||
CLASS III DIRECTOR TO SERVE UNTIL THE 2014 ANNUAL MEETING OF LIMITED PARTNERS: SERAFEIM KRIEMPARDIS. | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF PRICEWATERHOUSECOOPERS AS THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTS FOR THE FISCAL YEAR. | |||||||||||||
REGENCY ENERGY PARTNERS LP | RGP | 75885Y107 | 12/16/2011 | APPROVE: | I | YES | FOR | FOR | |||||
THE TERMS OF THE REGENECY ENERGY PARTNERS LP 2011 LONG-TERM INCENTIVE PLAN, WHICH PROVIDES FOR AWARDS OF OPTIONS TO PURCHASE THE PARTNERSHIP'S COMMON UNITS, AWARDS OF THE PARTNERSHIP'S RESTRICTED UNITS, AWARDS OF THE PARTNERSHIP'S PHANTOM UNITS, AWARDS OF THE PARTNERSHIP'S COMMON UNITS, AWARDS OF DISTRIBUTION EQUIVALENT RIGHTS (OR DERS), AWARDS OF COMMON UNIT APPRECIATION RIGHTS, AND OTHER UNIT-BASED AWARDS TO EMPLOYEES AND CONSULTANTS OF THE APRTNERSHIP, REGENCY GP LP, REGENCY GP LLC, A SUBSIDIARY OF THEIR AFFILIATES, AND MEMBERS OF THE BOARD OF DIRECTORS OF REGENCY GP LLC. | |||||||||||||
EL PASO CORPORATION | EP | 28336L109 | 3/9/2012 | ADOPT: | I | YES | FOR | FOR | |||||
AGREEMENT AND PLAN OF MERGER, BY AND AMONG EL PASO CORPORATION ("EL PASO"), SIRIUS HOLDINGS MERGER CORPORATION, SIRIUS MERGER CORPORATION, KINDER MORGAN, INC., SHERPA MERGER SUB, INC. AND SHERPA ACQUISITION, LLC (MERGER AGREEMENT) AND AGREEMENT & PLAN OF MERGER BY AND AMONG EL PASO, SIRIUS HOLDINGS MERGER CORPORATION & SIRIUS MERGER CORPORATION (FIRST MERGER AGREEMENT). | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
ANY ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE PROPOSAL TO ADOPT THE MERGER AGREEMENT AND THE FIRST MERGER AGREEMENT. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
ON AN ADVISORY (NON- BINDING) BASIS THE COMPENSATION THAT MAY BE PAID OR BECOME PAYABLE TO EL PASO'S NAMED EXECUTIVE OFFICERS THAT IS BASED ON OR OTHERWISE RELATES TO THE PROPOSED TRANSACTIONS. | |||||||||||||
MAGELLAN MIDSTREAM PARTNERS, L.P. | MMP | 559080106 | 4/24/2012 | ELECT: | I | YES | FOR | FOR | |||||
ROBERT G. CROYLE | |||||||||||||
BARRY R. PEARL | |||||||||||||
VOTE: | I | YES | FOR | FOR | |||||||||
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | |||||||||||||
RATIFY | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF INDEPENDENT AUDITOR. | |||||||||||||
NUSTAR GP HOLDINGS, LLC | NSH | 67059L102 | 4/25/2012 | ELECT: | I | YES | FOR | FOR | |||||
JAMES F. CLINGMAN, JR. | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF KPMG LLP AS NUSTAR HOLDINGS, LLC'S INDEPENDENT REGISTERED ACCOUNTING FIRM FOR 2012. | |||||||||||||
HOLLY ENERGY PARTNERS, L.P. | HEP | 435763107 | 4/25/2012 | APPROVE: | I | YES | FOR | FOR | |||||
AN AMENDMENT AND RESTATEMENT OF THE HOLLY ENERGY PARTNERS, L.P. LONG-TERM INCENTIVE PLAN (AS IT HAS BEEN AMENDED FROM TIME TO TIME, THE LTIP), WHICH, AMONG OTHER THINGS, PROVIDES FOR AN INCREASE IN THE MAXIMUM NUMBER OF COMMON UNITS RESERVED AND AVAILABLE FOR DELIVERY WITH RESPECT TO AWARDS UNDER THE LTIP TO 1,250,000 COMMON UNITS (THE "LTIP PROPOSAL"). | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE LTIP PROPOSAL. | |||||||||||||
KINDER MORGAN, INC. | KMI | 49456B101 | 5/9/2012 | ELECT: | I | YES | FOR | FOR | |||||
RICHARD D. KINDER | |||||||||||||
C. PARK SHAPER | |||||||||||||
STEVEN J. KEAN | |||||||||||||
HENRY CORNELL | |||||||||||||
DEBORAH A. MACDONALD | |||||||||||||
MICHAEL MILLER | |||||||||||||
MICHAEL C. MORGAN | |||||||||||||
KENNETH A. PONTARELLI | |||||||||||||
FAYEZ SAROFIM | |||||||||||||
JOEL V. STAFF | |||||||||||||
JOHN STOKES | |||||||||||||
R. BARAN TEKKORA | |||||||||||||
GLENN A. YOUNGKIN | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | |||||||||||||
APPROVE: | I | YES | 1 YEAR | AGAINST | |||||||||
THE FREQUENCY WITH WHICH WE WILL HOLD AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | |||||||||||||
LEGACY RESERVES, L.P. | LGCY | 524707304 | 5/9/2012 | ELECT: | I | YES | FOR | FOR | |||||
CARY D. BROWN | |||||||||||||
KYLE A. MCGRAW | |||||||||||||
DALE A. BROWN | |||||||||||||
G. LARRY LAWRENCE | |||||||||||||
WILLIAM D. SULLIVAN | |||||||||||||
WILLIAM R. GRANBERRY | |||||||||||||
KYLE D. VANN | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | |||||||||||||
COPANO ENERGY, L.L.C. | CPNO | 217202100 | 5/17/2012 | ELECT: | I | YES | FOR | FOR | |||||
JAMES G. CRUMP | |||||||||||||
ERNIE L. DANNER | |||||||||||||
SCOTT A. GRIFFITHS | |||||||||||||
MICHAEL L. JOHNSON | |||||||||||||
MICHAEL G. MACDOUGALL | |||||||||||||
R. BRUCE NORTHCUTT | |||||||||||||
T. WILLIAM PORTER | |||||||||||||
WILLIAM L. THACKER | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012. | |||||||||||||
THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/17/2012 | ELECT: | I | YES | FOR | FOR | |||||
DIRECTOR: ALAN S. ARMSTRONG | |||||||||||||
DIRECTOR: JOSEPH R. CLEVELAND | |||||||||||||
DIRECTOR: IRL F. ENGELHARDT | |||||||||||||
DIRECTOR: JOHN A. HAGG | |||||||||||||
DIRECTOR: JUANITA H. HINSHAW | |||||||||||||
DIRECTOR: FRANK T. MACINNIS | |||||||||||||
DIRECTOR: STEVEN W. NANCE | |||||||||||||
DIRECTOR: MURRAY D. SMITH | |||||||||||||
DIRECTOR: JANICE D. STONEY | |||||||||||||
DIRECTOR: LAURA A. SUGG | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
ERNST & YOUNG LLP AS AUDITORS FOR 2012. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
BY NONBINDING ADVISORY VOTE, THE COMPANY'S EXECUTIVE COMPENSATION. | |||||||||||||
ONEOK, INC. | OKE | 682680103 | 5/23/2012 | ELECT: | |||||||||
DIRECTOR: JAMES C. DAY | I | YES | FOR | FOR | |||||||||
DIRECTOR: JULIE H. EDWARDS | I | YES | FOR | FOR | |||||||||
DIRECTOR: WILLIAM L. FORD | I | YES | FOR | FOR | |||||||||
DIRECTOR: JOHN W. GIBSON | I | YES | FOR | FOR | |||||||||
DIRECTOR: BERT H. MACKIE | I | YES | FOR | FOR | |||||||||
DIRECTOR: STEVEN J. MALCOLM | I | YES | FOR | FOR | |||||||||
DIRECTOR: JIM W. MOGG | I | YES | FOR | FOR | |||||||||
DIRECTOR: PATTYE L. MOORE | I | YES | FOR | FOR | |||||||||
DIRECTOR: GARY D. PARKER | I | YES | FOR | FOR | |||||||||
DIRECTOR: EDUARDO A. RODRIGUEZ | I | YES | FOR | FOR | |||||||||
DIRECTOR: GERALD B. SMITH | I | YES | FOR | FOR | |||||||||
DIRECTOR: DAVID J. TIPPECONNIC | I | YES | FOR | FOR | |||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF ONEOK, INC. FOR THE YEAR ENDING DECEMBER 31, 2012. | |||||||||||||
VOTE: | I | YES | FOR | FOR | |||||||||
A PROPOSAL TO APPROVE ADDITIONAL SHARES FOR ISSUANCE UNDER THE ONEOK, INC. EMPLOYEE STOCK AWARD PROGRAM. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
A PROPOSAL TO AMEND AND RESTATE THE ONEOK, INC. EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR ISSUANCE UNDER THE PLAN. | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
A PROPOSAL TO AMEND THE ONEOK, INC. CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK. | |||||||||||||
VOTE: | I | YES | FOR | FOR | |||||||||
ADVISORY VOTE TO APPROVE THE COMPANY'S EXECUTIVE COMPENSATION. | |||||||||||||
TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/25/2012 | ELECT: | I | YES | FOR | FOR | |||||
IN SEON HWANG | |||||||||||||
JOE BOB PERKINS | |||||||||||||
ERSHEL C. REDD, JR. | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2012. | |||||||||||||
MARKWEST ENERGY PARTNERS, L.P. | MWE | 570759100 | 6/1/2012 | ELECT: | I | YES | FOR | FOR | |||||
FRANK M. SEMPLE | |||||||||||||
DONALD D. WOLF | |||||||||||||
KEITH E. BAILEY | |||||||||||||
MICHAEL L. BEATTY | |||||||||||||
CHARLES K. DEMPSTER | |||||||||||||
DONALD C. HEPPERMANN | |||||||||||||
RANDALL J. LARSON | |||||||||||||
ANNE E. FOX MOUNSEY | |||||||||||||
WILLIAM P. NICOLETTI | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
AN AMENDMENT TO THE PARTNERSHIP'S 2008 LONG-TERM INCENTIVE PLAN TO INCREASE THE NUMBER OF COMMON UNITS AVAILABLE FOR ISSUANCE UNDER THE PLAN FROM 2.5 MILLION TO 3.7 MILLION. | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
DELOITTE & TOUCHE LLP AS THE PARTNERSHIP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | |||||||||||||
BUCKEYE PARTNERS, L.P. | BPL | 118230101 | 6/5/2012 | ELECT: | I | YES | FOR | FOR | |||||
PIETER BAKKER | |||||||||||||
C. SCOTT HOBBS | |||||||||||||
MARK C. MCKINLEY | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE SELECTION OF DELOITTE & TOUCHE LLP AS BUCKEYE PARTNERS, L.P.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2012. | |||||||||||||
PENN VIRGINIA RESOURCE PARTNERS, L.P. | PVR | 707884102 | 6/6/2012 | ELECT: | I | YES | FOR | FOR | |||||
JAMES L. GARDNER | |||||||||||||
THOMAS W. HOFMANN | |||||||||||||
WILLIAM H. SHEA, JR. | |||||||||||||
VOTE: | I | YES | FOR | FOR | |||||||||
ADVISORY RESOLUTION APPROVING EXECUTIVE COMPENSATION. | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2012 FISCAL YEAR. | |||||||||||||
BREITBURN ENERGY PARTNERS L.P. | BBEP | 106776107 | 6/21/2012 | ELECT: | I | YES | FOR | FOR | |||||
JOHN R. BUTLER, JR. | |||||||||||||
GREGORY J. MORONEY | |||||||||||||
RATIFY: | I | YES | FOR | FOR | |||||||||
THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2012. | |||||||||||||
GLOBAL PARTNERS LP | GLP | 37946R109 | 6/22/2012 | APPROVE: | I | YES | FOR | FOR | |||||
AN AMENDMENT AND RESTATEMENT OF THE GLOBAL PARTNERS LP LONG-TERM INCENTIVE PLAN (AS IT HAS BEEN AMENDED FROM TIME TO TIME, THE "LTIP"), WHICH, AMONG OTHER THINGS, PROVIDES FOR AN INCREASE IN THE MAXIMUM NUMBER OF COMMON UNITS RESERVED AND AVAILABLE FOR DELIVERY WITH RESPECT TO AWARDS UNDER THE LTIP TO 4,300,000 COMMON UNITS (THE "LTIP PROPOSAL"). | |||||||||||||
APPROVE: | I | YES | FOR | FOR | |||||||||
THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE LTIP PROPOSAL. | |||||||||||||