- Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (N-Q)
November 01 2010 - 6:02AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
INVESTMENT COMPANY ACT FILE NUMBER 811-21593
KAYNE ANDERSON MLP INVESTMENT COMPANY
(Exact name of registrant as specified in charter)
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717 Texas Avenue, Suite 3100, Houston, Texas
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77002
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(Address of principal executive offices)
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(Zip code)
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David Shladovsky, Esq.
KA Fund Advisors, LLC, 717 Texas Avenue, Suite 3100, Houston, Texas 77002
(Name and address of agent for service)
Registrants telephone number, including area code:
(713) 493-2020
Date of fiscal year end:
November 30, 2010
Date of reporting period:
August 31, 2010
Item 1: Schedule of Investments
KAYNE ANDERSON MLP INVESTMENT COMPANY
SCHEDULE OF INVESTMENTS
AUGUST 31, 2010
(amounts in 000s, except number of option contracts)
(UNAUDITED)
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No. of
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Description
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Shares/Units
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Value
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Long-Term Investments 152.8%
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Equity Investments(a) 149.4%
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Midstream MLP(b) 102.0%
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Boardwalk Pipeline Partners, LP
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587
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$
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17,952
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Buckeye Partners, L.P.
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413
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25,209
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Chesapeake Midstream Partners, L.P.(c)
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786
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18,500
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Copano Energy, L.L.C.
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3,510
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88,181
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Crosstex Energy, L.P.(d)
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2,633
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31,591
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DCP Midstream Partners, LP
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1,281
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40,677
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Duncan Energy Partners L.P.
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371
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10,278
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Eagle Rock Energy Partners, L.P.
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677
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4,063
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El Paso Pipeline Partners, L.P.
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1,479
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46,322
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Enbridge Energy Partners, L.P.(e)
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1,566
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84,165
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Energy Transfer Partners, L.P.
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1,823
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83,310
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Enterprise Products Partners L.P.(e)
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4,821
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178,221
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Exterran Partners, L.P.
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1,193
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27,866
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Global Partners LP
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1,441
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35,788
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Holly Energy Partners, L.P.
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770
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38,489
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Magellan Midstream Partners, L.P.(e)
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3,462
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167,768
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Magellan Midstream Partners, L.P. Unregistered(h)
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238
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11,224
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MarkWest Energy Partners, L.P.(e)
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3,858
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128,542
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Martin Midstream Partners L.P.
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339
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10,092
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Niska Gas Storage Partners LLC
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540
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10,191
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ONEOK Partners, L.P.(e)
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1,122
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77,219
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PAA Natural Gas Storage, L.P.(f)
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210
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5,009
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Plains All American Pipeline, L.P.(f)
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2,876
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172,698
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Quicksilver Gas Services LP
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949
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22,031
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Regency Energy Partners LP
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3,506
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83,377
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Spectra Energy Partners, LP
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294
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9,462
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Sunoco Logistics Partners L.P.
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217
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16,032
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Targa Resources Partners LP
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1,032
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26,104
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TC PipeLines, LP
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189
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8,225
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TransMontaigne Partners L.P.
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697
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24,279
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Western Gas Partners, LP
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1,247
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30,027
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Williams Partners L.P.
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2,898
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114,787
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1,647,679
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General Partner MLP 17.3%
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Alliance Holdings GP L.P.
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1,066
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40,591
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Buckeye GP Holdings L.P.
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46
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1,920
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Energy Transfer Equity, L.P.(e)
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2,648
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92,019
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Enterprise GP Holdings L.P.
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1,318
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63,728
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Inergy Holdings, L.P. Unregistered(h)
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1,526
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40,583
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Penn Virginia GP Holdings, L.P.
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2,024
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39,624
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278,465
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KAYNE ANDERSON MLP INVESTMENT COMPANY
SCHEDULE OF INVESTMENTS
AUGUST 31, 2010
(amounts in 000s, except number of option contracts)
(UNAUDITED)
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No. of
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Description
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Shares/Units
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Value
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MLP Affiliates(b) 13.6%
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Enbridge Energy Management, L.L.C.(g)
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999
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$
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53,003
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Kinder Morgan Management, LLC(g)
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2,816
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166,330
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219,333
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Shipping MLP 7.4%
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Capital Product Partners L.P.
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2,281
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18,433
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Navios Maritime Partners L.P.
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1,685
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29,168
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Teekay LNG Partners L.P.
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1,012
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33,238
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Teekay Offshore Partners L.P.
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1,319
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28,030
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Teekay Tankers Ltd.
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936
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10,816
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119,685
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Propane MLP 6.7%
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Inergy, L.P.
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2,910
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108,360
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Coal MLP 1.3%
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Alliance Resource Partners, L.P.
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67
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3,602
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Natural Resource Partners L.P.
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599
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15,344
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Oxford Resource Partners, LP
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60
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1,145
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Penn Virginia Resource Partners, L.P.
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59
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1,314
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21,405
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Upstream MLP 1.1%
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EV Energy Partners, L.P.
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221
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7,430
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Legacy Reserves LP
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447
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10,230
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17,660
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Total Equity Investments (Cost $1,650,673)
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2,412,587
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Interest
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Maturity
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Principal
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Rate
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Date
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Amount
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Energy Debt Investments 3.4%
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Midstream MLP (b) 1.6%
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Crosstex Energy, L.P.
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8.875
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%
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2/15/18
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$
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15,000
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15,487
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El Paso Corporation
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7.750
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1/15/32
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5,000
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5,033
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Niska Gas Storage U.S., LLC
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8.875
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3/15/18
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5,000
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5,263
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25,783
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Upstream MLP(b) 1.2%
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Atlas Energy Resources, LLC
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12.125
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8/1/17
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9,000
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10,339
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Atlas Energy Resources, LLC
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10.750
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2/1/18
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6,000
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6,615
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Linn Energy, LLC
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8.625
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4/15/20
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2,000
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2,110
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19,064
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KAYNE ANDERSON MLP INVESTMENT COMPANY
SCHEDULE OF INVESTMENTS
AUGUST 31, 2010
(amounts in 000s, except number of option contracts)
(UNAUDITED)
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Interest
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Maturity
|
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Principal
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Description
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Rate
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Date
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Amount
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Value
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Coal MLP 0.6%
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Clearwater Natural Resources, LP(d)(h)(i)
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N/A
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N/A
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13,601
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$
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4,760
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Penn Virginia Resource Partners, L.P.
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8.250
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%
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4/15/18
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5,000
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5,050
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9,810
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Total Energy Debt Investments (Cost $60,139)
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54,657
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Total Long-Term Investments (Cost $1,710,812)
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2,467,244
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Short-Term Investment 1.1%
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Repurchase Agreement 1.1%
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J.P. Morgan Securities Inc.
(Agreement dated 8/31/10 to be
repurchased at $17,221),
collateralized by $17,632 in
U.S. Treasury bill (Cost $17,221)
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0.140
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|
9/1/10
|
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17,221
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No. of
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Contracts
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Put Option Contracts Purchased(d) 0.0%
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Midstream MLP
|
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|
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Duncan Energy Partners L.P., put option expiring 9/18/10 @ $25.00
(Cost $21
)
|
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|
1,000
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|
|
10
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|
|
|
|
|
|
|
|
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|
|
|
|
|
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Total Short-Term Investments (Cost $17,242)
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17,231
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|
|
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|
|
|
|
|
|
|
|
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|
Total Investments 153.9% (Cost $1,728,054)
|
|
|
|
|
|
|
2,484,475
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|
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Liabilities
|
|
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|
|
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Call Option Contracts Written(d)
|
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|
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Midstream MLP
|
|
|
|
|
|
|
|
|
Enbridge Energy Partners, L.P., call option expiring 10/16/10 @ $55.00
|
|
|
1,000
|
|
|
|
(105
|
)
|
Enterprise Products Partners L.P., call option expiring 9/18/10 @ $36.00
|
|
|
1,800
|
|
|
|
(180
|
)
|
Enterprise Products Partners L.P., call option expiring 9/18/10 @ $37.00
|
|
|
400
|
|
|
|
(25
|
)
|
Magellan Midstream Partners, L.P., call option expiring 9/18/10 @ $50.00
|
|
|
200
|
|
|
|
(4
|
)
|
MarkWest Energy Partners, L.P., call option expiring 9/18/10 @ $34.00
|
|
|
851
|
|
|
|
(43
|
)
|
MarkWest Energy Partners, L.P., call option expiring 9/18/10 @ $35.00
|
|
|
850
|
|
|
|
(13
|
)
|
ONEOK Partners, L.P., call option expiring 9/18/10 @ $70.00
|
|
|
300
|
|
|
|
(15
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(385
|
)
|
|
|
|
|
|
|
|
|
General Partner MLP
|
|
|
|
|
|
|
|
|
Energy Transfer Equity, L.P., call option expiring 9/18/10 @ $35.00
|
|
|
100
|
|
|
|
(4
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Call Option Contracts Written (Premiums Received $533)
|
|
|
|
|
|
|
(389
|
)
|
|
|
|
|
|
|
|
|
Senior Unsecured Notes
|
|
|
|
|
|
|
(480,000
|
)
|
Mandatory Redeemable Preferred Stock at Redemption Value
|
|
|
|
|
|
|
(110,000
|
)
|
Deferred Tax Liability
|
|
|
|
|
|
|
(262,227
|
)
|
Other Liabilities
|
|
|
|
|
|
|
(26,578
|
)
|
|
|
|
|
|
|
|
|
Total Liabilities
|
|
|
|
|
|
|
(879,194
|
)
|
Other Assets
|
|
|
|
|
|
|
9,427
|
|
|
|
|
|
|
|
|
|
Total Liabilities in Excess of Other Assets
|
|
|
|
|
|
|
(869,767
|
)
|
|
|
|
|
|
|
|
|
Net Assets Applicable to Common Stockholders
|
|
|
|
|
|
$
|
1,614,708
|
|
|
|
|
|
|
|
|
|
KAYNE ANDERSON MLP INVESTMENT COMPANY
SCHEDULE OF INVESTMENTS
AUGUST 31, 2010
(amounts in 000s, except number of option contracts)
(UNAUDITED)
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(a)
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Unless otherwise noted, equity investments are common units/common shares.
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(b)
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Includes Limited Liability Companies.
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(c)
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Security is currently not paying cash distributions but is expected to pay cash distributions
within the next 12 months.
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(d)
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Security is non-income producing.
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(e)
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Security or a portion thereof is segregated as collateral on option contracts written.
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(f)
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The Company believes that it is an affiliate of PAA Natural Gas Storage, L.P. and Plains All
American, L.P.
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(g)
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Distributions are paid in-kind.
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(h)
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Fair valued securities, restricted from public sale.
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(i)
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Clearwater Natural Resources, LP is a privately-held MLP that Kayne Anderson MLP Investment
Company (the Company) believes is a controlled affiliate. On January 12, 2010, Clearwater
closed on the sale of all of its reserves and a substantial portion of its operating assets to
International Resource Partners, L.P. (IRP). On March 16, 2010, the Bankruptcy Court
confirmed Clearwaters plan of reorganization (including such sale of assets to IRP). As part
of Clearwaters plan of reorganization, the Company will receive consideration for its
unsecured term loan. Such consideration will be in the form of cash and a royalty interest in
the reserves sold. Pursuant to the plan of reorganization, the Company will not receive any
consideration for its equity investment in Clearwater or CNR GP Holdco, LLC. In addition to
the unsecured term loan, the Company owns 3,889 common units, 34 warrants and 41 deferred
participation units of Clearwater. The Company assigned no value to these equity investments
as of August 31, 2010. CNR GP Holdco, LLC is the general partner of Clearwater. The Company
owns 83.7% of CNR GP Holdco, LLC, which was assigned no value as of August 31, 2010, and
believes it is a controlled affiliate.
|
From time to time, certain of the Companys investments may be restricted as to resale. For
instance, private investments that are not registered under the Securities Act of 1933, as amended,
cannot be offered for public sale in a non-exempt transaction without first being registered. In
other cases, certain of the Companys investments have restrictions such as lock-up agreements that
preclude the Company from offering these securities for public sale.
At August 31, 2010, the Company held the following restricted investments.
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|
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Number of
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Units,
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Percent of
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Acquisition
|
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Type of
|
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Principal ($)
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|
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Cost
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Percent of
|
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Total
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Investment
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Security
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Date
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Restriction
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(in 000s)
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Basis
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Fair Value
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Net Assets
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Assets
|
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Clearwater Natural Resources, L.P.
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Common Units
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(1)
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(2)
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3,889
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$
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72,860
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$
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|
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|
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Clearwater Natural Resources, L.P.
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Unsecured Term Loan
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(3)
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(2)
|
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$
|
13,601
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|
|
|
13,690
|
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|
|
4,760
|
|
|
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0.3
|
%
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0.2
|
%
|
CNR GP Holdco, LLC
|
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LLC Interests
|
|
3/5/08
|
|
(2)
|
|
|
n/a
|
|
|
|
1,083
|
|
|
|
|
|
|
|
|
|
|
|
|
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Inergy Holdings, L.P.
|
|
Common Units
|
|
6/15/10
|
|
(4)
|
|
|
1,526
|
|
|
|
34,533
|
|
|
|
40,583
|
|
|
|
2.5
|
|
|
|
1.6
|
|
Magellan Midstream Partners, L.P.
|
|
Common Units
|
|
6/10/10
|
|
(4)
|
|
|
238
|
|
|
|
9,705
|
|
|
|
11,224
|
|
|
|
0.7
|
|
|
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0.5
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total of securities valued in accordance with procedures established by the Board of Directors(5)
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|
$
|
131,871
|
|
|
$
|
56,567
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|
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3.5
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%
|
|
|
2.3
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%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
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|
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|
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Linn Energy, LLC
|
|
Senior Notes
|
|
7/21/10
|
|
(6)
|
|
$
|
2,000
|
|
|
$
|
2,112
|
|
|
$
|
2,110
|
|
|
|
0.1
|
|
|
|
0.1
|
|
Niska Gas Storage U.S., LLC
|
|
Senior Notes
|
|
2/26/10
|
|
(6)
|
|
$
|
5,000
|
|
|
|
5,022
|
|
|
|
5,263
|
|
|
|
0.3
|
|
|
|
0.2
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total of securities valued by prices provided by market maker or independent pricing services
|
|
$
|
7,134
|
|
|
$
|
7,373
|
|
|
|
0.4
|
%
|
|
|
0.3
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total of all restricted securities
|
|
|
|
|
|
|
|
|
|
|
|
$
|
139,005
|
|
|
$
|
63,940
|
|
|
|
3.9
|
%
|
|
|
2.6
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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(1)
|
|
The Company purchased common units on August 1, 2005 and October 2, 2006.
|
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(2)
|
|
On January 7, 2009, Clearwater Natural Resources, LP (Clearwater) filed a voluntary
petition under Chapter 11 of the U.S. Bankruptcy Code. Clearwater continued operations as a
debtor-in-possession during fiscal 2009.
|
|
(3)
|
|
The Company purchased term loans on January 11, 2008; February 28, 2008; May 5, 2008; July 8,
2008; August 6, 2008; and September 29, 2008. The Company is not accruing interest income on
this investment.
|
|
(4)
|
|
Unregistered security of a public company.
|
|
(5)
|
|
Restricted securities that are classified as a Level 3. Security is valued using inputs
reflecting the Companys own assumptions.
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|
(6)
|
|
Unregistered security of a public company that are classified as a Level 2. These securities
have a fair market value determined by the mean of the bid and ask prices provided by a
syndicate bank, principal market maker or an independent pricing service. These securities
have limited trading volume and are not listed on a national exchange.
|
At August 31, 2010, the cost basis of investments for federal income tax purposes was $1,565,500.
At August 31, 2010, gross unrealized appreciation and depreciation of investments and options for
federal income tax purposes were as follows:
|
|
|
|
|
Gross unrealized appreciation of investments
|
|
$
|
973,680
|
|
Gross unrealized depreciation of investments
|
|
|
(54,705
|
)
|
|
|
|
|
Net unrealized appreciation
|
|
$
|
918,975
|
|
|
|
|
|
The identified cost basis of federal tax purposes is estimated based on information available from
the Companys portfolio companies. In some cases, this information is very limited. Accordingly,
the actual cost basis may prove higher or lower than the estimated cost basis included above.
As required by the Fair Value Measurement and Disclosures of the Financial Accounting Standards
Board (FASB) Accounting Standards Codification, the Company has performed an analysis of all
assets and liabilities measured at fair value to determine the significance and character of all
inputs to their fair value determination.
The fair value hierarchy prioritizes the inputs to valuation techniques used to measure fair value
into the following three broad categories.
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|
Level 1
Quoted unadjusted prices for identical instruments in active markets
to which the Company has access at the date of measurement.
|
|
|
|
|
Level 2
Quoted prices for similar instruments in active markets; quoted
prices for identical or similar instruments in markets that are not active; and
model-derived valuations in which all significant inputs and significant value drivers
are observable in active markets. Level 2 inputs are those in markets for which there
are few transactions, the prices are not current, little public information exists or
instances where prices vary substantially over time or among brokered market makers.
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|
|
|
|
Level 3
Model derived valuations in which one or more significant inputs or
significant value drivers are unobservable. Unobservable inputs are those inputs that
reflect the Companys own assumptions that market participants would use to price the
asset or liability based on the best available information.
|
The following table presents the Companys assets and liabilities measured at fair value at August
31, 2010. Note that the valuation levels below are not necessarily an indication of the risk or
liquidity associated with the underlying investment. For instance, the Companys repurchase
agreements, which are collateralized by U.S. Treasury notes, are generally high quality and liquid;
however, the Company reflects these repurchase agreements as Level 2 because the inputs used to
determine fair value may not always be quoted prices in an active market.
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|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
Quoted Prices in
|
|
|
Prices with Other
|
|
|
Unobservable
|
|
|
|
|
|
|
|
Active Markets
|
|
|
Observable Inputs
|
|
|
Inputs
|
|
|
|
Total
|
|
|
(Level 1)
|
|
|
(Level 2)
|
|
|
(Level 3)(1)
|
|
Assets at Fair Value
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Equity investments
|
|
$
|
2,412,587
|
|
|
$
|
2,360,780
|
|
|
$
|
|
|
|
$
|
51,807
|
|
Energy debt investments
|
|
|
54,657
|
|
|
|
|
|
|
|
49,897
|
|
|
|
4,760
|
|
Option contracts purchased
|
|
|
10
|
|
|
|
|
|
|
|
10
|
|
|
|
|
|
Repurchase agreement
|
|
|
17,221
|
|
|
|
|
|
|
|
17,221
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total assets at fair value
|
|
$
|
2,484,475
|
|
|
$
|
2,360,780
|
|
|
$
|
67,128
|
|
|
$
|
56,567
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Liabilities at Fair Value
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Option contracts written
|
|
$
|
389
|
|
|
$
|
|
|
|
$
|
389
|
|
|
$
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(1)
|
|
The Companys investments in Level 3 represent its
investments in Magellan Midstream Partners, L.P., Inergy Holdings,
L.P., Clearwater Natural Resources,
L.P. and CNR GP Holdco, LLC.
|
The following table presents the Companys assets measured at fair value on a recurring basis using
significant unobservable inputs (Level 3) for the nine months ended August 31, 2010.
|
|
|
|
|
|
|
Long-Term
|
|
Assets
at Fair Value Using Unobservable Inputs (Level 3)
|
|
Investments
|
|
Balance November 30, 2009
|
|
$
|
4,080
|
|
Transfers out of Level 3
|
|
|
|
|
Realized gains/(losses)
|
|
|
|
|
Unrealized gains, net
|
|
|
7,625
|
|
Purchases, issuances or settlements
|
|
|
44,862
|
|
|
|
|
|
Balance August 31, 2010
|
|
$
|
56,567
|
|
|
|
|
|
The $7,625 of unrealized gains presented in the table above relate to investments that are still
held at August 31, 2010.
The Company did not have any liabilities that were measured at fair value on a recurring basis
using significant unobservable inputs (Level 3) at August 31,
2010 or November 30, 2009.
As required by the Derivatives and Hedging Topic of the FASB Accounting Standards Codification, the
following are the derivative instruments and hedging activities of the Company. The total number of
outstanding options at August 31, 2010 is indicative of the volume of this type of derivative for
the period ended August 31, 2010
.
The following table sets forth the fair value of the Companys derivative instruments.
|
|
|
|
|
|
|
Derivatives Not Accounted for as Hedging
|
|
|
|
Fair Value as of
|
|
Instruments
|
|
Statement of Assets and Liabilities Location
|
|
August 31, 2010
|
|
Assets
|
|
|
|
|
|
|
Put options
|
|
Put option contracts purchased
|
|
$
|
10
|
|
Liabilities
|
|
|
|
|
|
|
Call options
|
|
Call option contracts written
|
|
|
(389
|
)
|
|
|
|
|
|
|
|
|
|
|
$
|
(379
|
)
|
|
|
|
|
|
|
The
following table sets forth the effect of the Companys derivative instruments.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
For the Nine Months Ended
|
|
|
|
|
|
August 31, 2010
|
|
|
|
|
|
|
|
|
|
Change in
|
|
|
|
|
|
Net Realized
|
|
|
Unrealized Gains/
|
|
|
|
|
|
Losses on
|
|
|
(Losses) on
|
|
|
|
|
|
Derivatives
|
|
|
Derivatives
|
|
Derivatives Not Accounted For as
|
|
Location of Gains/(Losses)
|
|
Recognized in
|
|
|
Recognized in
|
|
Hedging Instruments
|
|
on Derivatives Recognized in Income
|
|
Income
|
|
|
Income
|
|
Put options
|
|
Options
|
|
$
|
(90
|
)
|
|
$
|
64
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Call options
|
|
Options
|
|
|
1,059
|
|
|
|
950
|
|
Interest rate swap contracts
|
|
Interest rate swap contracts
|
|
|
(664
|
)
|
|
|
205
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
$
|
305
|
|
|
$
|
1,219
|
|
|
|
|
|
|
|
|
|
|
Securities valuation policies and other investment related disclosures are hereby incorporated by
reference to the Companys semi-annual report previously filed with the Securities and Exchange
Commission on form N-CSR on July 28, 2010 with a file number 811-21593.
Other information regarding the Company is available in the Companys most recent annual report.
This information is also available on the Companys website at www.kaynefunds.com; or on the
website of the Securities and Exchange Commission, www.sec.gov.
Item 2: Controls and Procedures
(a) As of a date within 90 days from the filing date of this report, the principal executive
officer and principal financial officer concluded that the registrants disclosure controls and
procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the
Act)), were effective based on their evaluation of the disclosure controls and procedures
required by Rule 30a-3(b) under the Act and Rules 13a-15(b) or 15d-15(b) under the Securities and
Exchange Act of 1934, as amended.
(b) There were no changes in the registrants internal control over financial reporting (as
defined in Rule 30a-3(d) under the Act) that occurred during the registrants last fiscal quarter
that have materially affected, or are reasonably likely to materially affect, the registrants
internal control over financial reporting.
Item 3: Exhibits
1. The certifications of the registrant as required by Rule 30a-2(a) under the Act
are exhibits to this report.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company
Act of 1940, the registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
|
|
|
|
|
|
|
|
|
KAYNE ANDERSON MLP INVESTMENT COMPANY
|
|
|
|
|
|
|
|
|
|
|
|
/s/ Kevin S. McCarthy
|
|
|
|
|
|
|
|
|
|
Name:
|
|
Kevin S. McCarthy
|
|
|
|
|
Title:
|
|
Chairman of the Board of Directors,
President and Chief Executive Officer
|
|
|
|
|
Date:
|
|
October 29, 2010
|
|
|
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company
Act of 1940, this report has been signed below by the following persons on behalf of the registrant
and in the capacities and on the dates indicated.
|
|
|
|
|
|
|
|
|
/s/ Kevin S. McCarthy
|
|
|
|
|
|
|
|
|
|
Name:
|
|
Kevin S. McCarthy
|
|
|
|
|
Title:
|
|
Chairman of the Board of Directors,
President and Chief Executive Officer
|
|
|
|
|
Date:
|
|
October 29, 2010
|
|
|
|
|
|
|
|
|
|
|
|
/s/ Terry A. Hart
|
|
|
|
|
|
|
|
|
|
Name:
|
|
Terry A. Hart
|
|
|
|
|
Title:
|
|
Chief Financial Officer and Treasurer
|
|
|
|
|
Date:
|
|
October 29, 2010
|
|
|
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