KYN

SEC source: 0001638397-18-000002 · primary_doc.xml · nonDerivative · entry 1

Shea William H JR · CIK 0001365479 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,219

SEC source: 0001638397-18-000001 · primary_doc.xml · nonDerivative · entry 1

Baker James C · CIK 0001331674 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,039

SEC source: 0001304186-18-000020 · primary_doc.xml · nonDerivative · entry 1

Baker James C · CIK 0001331674 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,039

SEC source: 0001525589-18-000001 · primary_doc.xml · nonDerivative · entry 1

Meraz Jody · CIK 0001525589 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,484

SEC source: 0001304186-18-000019 · primary_doc.xml · nonDerivative · entry 1

Baker James C · CIK 0001331674 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,039

SEC source: 0000899243-18-027503 · doc4.xml · nonDerivative · entry 2

KAYNE RICHARD A · CIK 0000884413 · SEE NOTES (1) AND (2)

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · SEE NOTE (2)

KA Fund Advisors LLC · CIK 0001376209 · SEE NOTE (2)

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE NOTES

Disclosed balance after: 11,321

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F2 · price: A TOTAL OF 11,235 SHARES ARE OWNED BY KA ASSOCIATES, INC. ("KAA.") RICHARD KAYNE IS THE MAJORITY OWNER OF KAA. A TOTAL OF 86 SHARES ARE OWNED BY KA FUND ADVISORS, LLC ("KAFA.") MR. KAYNE IS THE INDIRECT MAJORITY OWNER OF KAFA. MR. KAYNE DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SHARES HELD OR CONTROLLED BY KAA AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

F2 · ownership.direct: A TOTAL OF 11,235 SHARES ARE OWNED BY KA ASSOCIATES, INC. ("KAA.") RICHARD KAYNE IS THE MAJORITY OWNER OF KAA. A TOTAL OF 86 SHARES ARE OWNED BY KA FUND ADVISORS, LLC ("KAFA.") MR. KAYNE IS THE INDIRECT MAJORITY OWNER OF KAFA. MR. KAYNE DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SHARES HELD OR CONTROLLED BY KAA AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

F1 · ownership.nature: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F2 · ownership.nature: A TOTAL OF 11,235 SHARES ARE OWNED BY KA ASSOCIATES, INC. ("KAA.") RICHARD KAYNE IS THE MAJORITY OWNER OF KAA. A TOTAL OF 86 SHARES ARE OWNED BY KA FUND ADVISORS, LLC ("KAFA.") MR. KAYNE IS THE INDIRECT MAJORITY OWNER OF KAFA. MR. KAYNE DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SHARES HELD OR CONTROLLED BY KAA AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

SEC source: 0000899243-18-027503 · doc4.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · SEE NOTES (1) AND (2)

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · SEE NOTE (2)

KA Fund Advisors LLC · CIK 0001376209 · SEE NOTE (2)

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,958

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F2 · price: A TOTAL OF 11,235 SHARES ARE OWNED BY KA ASSOCIATES, INC. ("KAA.") RICHARD KAYNE IS THE MAJORITY OWNER OF KAA. A TOTAL OF 86 SHARES ARE OWNED BY KA FUND ADVISORS, LLC ("KAFA.") MR. KAYNE IS THE INDIRECT MAJORITY OWNER OF KAFA. MR. KAYNE DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SHARES HELD OR CONTROLLED BY KAA AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

SEC source: 0000899243-18-027501 · doc4.xml · nonDerivative · entry 1

Baker James C · CIK 0001331674 · Director · PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,039

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

SEC source: 0000899243-18-027500 · doc4.xml · nonDerivative · entry 1

Shladovsky David J · CIK 0001304186 · SEC & GC OF INV. ADVISOR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,482

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

SEC source: 0000899243-18-027496 · doc4.xml · nonDerivative · entry 1

Frey John C · CIK 0001304347 · EVP, ASST. SEC. & TREAS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,027

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS). AFTER GIVING EFFECT TO THAT DISTRIBUTIONS, KACALP OWNED NO SHARES OF KYN

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS). AFTER GIVING EFFECT TO THAT DISTRIBUTIONS, KACALP OWNED NO SHARES OF KYN

SEC source: 0000899243-18-027495 · doc4.xml · nonDerivative · entry 1

Hart Terry A · CIK 0001292717 · CFO & TREASURER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,799

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN.

SEC source: 0000899243-18-027493 · doc4.xml · nonDerivative · entry 1

McCarthy Kevin S · CIK 0001304183 · Director · CHAIRMAN & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,503

F1 · kind: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN. DOES NOT INCLUDE 9,798 SHARES HELD INDIRECTLY, FOR WHICH HE DISCLAIMS BENEFICIAL OWNERSHIP.

F1 · price: SHARES DISTRIBUTED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP") TO ITS LIMITED PARTNERS (ON A PRO RATA BASIS.). AFTER GIVING EFFECT TO THAT DISTRIBUTION, KACALP OWNED NO SHARES OF KYN. DOES NOT INCLUDE 9,798 SHARES HELD INDIRECTLY, FOR WHICH HE DISCLAIMS BENEFICIAL OWNERSHIP.

SEC source: 0000899243-18-022550 · doc4.xml · nonDerivative · entry 1

THACKER WILLIAM L · CIK 0001287047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,496

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022552 · doc4.xml · nonDerivative · entry 1

Cordes William R · CIK 0001235828 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,700

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022548 · doc4.xml · nonDerivative · entry 1

Richey Albert L · CIK 0001376076 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,068

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022547 · doc4.xml · nonDerivative · entry 1

PEARL BARRY R · CIK 0001235285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,711

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022679 · doc4.xml · nonDerivative · entry 1

McCarthy Kevin S · CIK 0001304183 · Director · CHAIRMAN & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,365

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022656 · doc4.xml · nonDerivative · entry 1

Baker James C · CIK 0001331674 · Director · PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,515

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022684 · doc4.xml · nonDerivative · entry 1

Shladovsky David J · CIK 0001304186 · SEC & GC OF INV. ADVISOR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,376

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022683 · doc4.xml · nonDerivative · entry 1

Meraz Jody · CIK 0001525589 · VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,484

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022672 · doc4.xml · nonDerivative · entry 1

LOGAN RON M JR · CIK 0001266094 · SENIOR VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,317

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022667 · doc4.xml · nonDerivative · entry 1

Hart Terry A · CIK 0001292717 · CFO & TREASURER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,148

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022663 · doc4.xml · nonDerivative · entry 1

Frey John C · CIK 0001304347 · EVP, ASST. SEC. & TREAS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,093

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022659 · doc4.xml · nonDerivative · entry 1

BOSWELL ALAN · CIK 0001719061 · VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,425

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0000899243-18-022910 · doc4.xml · nonDerivative · entry 2

KAYNE RICHARD A · CIK 0000884413 · SEE NOTES (1) AND (2)

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · SEE NOTE (2)

KA Fund Advisors LLC · CIK 0001376209 · SEE NOTE (2)

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE NOTES (1) AND (2)

Disclosed balance after: 314,889

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

F2 · ownership.direct: A TOTAL OF 303,568 SHARES ARE OWND BY KAYNE ANDERSON CAPITAL ADVISORS, L.P.("KACALP.") RICHARD KAYNE IS THE MAJORITY OWNER AND CHAIRMAN OF KACALP. A TOTAL OF 11,235 SHARES ARE OWNED BY KA ASSOCIATES, INC. ("KAA.") MR. KAYNE IS THE MAJORITY OWNER OF KAA. A TOTAL OF 86 SHARES ARE OWNED BY KA FUND ADVISORS, LLC ("KAFA.") MR. KAYNE IS THE MAJORITY OWNER OF KAFA. MR. KAYNE DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SHARES HELD OR CONTROLLED BY KACALP, KAA AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

SEC source: 0000899243-18-022910 · doc4.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · SEE NOTES (1) AND (2)

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · SEE NOTE (2)

KA Fund Advisors LLC · CIK 0001376209 · SEE NOTE (2)

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,513

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY DEVELOPMENT COMPANY IN CONNECTION WITH ITS REORGANIZATION INTO KYN, USING RESPECTIVE NET ASSET VALUES PER SHARE.

SEC source: 0001304183-18-000003 · primary_doc.xml · nonDerivative · entry 1

McCarthy Kevin S · CIK 0001304183 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 609,529

F1 · kind: Shares received in exchange for shares formerly held in Kayne Anderson Energy Development Company in connection with its reorganization into KYN, using respective net asset values per share.

SEC source: 0000899243-20-004486 · doc4.xml · nonDerivative · entry 3

Voya Financial, Inc. · CIK 0001535929 · 10% owner

Voya Holdings, Inc. · CIK 0001577976 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,254,000

F1 · kind: Securities were divested from the Voya Financial, Inc. ownership structure as a result of the divestment of former subsidiary Voya Insurance and Annuity Company on June 1, 2018.

F2 · ownership.direct: Most of the securities reported herein are directly beneficially owned by Voya Retirement Insurance and Annuity Company, Security Life of Denver Insurance Company, ReliaStar Life Insurance Company and ReliaStar Life Insurance Company of New York, each a direct or indirect subsidiary of Voya Financial, Inc. and/or Voya Holdings Inc. With respect to the remainder of the securities reported herein, Voya Investment Management, LLC, a subsidiary of Voya Holdings Inc., in its capacity as investment adviser to a third-party owner of such securities, has been delegated certain voting rights pursuant to an investment management contract with such third party, making Voya Investment Management, LLC a beneficial owner of such securities solely for regulatory purposes. Voya Holdings Inc. is a direct subsidiary of Voya Financial, Inc. Voya Financial, Inc. is the indirect beneficial owner of the securities reported herein.

SEC source: 0000899243-20-004486 · doc4.xml · nonDerivative · entry 2

Voya Financial, Inc. · CIK 0001535929 · 10% owner

Voya Holdings, Inc. · CIK 0001577976 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 144,000

F1 · kind: Securities were divested from the Voya Financial, Inc. ownership structure as a result of the divestment of former subsidiary Voya Insurance and Annuity Company on June 1, 2018.

F2 · ownership.direct: Most of the securities reported herein are directly beneficially owned by Voya Retirement Insurance and Annuity Company, Security Life of Denver Insurance Company, ReliaStar Life Insurance Company and ReliaStar Life Insurance Company of New York, each a direct or indirect subsidiary of Voya Financial, Inc. and/or Voya Holdings Inc. With respect to the remainder of the securities reported herein, Voya Investment Management, LLC, a subsidiary of Voya Holdings Inc., in its capacity as investment adviser to a third-party owner of such securities, has been delegated certain voting rights pursuant to an investment management contract with such third party, making Voya Investment Management, LLC a beneficial owner of such securities solely for regulatory purposes. Voya Holdings Inc. is a direct subsidiary of Voya Financial, Inc. Voya Financial, Inc. is the indirect beneficial owner of the securities reported herein.

SEC source: 0000899243-20-004486 · doc4.xml · nonDerivative · entry 1

Voya Financial, Inc. · CIK 0001535929 · 10% owner

Voya Holdings, Inc. · CIK 0001577976 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 200,000

F1 · kind: Securities were divested from the Voya Financial, Inc. ownership structure as a result of the divestment of former subsidiary Voya Insurance and Annuity Company on June 1, 2018.

F2 · ownership.direct: Most of the securities reported herein are directly beneficially owned by Voya Retirement Insurance and Annuity Company, Security Life of Denver Insurance Company, ReliaStar Life Insurance Company and ReliaStar Life Insurance Company of New York, each a direct or indirect subsidiary of Voya Financial, Inc. and/or Voya Holdings Inc. With respect to the remainder of the securities reported herein, Voya Investment Management, LLC, a subsidiary of Voya Holdings Inc., in its capacity as investment adviser to a third-party owner of such securities, has been delegated certain voting rights pursuant to an investment management contract with such third party, making Voya Investment Management, LLC a beneficial owner of such securities solely for regulatory purposes. Voya Holdings Inc. is a direct subsidiary of Voya Financial, Inc. Voya Financial, Inc. is the indirect beneficial owner of the securities reported herein.

SEC source: 0001304183-18-000002 · primary_doc.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · Affiliate of Investment Adviso

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 297,164

F1 · kind: Negotiated transaction between KA Associates Inc., an affiliate of the investment advisor of the Issuer (see footnote 2), and Kevin S. McCarthy, Chairman of the Issuer. Price determined based on the 10-day VWAP for the period April 16-30, 2018.

F2 · balance_after: A total of 285,929 shares are owned by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. A total of 11,235 shares are owned by KA Associates, Inc. ("KAA"), a FINRA registered broker-dealer. Richard Kayne is the majority owner of KAA. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAA except to the extent of his pecuniary interest therein.

SEC source: 0001304183-18-000001 · primary_doc.xml · nonDerivative · entry 1

McCarthy Kevin S · CIK 0001304183 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,121

F1 · kind: Negotiated transaction between the Reporting Person and KA Associates, Inc. ("KAA"). KAA is a FINRA registered broker-dealer. Richard A. Kayne is the majority owner of KAA which, by virtue of common control, is an affiliate of the investment advisor of the Issuer. Price determined based on the 10-day VWAP for the period April16-30, 2018.

SEC source: 0001209191-18-026238 · doc4.xml · nonDerivative · entry 1

AMERICAN INTERNATIONAL GROUP INC · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: The 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes") were called for redemption by the issuer at a price equal to the principal amount of $6,820,000 of the redeemed securities plus accrued interest of $105,380.37 (the "Redemption").

F2 · ownership.nature: Prior to the Redemption, The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held the Series W Notes. Prior to the Redemption, AIG was an indirect beneficial owner of the Series W Notes.

SEC source: 0001304186-17-000015 · primary_doc.xml · nonDerivative · entry 2

LOGAN RON M JR · CIK 0001266094 · Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,073

SEC source: 0001304186-17-000015 · primary_doc.xml · nonDerivative · entry 1

LOGAN RON M JR · CIK 0001266094 · Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,773

SEC source: 0001304186-17-000007 · primary_doc.xml · nonDerivative · entry 2

Shladovsky David J · CIK 0001304186 · Secretary of IA General Counse

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian account for Son

Disclosed balance after: 840

SEC source: 0001304186-17-000007 · primary_doc.xml · nonDerivative · entry 1

Shladovsky David J · CIK 0001304186 · Secretary of IA General Counse

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 189

SEC source: 0001140361-17-008156 · doc1.xml · nonDerivative · entry 1

Sun Life Assurance Co of Canada · CIK 0001381352 · 10% owner

SUN LIFE FINANCIAL INC · CIK 0001097362 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On November 9, 2016, the issuer redeemed all outstanding shares of its Series A Mandatory Redeemable Preferred Stock.

F2 · ownership.direct: 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 A Mandatory Redeemable Preferred Stock of Kayne Anderson MLP Investment Co.

SEC source: 0001304186-16-000004 · primary_doc.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · Affiliate of Investment Advise

10b5-1 filing: Not disclosed

Ownership: Indirect · *

Disclosed balance after: 311,429

F1 · ownership.nature: A total of 285,929 shares are owned by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. A total of 25,500 shares are owned by KA Associates, Inc. ("KAA"), a FINRA registered broker-dealer. Richard Kayne is the majority owner of KAA. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAA except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-011218 · doc4.xml · nonDerivative · entry 4

AMERICAN INTERNATIONAL GROUP INC · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F5 · kind: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities.

F4 · ownership.nature: The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of AIG, directly holds the 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes"). AIG is an indirect beneficial owner of the Series W Notes.

SEC source: 0000899243-17-011218 · doc4.xml · nonDerivative · entry 3

AMERICAN INTERNATIONAL GROUP INC · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F5 · kind: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities.

F4 · ownership.nature: The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of AIG, directly holds the 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes"). AIG is an indirect beneficial owner of the Series W Notes.

SEC source: 0000899243-17-011218 · doc4.xml · nonDerivative · entry 2

AMERICAN INTERNATIONAL GROUP INC · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F3 · kind: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 106.7% of the face value of the redeemed securities.

F4 · ownership.nature: The Variable Annuity Life Insurance Company ("VALIC"), an indirectly wholly owned subsidiary of AIG, directly holds the 4.38% Series W Senior Unsecured Notes due May 26, 2018 (the "Series W Notes"). AIG is an indirect beneficial owner of the Series W Notes.

SEC source: 0000899243-17-011218 · doc4.xml · nonDerivative · entry 1

AMERICAN INTERNATIONAL GROUP INC · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 100.7% of the face value of the redeemed securities.

F2 · ownership.nature: Prior to the redemption on December 14, 2015, American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held $21,000,000.00 principal amount and $20,000,000.00 principal amount, respectively, of the 3.71% Series V Senior Unsecured Notes due May 26, 2016.

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 22

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 21

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 100

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 20

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 19

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 5

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 18

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 17

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 400

SEC source: 0000932440-11-000202 · edgar.xml · nonDerivative · entry 16

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0