SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
AMERICAN INTERNATIONAL GROUP INC

(Last) (First) (Middle)
175 WATER STREET

(Street)
NEW YORK NY 10038

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Kayne Anderson MLP/Midstream Investment Co [ KYN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
04/24/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
3.57% Series FF Senior Unsecured Notes due April 16, 2023 04/24/2020 J(1) 7,606,726 D $7,777,085 $1,393,274 I Held through subsidiaries(2)
3.67% Series GG Senior Unsecured Notes due April 16, 2025 04/24/2020 J(1) 8,451,918 D $8,644,140 $1,548,082 I Held through subsidiaries(3)
3.93% Series KK Senior Unsecured Notes due July 30, 2024 04/24/2020 J(1) 16,903,835 D $17,303,541 $3,096,165 I Held through subsidiaries(4)
2.89% Series LL Senior Unsecured Notes due October 29, 2020 04/24/2020 J(1) 27,891,328 D $28,450,123 $5,108,672 I Held through subsidiaries(5)
3.26% Series MM Senior Unsecured Notes due October 29, 2022 04/24/2020 J(1) 8,451,918 D $8,632,108 $1,548,082 I Held through subsidiaries(6)
3.46% Series OO Senior Unsecured Notes due October 29, 2024 04/24/2020 J(1) 12,677,876 D $12,956,966 $2,322,124 I Held through subsidiaries(7)
Series H Mandatory Redeemable Preferred Shares 04/24/2020 J(1) 394,634 D $25.455 405,366 I Held through subsidiaries(8)
Series I Mandatory Redeemable Preferred Shares 04/24/2020 J(1) 118,391 D $25.4475 121,609 I Held through subsidiaries(9)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The reported disposition was pursuant to a partial prepayment by the issuer at a price equal to 101% of the face value of the prepaid securities, plus accrued and unpaid interest.
2. American Home Assurance Company ("AHAC") and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly hold $619,233.00 principal amount and $774,041.00 principal amount, respectively, of the 3.57% Series FF Senior Unsecured Notes due April 16, 2023 (the "Series FF Notes"). AIG is an indirect beneficial owner of the Series FF Notes.
3. Eaglestone Reinsurance Company ("ERC"), an indirect wholly owned subsidiary of AIG, and VALIC directly hold $356,059.00 principal amount and $1,192,023.00 principal amount, respectively, of the 3.67% Series GG Senior Unsecured Notes due April 16, 2025 (the "Series GG Notes"). AIG is an indirect beneficial owner of the Series GG Notes.
4. AHAC and The United States Life Insurance Company in the City of New York ("USLIC"), also an indirect wholly owned subsidiary of AIG, directly hold $1,048,826.00 principal amount and $2,047,339.00 principal amount, respectively, of the 3.93% Series KK Senior Unsecured Notes due July 30, 2024 (the "Series KK Notes"). AIG is an indirect beneficial owner of the Series KK Notes.
5. AHAC, Lexington Insurance Company ("Lexington"), an indirectly wholly owned subsidiary of AIG, and National Union Fire Insurance Company of Pittsburgh, PA ("NUF"), an indirectly wholly owned subsidiary of AIG, directly hold $2,479,238.00 principal amount, $152,502.00 principal amount and $2,476,932.00 principal amount, respectively, of the 2.89% Series LL Senior Unsecured Notes due October 29, 2020 (the "Series LL Notes"). AIG is an indirect beneficial owner of the Series LL Notes.
6. AHAC, Lexington and NUF directly hold $727,831.00 principal amount, $46,210.00 principal amount and $774,041.00 principal amount, respectively, of the 3.26% Series MM Senior Unsecured Notes due October 29, 2022 (the "Series MM Notes"). AIG is an indirect beneficial owner of the Series MM Notes.
7. American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of AIG, and Lexington directly hold $2,283,422.00 principal amount and $38,702.00 principal amount, respectively, of the 3.46% Series OO Senior Unsecured Notes due October 29, 2024 (the "Series OO Notes"). AIG is an indirect beneficial owner of the Series OO Notes.
8. AGLIC and AHAC directly hold 269,569 shares and 135,797 shares, respectively, of the Series H Mandatory Redeemable Preferred Shares (the "Series H MRPS"). AIG is an indirect beneficial owner of the Series H MRPS.
9. AHAC and VALIC directly hold 40,536 shares and 81,073 shares, respectively, of the Series I Mandatory Redeemable Preferred Shares (the "Series I MRPS"). AIG is an indirect beneficial owner of the Series I MRPS.
Remarks:
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.
/s/ Geoffrey N. Cornell, Authorized Signatory of American International Group, Inc. 04/28/2020
** 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 4 (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).
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