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*
TEACHERS INSURANCE & ANNUITY ASSOCIATION OF AMERICA

(Last) (First) (Middle)
730 THIRD AVENUE, 4TH FLOOR

(Street)
NEW YORK NY 10017

(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 X 10% Owner
Officer (give title below) Other (specify below)
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
3.95% Series CC Senior Unsecured Notes due May 3, 2022 04/24/2020 J(1) 7,431,596.03 D $7,607,838.39(8) $1,361,196.76 D
3.57% Series FF Senior Unsecured Notes due April 16, 2023 04/24/2020 J(2) 5,071,150.58 D $5,184,723.22(8) $928,849.42 D
3.67% Series GG Senior Unsecured Notes due April 16, 2025 04/24/2020 J(2) 5,916,342.34 D $6,050,898.04(8) $1,083,657.66 D
3.93% Series KK Senior Unsecured Notes due July 30, 2024 04/24/2020 J(3) 14,368,259.95 D $14,708,009.43(8) $2,631,740.05 D
3.46% Series OO Senior Unsecured Notes due October 29, 2024 04/24/2020 J(4) 18,594,218.76 D $19,003,549.83(8) $3,405,781.24 D
Series H Mandatory Redeemable Preferred Shares 04/24/2020 J(5) 217,049 D $5,524,966.47(8) 222,951 D
Series I Mandatory Redeemable Preferred Shares 04/24/2020 J(6) 78,927 D $2,008,486.81(8) 81,073 D
Series M Mandatory Redeemable Preferred Shares 04/24/2020 J(7) 98,659 D $2,509,646.59(8) 101,341 D
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. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated May 3, 2012.
2. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated April 16, 2013.
3. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated April 30, 2014.
4. These notes were redeemed, in part, by the Issuer pursuant to a partial prepayment at a price equal to face value, plus accrued and unpaid interest and a prepayment "make-whole" amount, pursuant to the terms of Note Purchase Agreement dated October 29, 2014.
5. These mandatory redeemable preferred shares ("MRPS") were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS.
6. These MRPS were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS.
7. These MRPS were redeemed, in part, by the Issuer at a price equal to the initial price per share of $25, plus accrued and unpaid dividends and distributions and a prepayment "make-whole" amount, pursuant to the terms of the Articles Supplementary of such MRPS.
8. The prices in this column reflect the aggregate price received for the prepayments.
By: Nuveen Alternatives Advisors, LLC, its investment manager; By: /s/ Trevor Sanford, Associate General Counsel 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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