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*
Sun Life Assurance Co of Canada

(Last) (First) (Middle)
ONE YORK STREET

(Street)
TORONTO A6 MJ5 OB6

(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)
Former 10% Owner
3. Date of Earliest Transaction (Month/Day/Year)
05/07/2020
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
Mandatory Redeemable Preferred Shares Series C 04/29/2020 J(1) 217,048.98 D $5,531,332.96 822,951.02 D(2)
Mandatory Redeemable Preferred Shares Series C 04/29/2020 J(1) 217,048.98 D $5,531,332.96 822,951.02 I(2) See footnote(2)
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*
Sun Life Assurance Co of Canada

(Last) (First) (Middle)
ONE YORK STREET

(Street)
TORONTO A6 MJ5 OB6

(City) (State) (Zip)
1. Name and Address of Reporting Person*
SUN LIFE FINANCIAL INC

(Last) (First) (Middle)
ONE YORK STREET

(Street)
TORONTO A6 MJ5 OB6

(City) (State) (Zip)
Explanation of Responses:
1. On April 29, 2020, the issuer redeemed a portion of its Series C Mandatory Redeemable Preferred Stock held by the Reporting Persons.
2. Sun Life Financial Inc. owns 100% of the outstanding shares of common stock of Sun Life Assurance Co of Canada, the direct owner of the Series C Mandatory Redeemable Preferred Stock of Kayne Anderson MLP Investment Co.
/s/ Randolph B. Brown, Authorized Signatory of Sun Life Financial Inc. and Sun Life Assurance Co of Canada 07/23/2020
/s/ Stephen C. Peacher, Authorized Signatory of Sun Life Financial Inc. and Sun Life Assurance Co of Canada 07/23/2020
** 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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