0000894579-15-000042.txt : 20150212 0000894579-15-000042.hdr.sgml : 20150212 20150212162330 ACCESSION NUMBER: 0000894579-15-000042 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Kayne Anderson MLP Investment CO CENTRAL INDEX KEY: 0001293613 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84344 FILM NUMBER: 15606557 BUSINESS ADDRESS: STREET 1: 717 TEXAS AVENUE - SUITE 3100 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-493-2020 MAIL ADDRESS: STREET 1: 717 TEXAS AVENUE - SUITE 3100 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: Kayne Anderson Midstream Investment CO DATE OF NAME CHANGE: 20040614 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUN LIFE FINANCIAL INC CENTRAL INDEX KEY: 0001097362 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 150 KING STREET WEST CITY: TORONTO STATE: A6 ZIP: M5H 1J9 BUSINESS PHONE: 4169799966 MAIL ADDRESS: STREET 1: SUN LIFE ASSURANCE CO OF CANADA STREET 2: 150 KING STREET WEST SUITE 1400 CITY: TORONTO STATE: A6 ZIP: M5H 1J9 FORMER COMPANY: FORMER CONFORMED NAME: SUN LIFE FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20030702 FORMER COMPANY: FORMER CONFORMED NAME: SUN LIFE FINANCIAL SERVICES OF CANADA INC DATE OF NAME CHANGE: 20000224 SC 13G/A 1 slkamlpseriesc13ga021115.htm SCHEDULE 13GA slkamlpseriesc13ga021115.htm
 
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
____________

 
SCHEDULE 13G

Under the Securities Exchange Act of 1934
 
(Amendment No. 4)
 


KAYNE ANDERSON MLP INVESTMENT COMPANY
(Name of Issuer)
 
 
Series C Mandatory Redeemable Preferred Stock
(Title of Class of Securities)
 
 
4866064#0
(CUSIP Number)
 
 
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
 
 
 
     Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
            [X]
Rule 13d-1(b)
            [   ]
Rule 13d-1(c)
            [   ]
Rule 13d-1(d)
 
 
_______________
 
        The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
    The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 
 
 


CUSIP No. 4866064#0
    13G  
Page 2 of 5 Pages
 

 
1.
NAMES OF REPORTING PERSONS
 
Sun Life Financial Inc.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  (a)
[  ]
     
 
     (b) [  ]
       
   
3.
SEC USE ONLY
   
   
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Canada
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
 EACH
REPORTING
PERSON
WITH:
 
5.
 
SOLE VOTING POWER
 
 
 
440,000
 
6.
 
SHARED VOTING POWER
 
 
 
0
 
7.
 
SOLE DISPOSITIVE POWER
 
 
 
440,000
 
8.
 
SHARED DISPOSITIVE POWER
 
 
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
440,000
 
10.
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES
 
 
[  ]
 
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
26.2%
 
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
HC
 


 
 
 

 
CUSIP No. 4866064#0
    13G  
Page 3 of 5 Pages

 
Item 1(a).
Name of Issuer:
 
Kayne Anderson MLP Investment Company
 
Item 1(b).
Address of Issuer's Principal Executive Offices:
 
811 Main Street, 14th Floor
Houston, TX 77002
USA
  
Item 2(a).
Name of Person Filing:
 
Sun Life Financial Inc.
 
Item 2(b).
Address of Principal Business Office or, if None, Residence:
 
150 King Street West
Toronto, Ontario, Canada M5H 1J9
    
Item 2(c).
Citizenship:
 
Canada
 
Item 2(d).
Title of Class of Securities:
 
Series C Mandatory Redeemable Preferred Stock
                      
Item 2(e).
CUSIP Number:
 
4866064#0
 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
 
   (a)   [   ] Broker or dealer registered under section 15 of the Act;
       
   (b)  [   ] Bank as defined in section 3(a)(6) of the Act;
       
   (c)  [   ] Insurance company as defined in section 3(a)(19) of the Act;
       
   (d)  [   ] Investment company registered under Section 8 of the Investment Company Act of 1940;
       
   (e)  [   ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
       
   (f)  [   ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
       
   (g)  [X] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
       
   (h)  [   ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
       
   (i)  [   ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act;
       
   (j)  [   ] A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
       
   (k)  [   ] Group, in accordance with § 240.13d-1(b)(1)(ii)(K). 
       
 
 
 
 
 

 
 
CUSIP No. 4866064#0
    13G  
Page 4 of 5 Pages
 
 
                                     If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _____
  
Item 4.
Ownership.
 
  Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
     The percentages used herein are calculated based upon the shares issued and outstanding as of November 30, 2014 as reported on the Form N-CSR filed with the Securities and Exchange Commission for the Period ended November 30, 2014.
 
   (a)  Amount beneficially owned:  440,000  
     
 
 (b)
  Percent of class:  26.2%  
     
   (c)  Number of shares as to which the  person has:  
 
 
(i)
Sole power to vote or to direct the vote:  440,000
  
     
 
(ii)
 Shared power to vote or to direct the vote:  0  
     
 
(iii)
Sole power to dispose or to direct the disposition of:  440,000
  
     
 
 (iv)
 Shared power to dispose or to direct the disposition of:  0  
   
 Item 5. Ownership of Five Percent or Less of a Class:
   
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [ ].
   
Item 6. Ownership of More than Five Percent on Behalf of Another Person:
   
 
Not Applicable.
   
 Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person:
   
 
Sun Life Assurance Company of Canada; classification: insurance company.
   
 Item 8. Identification and Classification of Members of the Group:
   
  Not Applicable.
 
Item 9.
Notice of Dissolution of Group.
   
  Not Applicable.
 
 Item 10.
Certifications.
 
                 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.


 
 
 
 
CUSIP No. 4866064#0
    13G  
Page 5 of 5 Pages
 
 
 
 
  
SIGNATURE

 
    After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
 
 Dated:  February 12, 2015
        
 
 
SUN LIFE FINANCIAL INC.
   
 
By:
/s/ John T. Donnelly
 
Title:
Authorized Signatory
     
     
 
By:
/s/ Stephen Peacher
 
Title:
Authorized Signatory