SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/16/2019 | 3. Issuer Name and Ticker or Trading Symbol Kayne Anderson MLP/Midstream Investment Co [ KYN ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| 3.46% Series OO Senior Unsecured Notes due October 29, 2024 | $22,000,000(1) | D | |
| 3.57% Series FF Senior Unsecured Notes due April 16, 2023 | $6,000,000 | D | |
| 3.67% Series GG Senior Unsecured Notes due April 16, 2025 | $7,000,000 | D | |
| 3.93% Series KK Senior Unsecured Notes due July 30, 2024 | $17,000,000 | D | |
| 3.95% Series CC Senior Unsecured Notes due May 3, 2022 | $16,000,000 | D | |
| Series H Mandatory Redeemable Preferred Shares | 440,000 | D | |
| Series I Mandatory Redeemable Preferred Shares | 160,000 | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. The Reporting Person is filing this Form 3 because, due solely to a redemption of senior unsecured notes by the Issuer on April 16, 2019, the Reporting Person's beneficial ownership of the Notes surpassed 10%. |
| By: Nuveen Alternatives Advisors, LLC, its investment manager: By: /s/ Trevor Sanford, Associate General Counsel | 01/02/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||