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KAYNE RICHARD A

Disclosed activity across 7 companies

Tapewire entity
108666
SEC CIK
0000884413

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Eiger BioPharmaceuticals, Inc.EIGR · Entity 1655410% ownerOctober 31, 2023November 02, 2023
KAYNE ANDERSON ENERGY DEVELOPMENT COKED · Entity 164448See RemarksJuly 30, 2018August 01, 2018
Kayne Anderson Energy Infrastructure Fund, Inc.KYN · Entity 4334SEE NOTES (1) AND (2)October 22, 2018October 25, 2018
Kayne Anderson NextGen Energy & Infrastructure, Inc.KMF · Entity 108252See remaksOctober 02, 2018October 04, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Eiger BioPharmaceuticals, Inc.

Report date October 31, 2023 · Filed November 02, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote.5,108,973 Reported balance After 2023-10-31 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2023-10-31 · Purchase · Acquired 11,987 · Balance 5,108,973

F1: Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Common StockSEC Table I · non-derivativeIndirectSee footnote.5,121,318 Reported balance After 2023-10-31 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-10-31 · Purchase · Acquired 12,345 · Balance 5,121,318

F1: Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Common StockSEC Table I · non-derivativeIndirectSee footnote.5,251,827 Reported balance After 2023-10-31 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2023-10-31 · Purchase · Acquired 130,509 · Balance 5,251,827

F2: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Common StockSEC Table I · non-derivativeIndirectSee footnote.5,351,827 Reported balance After 2023-11-01 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2023-11-01 · Purchase · Acquired 100,000 · Balance 5,351,827

F2: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Common StockSEC Table I · non-derivativeIndirectSee footnote.5,375,225 Reported balance After 2023-11-02 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2023-11-02 · Purchase · Acquired 23,398 · Balance 5,375,225

F2: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds acquired the referenced shares of Common Stock.

F2: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

KAYNE ANDERSON ENERGY DEVELOPMENT CO

Report date July 30, 2018 · Filed August 01, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
COMMON STOCKSEC Table I · non-derivativeIndirectSEE FOOTNOTE20,450 Reported balance After 2018-07-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-07-30 · Purchase · Acquired 2,000 · Balance 20,450

F1: Acquisition was made by spouse's retirement account. Other shares are held by KA Fund Advisors, LLC ("KAFA") and by Kayne Anderson Capital Advisors, LP ("KACALP"), KAFA's managing member. Richard Kayne is the majority owner and chairman of KACALP. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by his spouse's retirement account and by KALCAP and KAFA except to the extent of his pecuniary interest therein.

COMMON STOCKSEC Table I · non-derivativeDirect23,800 Reported balance Holding disclosure · report date 2018-07-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 23,800

Filing footnotes · ownership attribution and instrument terms

F1: Acquisition was made by spouse's retirement account. Other shares are held by KA Fund Advisors, LLC ("KAFA") and by Kayne Anderson Capital Advisors, LP ("KACALP"), KAFA's managing member. Richard Kayne is the majority owner and chairman of KACALP. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by his spouse's retirement account and by KALCAP and KAFA except to the extent of his pecuniary interest therein.

Kayne Anderson Energy Infrastructure Fund, Inc.

Report date October 22, 2018 · Filed October 25, 2018

Jointly reported with KAYNE ANDERSON CAPITAL ADVISORS LP, KA Fund Advisors LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
COMMON STOCKSEC Table I · non-derivativeDirect353,958 Reported balance After 2018-10-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-10-22 · Other · Acquired 152,445 · Balance 353,958

F1: 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: 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.

COMMON STOCKSEC Table I · non-derivativeIndirectSEE NOTES11,321 Reported balance After 2018-10-22 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-10-22 · Other · Disposed 303,568 · Balance 11,321

F1: 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: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: 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.

Kayne Anderson NextGen Energy & Infrastructure, Inc.

Report date October 02, 2018 · Filed October 04, 2018

Jointly reported with KAYNE ANDERSON CAPITAL ADVISORS LP, KA Fund Advisors LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes4,000 Last balance in matching sequence After 2018-10-02 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2018-10-02 · Sale · Disposed 20,000 · Balance 113,568

F1: The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.

F2: 4,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.

F3: Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.

Row 3 · 2018-10-02 · Sale · Disposed 109,568 · Balance 4,000

F1: The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.

F2: 4,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.

F3: Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect203,844 Reported balance Holding disclosure · report date 2018-10-02 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 203,844

Filing footnotes · ownership attribution and instrument terms

F1: The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.

F2: 4,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.

F3: Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Kimbell Royalty Partners, LP

Report date May 01, 2019 · Filed May 03, 2019

Jointly reported with Haymaker Minerals & Royalties, LLC, KAYNE ANDERSON CAPITAL ADVISORS LP

Section 16 reporting ended · disclosed 2019-05-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common units representing limited partner interestsSEC Table I · non-derivativeDirect800,000 Reported balance After 2019-05-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-05-01 · Sale · Disposed 3,200,000 · Balance 800,000

F1: As reported on Form 3 filed 7/23/2019 the reporting persons on 7/12/2019 became the beneficial owners of the Common Units as a result of the closing of the transactions contemplated by the May 28, 2018 asset purchase agreement with the Kimbell Royalty Partners, LP ("KRP").

F2: Includes 400,000 Class B Units and related OpCo Common Units that remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under the May 28, 2018 purchase agreement with KRP. Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the Issuer's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled.

F3: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F4: (Continued from footnote 3) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

Filing footnotes · ownership attribution and instrument terms

F1: As reported on Form 3 filed 7/23/2019 the reporting persons on 7/12/2019 became the beneficial owners of the Common Units as a result of the closing of the transactions contemplated by the May 28, 2018 asset purchase agreement with the Kimbell Royalty Partners, LP ("KRP").

F2: Includes 400,000 Class B Units and related OpCo Common Units that remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under the May 28, 2018 purchase agreement with KRP. Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the Issuer's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled.

F3: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F4: (Continued from footnote 3) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

Kinetik Holdings Inc.

Report date June 28, 2019 · Filed June 28, 2019

Jointly reported with KAYNE ANDERSON CAPITAL ADVISORS LP

Section 16 reporting ended · disclosed 2019-06-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
CLASS A COMMON STOCKSEC Table I · non-derivativeIndirectSEE FOOTNOTE7,235,947 Reported balance Holding disclosure · report date 2019-06-28 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 7,235,947

F1: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

CLASS A COMMON STOCKSEC Table I · non-derivativeDirect200,000 Reported balance Holding disclosure · report date 2019-06-28 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 200,000

WARRANTS FOR COMMON STOCKSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2023-11-09Direct1,122,020 Reported balance Holding disclosure · report date 2019-06-28 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 1,122,020

Filing footnotes · ownership attribution and instrument terms

F1: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

RSP Permian, Inc.

Report date May 24, 2017 · Filed May 26, 2017

Section 16 reporting ended · disclosed 2017-05-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote10,626,089 Reported balance After 2017-05-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-05-24 · Sale · Disposed 17,250,000 · Balance 10,626,089

F1: Includes 5,134,925 shares of common stock, par value $0.01 per share (the "Common Stock"), of RSP Permian, Inc. (the "Issuer") owned directly by Silver Hill Energy Partners Holdings, LLC ("SHEP Holdings") and 5,491,164 shares of the Common Stock owned directly by Silver Hill Energy Partners II, LLC ("SHEP II"). Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI LP"), and Kayne Anderson Energy Fund VII LP ("KAEF VII LP"). KAEF VI LP is a member of SHEP Holdings that holds the right to appoint five of the nine representatives to the board of managers of SHEP Holdings. The five representatives to the board of managers of SHEP Holdings appointed by KAEF VI LP possess the majority vote of the board of managers of SHEP Holdings. KAEF VII LP is a member of SHEP II that holds the right to appoint three of the five representatives to the board of managers of SHEP II.

F2: (continued from Footnote 1) As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares owned by SHEP Holdings and by SHEP II. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP. Mr. Kayne is also a limited partner of KAEF VI LP and KAEF VII LP.

F3: On May 18, 2017, the Issuer and SHEP Holdings and SHEP II (the "Selling Stockholders"), entered into an Underwriting Agreement (the "Underwriting Agreement") with Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Underwriter") relating to the offer and sale (the "Offering") of 15,000,000 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") by the Selling Stockholders at a price to the Underwriter of $38.78 per share, to be resold by the Underwriter to the public at variable prices. Pursuant to the Underwriting Agreement, the Selling Stockholders granted the Underwriter a 30-day option to purchase up to an additional 2,250,000 shares of the Common Stock (the "Upsize"), which option was exercised in full by the Underwriter on May 23, 2017. The Offering and Upsize were settled on May 24, 2017.

F4: Mr. Kayne disclaims beneficial ownership of the shares reported, except those shares held by him or attributable to him by virtue of his limited partnership interests in KAEF VI LP and KAEF VII LP and his indirect interest in the interest of KACALP in the limited partnerships.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 5,134,925 shares of common stock, par value $0.01 per share (the "Common Stock"), of RSP Permian, Inc. (the "Issuer") owned directly by Silver Hill Energy Partners Holdings, LLC ("SHEP Holdings") and 5,491,164 shares of the Common Stock owned directly by Silver Hill Energy Partners II, LLC ("SHEP II"). Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI LP"), and Kayne Anderson Energy Fund VII LP ("KAEF VII LP"). KAEF VI LP is a member of SHEP Holdings that holds the right to appoint five of the nine representatives to the board of managers of SHEP Holdings. The five representatives to the board of managers of SHEP Holdings appointed by KAEF VI LP possess the majority vote of the board of managers of SHEP Holdings. KAEF VII LP is a member of SHEP II that holds the right to appoint three of the five representatives to the board of managers of SHEP II.

F2: (continued from Footnote 1) As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares owned by SHEP Holdings and by SHEP II. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP. Mr. Kayne is also a limited partner of KAEF VI LP and KAEF VII LP.

F3: On May 18, 2017, the Issuer and SHEP Holdings and SHEP II (the "Selling Stockholders"), entered into an Underwriting Agreement (the "Underwriting Agreement") with Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Underwriter") relating to the offer and sale (the "Offering") of 15,000,000 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") by the Selling Stockholders at a price to the Underwriter of $38.78 per share, to be resold by the Underwriter to the public at variable prices. Pursuant to the Underwriting Agreement, the Selling Stockholders granted the Underwriter a 30-day option to purchase up to an additional 2,250,000 shares of the Common Stock (the "Upsize"), which option was exercised in full by the Underwriter on May 23, 2017. The Offering and Upsize were settled on May 24, 2017.

F4: Mr. Kayne disclaims beneficial ownership of the shares reported, except those shares held by him or attributable to him by virtue of his limited partnership interests in KAEF VI LP and KAEF VII LP and his indirect interest in the interest of KACALP in the limited partnerships.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 02, 2023 Filed Nov 2, 2023 21:21 UTC Eiger BioPharmaceuticals, Inc. EIGR · Entity 16554 PurchaseCommon Stock 23,398 $0.30 $6,965.58
Disclosure

SEC source: 0001140361-23-051263 · form4.xml · nonDerivative · entry 5

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 5,375,225

F2 · ownership.nature: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3 · ownership.nature: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Read SEC document
November 01, 2023 Filed Nov 2, 2023 21:21 UTC Eiger BioPharmaceuticals, Inc. EIGR · Entity 16554 PurchaseCommon Stock 100,000 $0.28 $27,970.00
Disclosure

SEC source: 0001140361-23-051263 · form4.xml · nonDerivative · entry 4

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 5,351,827

F2 · ownership.nature: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3 · ownership.nature: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 21:21 UTC Eiger BioPharmaceuticals, Inc. EIGR · Entity 16554 PurchaseCommon Stock 130,509 $0.24 $31,504.87
Disclosure

SEC source: 0001140361-23-051263 · form4.xml · nonDerivative · entry 3

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 5,251,827

F2 · ownership.nature: Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and the Family Trust acquired the referenced shares of Common Stock.

F3 · ownership.nature: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 21:21 UTC Eiger BioPharmaceuticals, Inc. EIGR · Entity 16554 PurchaseCommon Stock 12,345 $0.26 $3,228.22
Disclosure

SEC source: 0001140361-23-051263 · form4.xml · nonDerivative · entry 2

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 5,121,318

F1 · ownership.nature: Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds acquired the referenced shares of Common Stock.

F3 · ownership.nature: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 21:21 UTC Eiger BioPharmaceuticals, Inc. EIGR · Entity 16554 PurchaseCommon Stock 11,987 $0.26 $3,146.59
Disclosure

SEC source: 0001140361-23-051263 · form4.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 5,108,973

F1 · ownership.nature: Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds acquired the referenced shares of Common Stock.

F3 · ownership.nature: Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.

Read SEC document
May 01, 2019 Filed May 3, 2019 20:16 UTC Kimbell Royalty Partners, LP KRP · Entity 4535 SaleCommon units representing limited partner interests 3,200,000 $16.25 $52,000,000.00
Disclosure

SEC source: 0000899243-19-012096 · doc4.xml · nonDerivative · entry 1

Haymaker Minerals & Royalties, LLC · CIK 0001747787 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

F1 · security: As reported on Form 3 filed 7/23/2019 the reporting persons on 7/12/2019 became the beneficial owners of the Common Units as a result of the closing of the transactions contemplated by the May 28, 2018 asset purchase agreement with the Kimbell Royalty Partners, LP ("KRP").

F2 · balance_after: Includes 400,000 Class B Units and related OpCo Common Units that remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under the May 28, 2018 purchase agreement with KRP. Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the Issuer's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled.

F3 · ownership.direct: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F4 · ownership.direct: (Continued from footnote 3) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

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April 10, 2019 Filed Apr 12, 2019 16:39 UTC Kimbell Royalty Partners, LP KRP · Entity 4535 ConversionOpCo Units · Derivative 3,600,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-010601 · doc4.xml · derivative · entry 2

Haymaker Minerals & Royalties, LLC · CIK 0001747787 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Units representing limited partner interests · Not disclosed shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F1 · kind: On April 10, 2019, 3,600,000 units ("OpCo Units") in Kimbell Royalty Operating, LLC (the "OpCo") and the corresponding KRP Class B units were exchanged, on a one-for-one basis, for KRP common units representing limited partner interests. Upon receipt of the notice of redemption, the Issuer elected to issue KRP common units rather than paying in cash. 400,000 OpCo Units remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under its May 28, 2018 purchase agreement with KRP.

F4 · derivative.exercise_date: Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · derivative.expiration_date: Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · derivative.underlying_shares: Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · balance_after: Pursuant to an Exchange Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, is exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F2 · ownership.direct: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F3 · ownership.direct: (Continued from footnote 2) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

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April 10, 2019 Filed Apr 12, 2019 16:39 UTC Kimbell Royalty Partners, LP KRP · Entity 4535 ConversionCommon units representing limited partner interests 3,600,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-010601 · doc4.xml · nonDerivative · entry 1

Haymaker Minerals & Royalties, LLC · CIK 0001747787 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,600,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On April 10, 2019, 3,600,000 units ("OpCo Units") in Kimbell Royalty Operating, LLC (the "OpCo") and the corresponding KRP Class B units were exchanged, on a one-for-one basis, for KRP common units representing limited partner interests. Upon receipt of the notice of redemption, the Issuer elected to issue KRP common units rather than paying in cash. 400,000 OpCo Units remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under its May 28, 2018 purchase agreement with KRP.

F1 · price: On April 10, 2019, 3,600,000 units ("OpCo Units") in Kimbell Royalty Operating, LLC (the "OpCo") and the corresponding KRP Class B units were exchanged, on a one-for-one basis, for KRP common units representing limited partner interests. Upon receipt of the notice of redemption, the Issuer elected to issue KRP common units rather than paying in cash. 400,000 OpCo Units remain subject to an Escrow Agreement and will be released on July 12, 2019 assuming Haymaker Minerals & Royalties, LLC will have no indemnification obligations under its May 28, 2018 purchase agreement with KRP.

F2 · ownership.direct: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F3 · ownership.direct: (Continued from footnote 2) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

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March 27, 2019 Filed Mar 27, 2019 15:15 UTC Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 78,928 $6.00 $473,568.00
Disclosure

SEC source: 0000899243-19-009003 · doc4.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 13,781,686

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

F1 · ownership.nature: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

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March 26, 2019 Filed Mar 27, 2019 15:15 UTC Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 142,672 $6.05 $863,165.60
Disclosure

SEC source: 0000899243-19-009003 · doc4.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 13,860,614

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

F1 · ownership.nature: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

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March 13, 2019 Filed Mar 13, 2019 14:40 UTC Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 90,000 $6.20 $558,000.00
Disclosure

SEC source: 0000899243-19-007508 · doc4.xml · nonDerivative · entry 3

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 14,003,286

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

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March 12, 2019 Filed Mar 13, 2019 14:40 UTC Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 111,457 $6.10 $679,887.70
Disclosure

SEC source: 0000899243-19-007508 · doc4.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 14,093,286

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

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March 11, 2019 Filed Mar 13, 2019 14:40 UTC Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 22,143 $6.00 $132,858.00
Disclosure

SEC source: 0000899243-19-007508 · doc4.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 14,204,743

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THE POOLED VEHICLES.

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February 28, 2019 Filed Mar 4, 2019 14:59 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 82,114 $6.80 $558,375.20
Disclosure

SEC source: 0000899243-19-005705 · doc4a.xml · nonDerivative · entry 4

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,226,886

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THOSE POOLED VEHICLES. PURCHASE AND SALE TRANSACTIONS REPORTED ABOVE RELATED TO DIFFERENT CLIENT ACCOUNTS MANAGED BY KACALP.

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February 12, 2019 Filed Mar 4, 2019 14:59 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 SaleCLASS A COMMON STOCK 25,000 $8.04 $201,000.00
Disclosure

SEC source: 0000899243-19-005705 · doc4a.xml · nonDerivative · entry 3

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,309,000

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THOSE POOLED VEHICLES. PURCHASE AND SALE TRANSACTIONS REPORTED ABOVE RELATED TO DIFFERENT CLIENT ACCOUNTS MANAGED BY KACALP.

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December 31, 2018 Filed Mar 4, 2019 14:59 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 PurchaseCLASS A COMMON STOCK 6,000 $7.75 $46,500.00
Disclosure

SEC source: 0000899243-19-005705 · doc4a.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,334,000

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THOSE POOLED VEHICLES. PURCHASE AND SALE TRANSACTIONS REPORTED ABOVE RELATED TO DIFFERENT CLIENT ACCOUNTS MANAGED BY KACALP.

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December 28, 2018 Filed Mar 4, 2019 14:59 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 PurchaseCLASS A COMMON STOCK 10,000 $7.82 $78,200.00
Disclosure

SEC source: 0000899243-19-005705 · doc4a.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,328,000

F1 · kind: REFERS TO HOLDINGS IN POOLED VEHICLES AND CLIENT ACCOUNTS MANAGED OR CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). KACALP DISCLAIMS BENEFICIAL INTEREST IN THOSE SHARES EXCEPT TO THE EXTENT OF ITS ECONOMIC INTEREST IN THOSE POOLED VEHICLES. PURCHASE AND SALE TRANSACTIONS REPORTED ABOVE RELATED TO DIFFERENT CLIENT ACCOUNTS MANAGED BY KACALP.

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December 21, 2018 Filed Dec 26, 2018 14:55 UTC Kinetik Holdings Inc. ALTM · Entity 2202 OtherWARRANTS · Derivative 3,182,141 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-18-031680 · doc4.xml · derivative · entry 2

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 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

Underlying: CLASS A COMMON · 3,182,141 shares

Expires 2023-11-09

F1 · kind: KAYNE ANDERSON SPONSOR, LLC DISTRIBUTED ALL SECURITIES OF ALTM OWNED BY IT (CLASS A COMMON STOCK AND WARRANTS) TO ITS EQUITY OWNERS.

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December 21, 2018 Filed Dec 26, 2018 14:55 UTC Kinetik Holdings Inc. ALTM · Entity 2202 OtherCLASS A COMMON STOCK 2,000,000 $7.63 $15,260,000.00
Disclosure

SEC source: 0000899243-18-031680 · doc4.xml · nonDerivative · entry 1

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 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: KAYNE ANDERSON SPONSOR, LLC DISTRIBUTED ALL SECURITIES OF ALTM OWNED BY IT (CLASS A COMMON STOCK AND WARRANTS) TO ITS EQUITY OWNERS.

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December 21, 2018 Filed Dec 26, 2018 14:56 UTC Kinetik Holdings Inc. ALTM · Entity 2202 OtherWARRANTS · Derivative 1,122,020 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-18-031681 · doc4.xml · derivative · entry 3

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,122,020

Underlying: CLASS A COMMON · 1,122,020 shares

Expires 2023-11-09

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). UNLESS RECEIVED BY KACALP, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP.

F3 · ownership.direct: TOTAL BENEFICIALLY OWNED REFLECTS DISTRIBUTION BY KAYNE ANDERSON SPONSOR, LLC TO ITS EQUITY OWNERS OF WARRANTS TO PURCHASE 3,182,141 SHARES OF CLASS A COMMON STOCK NO LONGER BENEFICIALLY OWNED BY REPORTING PERSON EXCEPT TO THE EXTENT RECEIVED IN THAT DISTRIBUTION.

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December 21, 2018 Filed Dec 26, 2018 14:56 UTC Kinetik Holdings Inc. ALTM · Entity 2202 OtherCLASS A COMMON STOCK 556,661 $7.63 $4,247,323.43
Disclosure

SEC source: 0000899243-18-031681 · doc4.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 756,661

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). UNLESS RECEIVED BY KACALP, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP.

F2 · ownership.direct: TOTAL BENEFICIALLY OWNED NOW INCLUDES 556,661 SHARES HELD DIRECTLY BY KACALP AND 200,000 SHARES HELD DIRECTLY BY RICHARD A. KAYNE IN A FAMILY TRUST.

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December 21, 2018 Filed Dec 26, 2018 14:56 UTC Kinetik Holdings Inc. ALTM · Entity 2202 OtherCLASS A COMMON STOCK 2,000,000 $7.63 $15,260,000.00
Disclosure

SEC source: 0000899243-18-031681 · doc4.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,318,000

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). UNLESS RECEIVED BY KACALP, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP.

F1 · ownership.nature: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"). UNLESS RECEIVED BY KACALP, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP.

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December 21, 2018 Filed Dec 27, 2018 16:06 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 OtherWARRANTS · Derivative 1,122,020 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-18-031807 · doc4a.xml · derivative · entry 3

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,122,020

Underlying: CLASS A COMMON · 1,122,020 shares

Expires 2023-11-09

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"), AND RICHARD A. KAYNE. UNLESS RECEIVED BY KACALP OR RICHARD A. KAYNE, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP OR RICHARD A. KAYNE.

F3 · ownership.direct: TOTAL BENEFICIALLY OWNED REFLECTS DISTRIBUTION BY KAYNE ANDERSON SPONSOR, LLC TO ITS EQUITY OWNERS OF WARRANTS TO PURCHASE 3,182,141 SHARES OF CLASS A COMMON STOCK NO LONGER BENEFICIALLY OWNED BY REPORTING PERSON EXCEPT TO THE EXTENT RECEIVED IN THAT DISTRIBUTION.

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December 21, 2018 Filed Dec 27, 2018 16:06 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 OtherCLASS A COMMON STOCK 756,661 $7.63 $5,773,323.43
Disclosure

SEC source: 0000899243-18-031807 · doc4a.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 956,661

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"), AND RICHARD A. KAYNE. UNLESS RECEIVED BY KACALP OR RICHARD A. KAYNE, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP OR RICHARD A. KAYNE.

F2 · ownership.direct: TOTAL BENEFICIALLY OWNED NOW INCLUDES 556,661 SHARES HELD DIRECTLY BY KACALP AND 400,000 SHARES HELD DIRECTLY BY RICHARD A. KAYNE IN A FAMILY TRUST.

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December 21, 2018 Filed Dec 27, 2018 16:06 UTC Amendment Kinetik Holdings Inc. ALTM · Entity 2202 OtherCLASS A COMMON STOCK 2,000,000 $7.63 $15,260,000.00
Disclosure

SEC source: 0000899243-18-031807 · doc4a.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,318,000

F1 · kind: DISTRIBUTION OF CLASS A COMMON STOCK AND WARRANTS BY KAYNE ANDERSON SPONSOR LLC TO ITS EQUITY OWNERS INCLUDING KAYNE ANDERSON CAPITAL ADVISORS, L.P. ("KACALP"), AND RICHARD A. KAYNE. UNLESS RECEIVED BY KACALP OR RICHARD A. KAYNE, DISTRIBUTED SECURITIES NO LONGER REPORTABLE BY KACALP OR RICHARD A. KAYNE.

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November 09, 2018 Filed Nov 14, 2018 16:25 UTC Kinetik Holdings Inc. KAAC · Entity 2202 OtherCLASS B COMMON · Derivative 2,000,000 $10.00 Strike: $10.00 $20,000,000.00
Disclosure

SEC source: 0000899243-18-028924 · doc4.xml · derivative · entry 4

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE REMARKS

Disclosed balance after: 0

Underlying: CLASS A COMMON · 2,000,000 shares

Expires 2018-11-09

F3 · kind: AS PART OF THE BUSINESS COMBINATION TRANSACTION INVOLVING THE ISSUER,KAYNE SPONSOR REDEEMED 5,570 ,422 SHARES OF CLASS B COMMON STOCK AND REISSUED/TRANSFERRED TO AN UNAFFILIATED THIRD PARTY SHAREHOLDER OF THE ISSUER. THE REMAINING 2,000,000 SHARES OF CLASS B COMMON STOCK OWNED BY KAYNE SPONSOR WERE CONVERTED TO CLASS A COMMON STOCK.

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November 09, 2018 Filed Nov 14, 2018 16:25 UTC Kinetik Holdings Inc. KAAC · Entity 2202 OtherCLASS B COMMON · Derivative 5,570,422 $10.00 Strike: $10.00 $55,704,220.00
Disclosure

SEC source: 0000899243-18-028924 · doc4.xml · derivative · entry 3

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE REMARKS

Disclosed balance after: 2,000,000

Underlying: CLASS A COMMON · 5,570,422 shares

Expires 2018-11-09

F3 · kind: AS PART OF THE BUSINESS COMBINATION TRANSACTION INVOLVING THE ISSUER,KAYNE SPONSOR REDEEMED 5,570 ,422 SHARES OF CLASS B COMMON STOCK AND REISSUED/TRANSFERRED TO AN UNAFFILIATED THIRD PARTY SHAREHOLDER OF THE ISSUER. THE REMAINING 2,000,000 SHARES OF CLASS B COMMON STOCK OWNED BY KAYNE SPONSOR WERE CONVERTED TO CLASS A COMMON STOCK.

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November 09, 2018 Filed Nov 14, 2018 16:25 UTC Kinetik Holdings Inc. KAAC · Entity 2202 OtherWARRANTS · Derivative 3,182,140 $10.00 Strike: $10.00 $31,821,400.00
Disclosure

SEC source: 0000899243-18-028924 · doc4.xml · derivative · entry 2

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE REMARKS

Disclosed balance after: 3,182,141

Underlying: CLASS A COMMON · 3,182,140 shares

Expires 2023-11-09

F2 · kind: AS PART OF THE BUSINESS COMBINATION TRANSACTION INVOLVING THE ISSUER,KAYNE SPONSOR REDEEMED WARRANTS EXERCISABLE FOR 3,182,140 SHARES OF CLASS A COMMON STOCK AND REISSUED/TRANSFERRED TO AN UNAFFILIATED THIRD PARTY SHAREHOLDER OF THE ISSUER.

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November 09, 2018 Filed Nov 14, 2018 16:25 UTC Kinetik Holdings Inc. KAAC · Entity 2202 ConversionCLASS A COMMON STOCK 2,000,000 $10.00 $20,000,000.00
Disclosure

SEC source: 0000899243-18-028924 · doc4.xml · nonDerivative · entry 1

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE REMARKS

Disclosed balance after: 2,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: CONVERSION OF 2,000,000 SHARES OF CLASS B COMMON STOCK HELD BY KAYNE ANDERSON SPONSOR, LLC ("KAYNE SPONSOR"), WHICH IS CONTROLLED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P.

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November 09, 2018 Filed Nov 14, 2018 15:32 UTC Kinetik Holdings Inc. KAAC · Entity 2202 PurchaseCLASS A COMMON STOCK 200,000 $10.00 $2,000,000.00
Disclosure

SEC source: 0000899243-18-028901 · doc4.xml · nonDerivative · entry 2

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,518,000

F2 · kind: HELD BY RICHARD A. KAYNE IN A FAMILY TRUST.

F2 · ownership.direct: HELD BY RICHARD A. KAYNE IN A FAMILY TRUST.

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November 09, 2018 Filed Nov 14, 2018 15:32 UTC Kinetik Holdings Inc. KAAC · Entity 2202 PurchaseCLASS A COMMON STOCK 14,318,000 $10.00 $143,180,000.00
Disclosure

SEC source: 0000899243-18-028901 · doc4.xml · nonDerivative · entry 1

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE REMARKS

Disclosed balance after: 16,318,000

F1 · kind: PRIVATE PURCHASE OF CLASS A COMMON STOCK BY PRIVATE COMMINGLED FUNDS AND SEPARATELY MANAGED CLIENT ACCOUNTS MANAGED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P.

F1 · ownership.nature: PRIVATE PURCHASE OF CLASS A COMMON STOCK BY PRIVATE COMMINGLED FUNDS AND SEPARATELY MANAGED CLIENT ACCOUNTS MANAGED BY KAYNE ANDERSON CAPITAL ADVISORS, L.P.

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October 22, 2018 Filed Oct 25, 2018 19:54 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherCOMMON STOCK 303,568 Not disclosed Not disclosed
Disclosure

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.

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October 22, 2018 Filed Oct 25, 2018 19:54 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherCOMMON STOCK 152,445 Not disclosed Not disclosed
Disclosure

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.

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October 02, 2018 Filed Oct 4, 2018 16:35 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 SaleCommon Stock 109,568 $129,559.00 $14,195,520,512.00
Disclosure

SEC source: 0001304186-18-000016 · primary_doc.xml · nonDerivative · entry 3

KAYNE RICHARD A · CIK 0000884413 · See remaks

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · See remarks

KA Fund Advisors LLC · CIK 0001376209 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,000

F1 · ownership.nature: The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.

F2 · ownership.nature: 4,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.

F3 · ownership.nature: Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.

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October 02, 2018 Filed Oct 4, 2018 16:35 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 SaleCommon Stock 20,000 $13.00 $260,044.00
Disclosure

SEC source: 0001304186-18-000016 · primary_doc.xml · nonDerivative · entry 2

KAYNE RICHARD A · CIK 0000884413 · See remaks

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · See remarks

KA Fund Advisors LLC · CIK 0001376209 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 113,568

F1 · ownership.nature: The 129,568 shares sold were held by Kayne Anderson Capital Advisors, L.P. ("KACALP"), Richard Kayne is the majority owner and chairman of KACALP. 20,000 shares were sold to James C. Baker, President of KMF, in a negotiated transaction based on the VWAP price for October 2, 2018.

F2 · ownership.nature: 4,000 shares held by KA Fund Advisors, LLC ("KAFA"). KACALP (and Mr. Kayne by virtue of his ownership of KACALP) is the majority owner of KAFA.

F3 · ownership.nature: Mr. Kayne disclaims beneficial ownership of all shares held or controlled by KACALP and KAFA to the extent of his pecuniary interest therein.

Read SEC document
September 23, 2018 Filed Sep 25, 2018 19:59 UTC Kimbell Royalty Partners, LP KRP · Entity 4535 OtherOpCo Common Units · Derivative 4,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-025203 · doc4.xml · derivative · entry 2

Haymaker Minerals & Royalties, LLC · CIK 0001747787 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000,000

Underlying: Common Units · Not disclosed shares

Expires not disclosed

F4 · derivative.exercise_price: Pursuant to an Exchange Agreement entered into in connection with the Recapitalization Agreement and the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, are exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F1 · kind: In connection with the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement and pursuant to a Recapitalization Agreement (the "Recapitalization Agreement"), Haymaker Minerals & Royalties, LLC ("Haymaker Minerals") delivered and assigned its 4,000,000 common units in exchange for (i) 4,000,000 newly issued Class B common units (the "Class B Common Unit") representing limited partnership interests in the Issuer and (ii) 4,000,000 newly issued common units (the "OpCo Common Units") in Kimbell Royalty Operating, LLC (the "OpCo"), a wholly owned subsidiary of the Issuer.

F4 · price: Pursuant to an Exchange Agreement entered into in connection with the Recapitalization Agreement and the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, are exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · derivative.exercise_date: Pursuant to an Exchange Agreement entered into in connection with the Recapitalization Agreement and the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, are exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · derivative.expiration_date: Pursuant to an Exchange Agreement entered into in connection with the Recapitalization Agreement and the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, are exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F4 · derivative.underlying_shares: Pursuant to an Exchange Agreement entered into in connection with the Recapitalization Agreement and the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement, each Class B Common Unit and OpCo Common Unit (together, a "Unit"), collectively, are exchangeable, on a one-for-one basis, for common units of the Issuer or, at the OpCo's election, for cash. Upon exchange of a Unit, the corresponding unit of Class B Common Unit and OpCo Common Unit will be redeemed at par value and cancelled. The Class B Common Units and the OpCo Common Units do not have an expiration date.

F2 · ownership.direct: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F3 · ownership.direct: (Continued from footnote 2) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

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September 23, 2018 Filed Sep 25, 2018 19:59 UTC Kimbell Royalty Partners, LP KRP · Entity 4535 OtherCommon Units 4,000,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-025203 · doc4.xml · nonDerivative · entry 1

Haymaker Minerals & Royalties, LLC · CIK 0001747787 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 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: In connection with the effectiveness of the Issuer's Third Amended and Restated Partnership Agreement and pursuant to a Recapitalization Agreement (the "Recapitalization Agreement"), Haymaker Minerals & Royalties, LLC ("Haymaker Minerals") delivered and assigned its 4,000,000 common units in exchange for (i) 4,000,000 newly issued Class B common units (the "Class B Common Unit") representing limited partnership interests in the Issuer and (ii) 4,000,000 newly issued common units (the "OpCo Common Units") in Kimbell Royalty Operating, LLC (the "OpCo"), a wholly owned subsidiary of the Issuer.

F2 · ownership.direct: These shares are owned directly by Haymaker Minerals. Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI"), a member of Haymaker Minerals holding the right to appoint four of the seven representatives to the board of managers of Haymaker Minerals. The four representatives to the board of managers of Haymaker Minerals appointed by KAEF VI possess the majority vote of the board of managers of Haymaker Minerals. As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the Common Units owned by Haymaker Minerals. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP.

F3 · ownership.direct: (Continued from footnote 2) Mr. Kayne is also a limited partner of KAEF VI. KACALP disclaims beneficial ownership of the securities owned by Haymaker Minerals in excess of its pecuniary interest therein and this statement shall not be deemed an admission that KACALP is the beneficial owner of the reported Common Units for the purposes of Section 13(d) of the Exchange Act or any other purpose. Mr. Kayne disclaims beneficial ownership of the Common Units reported, except those Common Units held by him or attributable to him by virtue of his limited partner interest in KAEF VI and his indirect interest in the interest of KACALP in KAEF VI.

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August 06, 2018 Filed Aug 21, 2018 19:48 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 OtherCOMMON STOCK 71,828 $15.10 $1,084,602.80
Disclosure

SEC source: 0000899243-18-022911 · 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: 133,568

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY TOTAL RETURN FUND, INC. IN CONNECTION WITH ITS REORGANIZATION INTO KMF, USING RESPECTIVE NET ASSET VALUES PER SHARE.

F2 · ownership.direct: A TOTAL OF 129,568 SHARES ARE HELD BY KAYNE ANDERSON CAPITAL ADVISORS, L.P.("KACALP") RICHARD KAYNE IS THE MAJORITY OWNER AND CHAIRMAN OF KACALP. A TOTAL OF 4,000 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 AND KAFA EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

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August 06, 2018 Filed Aug 21, 2018 19:48 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 OtherCOMMON STOCK 197,754 $15.10 $2,986,085.40
Disclosure

SEC source: 0000899243-18-022911 · 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: 203,844

F1 · kind: SHARES RECEIVED IN EXCHANGE FOR SHARES FORMERLY HELD IN KAYNE ANDERSON ENERGY TOTAL RETURN FUND, INC. IN CONNECTION WITH ITS REORGANIZATION INTO KMF, USING RESPECTIVE NET ASSET VALUES PER SHARE.

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August 06, 2018 Filed Aug 21, 2018 19:45 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherCOMMON STOCK 17,725 $20.02 $354,854.50
Disclosure

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.

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August 06, 2018 Filed Aug 21, 2018 19:45 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherCOMMON STOCK 24,788 $20.02 $496,255.76
Disclosure

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.

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July 30, 2018 Filed Aug 1, 2018 20:26 UTC KAYNE ANDERSON ENERGY DEVELOPMENT CO KED · Entity 164448 PurchaseCOMMON STOCK 2,000 $17.53 $35,060.00
Disclosure

SEC source: 0000899243-18-021040 · doc4.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · SEE FOOTNOTE

Disclosed balance after: 20,450

F1 · ownership.nature: Acquisition was made by spouse's retirement account. Other shares are held by KA Fund Advisors, LLC ("KAFA") and by Kayne Anderson Capital Advisors, LP ("KACALP"), KAFA's managing member. Richard Kayne is the majority owner and chairman of KACALP. Mr. Kayne disclaims beneficial ownership of all shares held or controlled by his spouse's retirement account and by KALCAP and KAFA except to the extent of his pecuniary interest therein.

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May 01, 2018 Filed May 8, 2018 18:32 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 PurchaseCommon Stock 14,265 $17.53 $250,012.67
Disclosure

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.

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June 01, 2017 Filed Jun 5, 2017 19:42 UTC Kinetik Holdings Inc. KAAC · Entity 2202 OtherClass B Common Stock · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-015423 · doc4.xml · derivative · entry 1

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,313,028

Underlying: Class A Common Stock · 40,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F2 · kind: In connection with Mark Borer's election as an independent director of the issuer, 40,000 shares of Class B common stock of the issuer were transferred by Kayne Anderson Sponsor, LLC to Mr. Borer for no consideration.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

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May 24, 2017 Filed May 26, 2017 17:23 UTC RSP Permian, Inc. RSPP · Entity 164859 SaleCommon Stock 17,250,000 $38.78 $668,955,000.00
Disclosure

SEC source: 0000899243-17-014594 · doc4.xml · nonDerivative · entry 1

KAYNE RICHARD A · CIK 0000884413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,626,089

F1 · kind: Includes 5,134,925 shares of common stock, par value $0.01 per share (the "Common Stock"), of RSP Permian, Inc. (the "Issuer") owned directly by Silver Hill Energy Partners Holdings, LLC ("SHEP Holdings") and 5,491,164 shares of the Common Stock owned directly by Silver Hill Energy Partners II, LLC ("SHEP II"). Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI LP"), and Kayne Anderson Energy Fund VII LP ("KAEF VII LP"). KAEF VI LP is a member of SHEP Holdings that holds the right to appoint five of the nine representatives to the board of managers of SHEP Holdings. The five representatives to the board of managers of SHEP Holdings appointed by KAEF VI LP possess the majority vote of the board of managers of SHEP Holdings. KAEF VII LP is a member of SHEP II that holds the right to appoint three of the five representatives to the board of managers of SHEP II.

F2 · kind: (continued from Footnote 1) As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares owned by SHEP Holdings and by SHEP II. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP. Mr. Kayne is also a limited partner of KAEF VI LP and KAEF VII LP.

F3 · kind: On May 18, 2017, the Issuer and SHEP Holdings and SHEP II (the "Selling Stockholders"), entered into an Underwriting Agreement (the "Underwriting Agreement") with Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Underwriter") relating to the offer and sale (the "Offering") of 15,000,000 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") by the Selling Stockholders at a price to the Underwriter of $38.78 per share, to be resold by the Underwriter to the public at variable prices. Pursuant to the Underwriting Agreement, the Selling Stockholders granted the Underwriter a 30-day option to purchase up to an additional 2,250,000 shares of the Common Stock (the "Upsize"), which option was exercised in full by the Underwriter on May 23, 2017. The Offering and Upsize were settled on May 24, 2017.

F4 · kind: Mr. Kayne disclaims beneficial ownership of the shares reported, except those shares held by him or attributable to him by virtue of his limited partnership interests in KAEF VI LP and KAEF VII LP and his indirect interest in the interest of KACALP in the limited partnerships.

F1 · ownership.nature: Includes 5,134,925 shares of common stock, par value $0.01 per share (the "Common Stock"), of RSP Permian, Inc. (the "Issuer") owned directly by Silver Hill Energy Partners Holdings, LLC ("SHEP Holdings") and 5,491,164 shares of the Common Stock owned directly by Silver Hill Energy Partners II, LLC ("SHEP II"). Kayne Anderson Capital Advisors, L.P. ("KACALP") is the managing member of the general partner of Kayne Anderson Energy Fund VI LP ("KAEF VI LP"), and Kayne Anderson Energy Fund VII LP ("KAEF VII LP"). KAEF VI LP is a member of SHEP Holdings that holds the right to appoint five of the nine representatives to the board of managers of SHEP Holdings. The five representatives to the board of managers of SHEP Holdings appointed by KAEF VI LP possess the majority vote of the board of managers of SHEP Holdings. KAEF VII LP is a member of SHEP II that holds the right to appoint three of the five representatives to the board of managers of SHEP II.

F2 · ownership.nature: (continued from Footnote 1) As a result, KACALP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares owned by SHEP Holdings and by SHEP II. Richard A. Kayne ("Mr. Kayne") is the controlling shareholder of Kayne Anderson Investment Management, Inc., the general partner of KACALP. Mr. Kayne is also a limited partner of KAEF VI LP and KAEF VII LP.

F4 · ownership.nature: Mr. Kayne disclaims beneficial ownership of the shares reported, except those shares held by him or attributable to him by virtue of his limited partnership interests in KAEF VI LP and KAEF VII LP and his indirect interest in the interest of KACALP in the limited partnerships.

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April 21, 2017 Filed Apr 25, 2017 15:58 UTC Kinetik Holdings Inc. KAAC · Entity 2202 OtherClass B Common Stock · Derivative 629,472 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-010849 · doc4.xml · derivative · entry 1

Kayne Anderson Sponsor, LLC · CIK 0001702103 · 10% owner

KAYNE RICHARD A · CIK 0000884413 · 10% owner

KAYNE ANDERSON INVESTMENT MANAGEMENT INC · CIK 0000884415 · 10% owner

KAYNE ANDERSON CAPITAL ADVISORS LP · CIK 0000949615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,353,028

Underlying: Class A Common Stock · 629,472 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 629,472 shares of Class B common stock of the issuer were returned by Kayne Anderson Sponsor, LLC to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-216514) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

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October 26, 2016 Filed Oct 26, 2016 17:04 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 PurchaseCommon Stock 25,500 $19.45 $495,931.65
Disclosure

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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.