SEC FORM 4 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 MIDSTREAM/ENERGY FUND, INC. [ KMF ]
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)
03/25/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X 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
3.46% Series E Senior Unsecured Notes due July 30, 2021 03/25/2020 J(1) 975,000 D $1,013,892.48 $0.00 I(2) Held through subsidiaries
3.46% Series E Senior Unsecured Notes due July 30, 2021 03/25/2020 J(1) 1,975,000.33 D $2,053,782.19 $0.00 I(3) Held through subsidiaries
3.46% Series E Senior Unsecured Notes due July 30, 2021 03/25/2020 J(1) 49,999.67 D $51,994.49 $0.00 I(4) Held through subsidiaries
4.00% Series C Senior Unsecured Notes due March 22, 2022 03/25/2020 J(5) 1,800,000 D $1,919,106.98 $2,400,000 I(4)(6) Held through subsidiaries
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
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)
1. Name and Address of Reporting Person*
AMERICAN HOME ASSURANCE CO

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

(Street)
NEW YORK NY 10038

(City) (State) (Zip)
1. Name and Address of Reporting Person*
United States Life Insurance Co in the City of New York

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

(Street)
NEW YORK NY 10038

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VARIABLE ANNUITY LIFE INSURANCE CO /TX/

(Last) (First) (Middle)
2727-A ALLEN PARKWAY

(Street)
HOUSTON TX 77019

(City) (State) (Zip)
Explanation of Responses:
1. The reported disposition was pursuant to a partial prepayment by the issuer at a price equal to the face value of the prepaid securities, plus accrued and unpaid interest, plus a pro rata portion of the make-whole amount with respect to the principal, calculated in accordance with the note purchase agreement, dated as of April 30, 2014.
2. American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held the reported 3.46% Series E Senior Unsecured Notes due July 30, 2021 (the "Series E Notes"). AIG was an indirect beneficial owner of the Series E Notes.
3. The United States Life Insurance Company in the City of New York, an indirect wholly owned subsidiary of AIG, directly held the reported Series E Notes. AIG was an indirect beneficial owner of the Series E Notes.
4. The Variable Annuity Life Insurance Company ("VALIC"), a wholly owned subsidiary of AIG, directly held the reported Series E Notes. AIG was an indirect beneficial owner of the Series E Notes.
5. The reported disposition was pursuant to a partial prepayment by the issuer at a price equal to the face value of the prepaid securities, plus accrued and unpaid interest, plus a pro rata portion of the make-whole amount with respect to the principal, calculated in accordance with the note purchase agreement, dated as of March 22, 2012.
6. AIG Property Casualty Company and VALIC directly hold $960,000 principal amount and $1,440,000 principal amount, respectively, of the reported 4.00% Series C Senior Unsecured Notes due March 22, 2022 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes.
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. 03/26/2020
/s/ Martin J. Bogue, Authorized Signatory of American Home Assurance Company 03/26/2020
/s/ Julie A. Cotton Hearne, Authorized Signatory of The United States Life Insurance Company in The City of New York 03/26/2020
/s/ Julie A. Cotton Hearne, Authorized Signatory of The Variable Annuity Life Insurance Company 03/26/2020
** Signature of Reporting Person Date
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* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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