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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT

INVESTMENT COMPANY

 

Investment Company Act file number 811-21593  

 

Kayne Anderson MLP/Midstream Investment Company
(Exact name of registrant as specified in charter)

 

811 Main Street, 14th Floor Houston, Texas 77002
(Address of principal executive offices) (Zip code)

 

Michael O’Neil

KA Fund Advisors, LLC

 

1800 Avenue of the Stars,   Third Floor   Los Angeles, California 90067
(Name and address of agent for service)

 

Registrant's telephone number, including area code: (310) 282-7905  

  

Date of fiscal year end: November 30  
     
Date of reporting period: July 1, 2019 – June 30, 2020  

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

 

 

 

ITEM 1. PROXY VOTING RECORD.

 

Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:

 

(a) The name of the issuer of the portfolio security;

 

(b) The exchange ticker symbol of the portfolio security;

 

(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;

 

(d) The shareholder meeting date;

 

(e) A brief identification of the matter voted on;

 

(f) Whether the matter was proposed by the issuer or by a security holder;

 

(g) Whether the registrant cast its vote on the matter;

 

(h) How the registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and

 

(i) Whether the registrant cast its vote for or against management.

 

 

 

SIGNATURES

 

[See General Instruction F]

 

Pursuant to the requirements of 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.

 

(Registrant) Kayne Anderson MLP/Midstream Investment Company  

 

 By (Signature and Title)*

 /s/ James C. Baker

 
 

James C. Baker,

Chief Executive Officer

 
Date August 14, 2020    

 

* Print the name and title of each signing officer under his or her signature.

  

 

 

 

Issuer Symbol CUSIP Meeting Date   Matter

Proposed

by

(I)ssuer

or

(S)hrhldr

Vote

Cast?

How
Voted

For/Against

Mgmt

BUCKEYE PARTNERS, L.P. BPL 118230101 07/31/19 1 The approval of (i) the Agreement and Plan of Merger, dated as of May 10, 2019, by and among Buckeye Partners, L.P., a DE limited partnership, Hercules Intermediate Holdings LLC, a DE limited liability company ("Parent"), Hercules Merger Sub LLC, a DE limited liability company and a wholly owned subsidiary of Parent, Buckeye Pipe Line Services Company, a PA corporation, and Buckeye GP LLC, a DE limited liability company and the general partner of Buckeye Partners, L.P. and (ii) the transactions contemplated by the Agreement and Plan of Merger. I YES FOR FOR
                   
        2 The approval, in a nonbinding advisory vote, of the compensation that may be paid or may become payable to Buckeye Partners, L.P.'s executive officers in the connection with, or following, the consummation of the merger contemplated by the Agreement and Plan of Merger. I YES FOR FOR
                   
ANDEAVOR LOGISTICS LP ANDX 3350F106 07/29/19 1 Approval of the merger of MPLX MAX LLC, a Delaware limited liability company and a wholly owned subsidiary of MPLX, with and into ANDX, with ANDX continuing as the surviving entity (the "Merger"), and adoption and approval of the Agreement and Plan of Merger, dated as of May 7, 2019, as such agreement may be amended from time to time, by and among ANDX, Tesoro Logistics GP, LLC, MPLX, MPLX GP LLC, and MPLX MAX LLC, and the transactions contemplated thereby. I YES FOR FOR
                   
        2 Approval on an advisory (non-binding) basis, of the compensation that may be paid or become payable to ANDX's named executive officers in connection with the Merger. I YES FOR FOR
                   
KNOT OFFSHORE PARTNERS LP KNOP Y48125101 09/25/19 1 Elect Director Andrew Beveridge I YES FOR FOR
                   
        2 Please vote for For if Units are Owned by a Resident of Norway for Purposes of the Tax Act on Income And Wealth, or vote AGAINST if Units are Not Held by a Resident of Norway for Purposes of the Tax Act on Income and Wealth I NO DID NOT VOTE - Units Not Owned  by Resident of Norway   NONE
                   
NEXTERA ENERGY PARTNERS, LP NEP 65341B106 04/21/20 1a Elect Director Susan D. Austin I YES FOR FOR
                   
        1b Elect Director Robert J. Byrne I YES FOR FOR
                   
        1c Elect Director Peter H. Kind I YES FOR FOR
                   
        1d Elect Director James L. Robo I YES FOR FOR
                   
        2 Ratify Deloitte & Touche LLP as Auditors I YES FOR FOR
                   
        3 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
MAGELLAN MIDSTREAM PARTNERS, L.P. MMP 559080106 04/23/20 1.1 Elect Director Chansoo Joung I YES FOR FOR
                   
        1.2 Elect Director Michael N. Mears I YES FOR FOR
                   
        1.3 Elect Director James R. Montague I YES FOR FOR
                   
        2 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
        3 Ratify Ernst & Young LLP as Auditors I YES FOR FOR
                   
THE WILLIAMS COMPANIES, INC. WMB 969457100 04/28/20 1.1 Elect Director Alan S. Armstrong I YES FOR FOR
                   
        1.2 Elect Director Stephen W. Bergstrom I YES FOR FOR
                   
        1.3 Elect Director Nancy K. Buese I YES FOR FOR
                   
        1.4 Elect Director Stephen I. Chazen I YES FOR FOR
                   
        1.5 Elect Director Charles I. Cogut I YES FOR FOR
                   
        1.6 Elect Director Michael A. Creel I YES FOR FOR
                   
        1.7 Elect Director Vicki L. Fuller I YES FOR FOR
                   
        1.8 Elect Director Peter A. Ragauss I YES FOR FOR
                   
        1.9 Elect Director Scott D. Sheffield I YES FOR FOR
                   
        1.10 Elect Director Murray D. Smith I YES FOR FOR
                   
        1.11 Elect Director William H. Spence I YES FOR FOR
                   
        2 Amend Omnibus Stock Plan I YES FOR FOR
                   
        3 Amend Qualified Employee Stock Purchase Plan I YES FOR FOR
                   
        4 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
        5 Ratify Ernst & Young LLP as Auditors I YES FOR FOR
                   
TC ENERGY CORPORATION TRP 87807B107 05/01/20 1.1 Elect Director Stephan Cretier I YES FOR FOR
                   
        1.2 Elect Director Michael R. Culbert I YES FOR FOR
                   
        1.3 Elect Director Russell K. Girling I YES FOR FOR
                   
        1.4 Elect Director Susan C. Jones I YES FOR FOR
                   
        1.5 Elect Director Randy Limbacher I YES FOR FOR
                   
        1.6 Elect Director John E. Lowe I YES FOR FOR
                   
        1.7 Elect Director David MacNaughton I YES FOR FOR
                   
        1.8 Elect Director Una Power I YES FOR FOR
                   
        1.9 Elect Director Mary Pat Salomone I YES FOR FOR
                   
        1.10 Elect Director Indira V. Samarasekera I YES FOR FOR
                   
        1.11 Elect Director D. Michael G. Stewart I YES FOR FOR
                   
        1.12 Elect Director Siim A. Vanaselja I YES FOR FOR
                   
        1.13 Elect Director Thierry Vandal I YES FOR FOR
                   
        1.14 Elect Director Steven W. Williams I YES FOR FOR
                   
        2 Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration I YES FOR FOR
                   
        3 Advisory Vote on Executive Compensation Approach I YES FOR FOR
                   
SEMPRA ENERGY SRE 816851109 05/05/20 1.1 Elect Director Alan L. Boeckmann I YES FOR FOR
                   
        1.2 Elect Director Kathleen L. Brown I YES FOR FOR
                   
        1.3 Elect Director Andres Conesa I YES FOR FOR
                   
        1.4 Elect Director Maria Contreras-Sweet I YES FOR FOR
                   
        1.5 Elect Director Pablo A. Ferrero I YES FOR FOR
                   
        1.6 Elect Director William D. Jones I YES FOR FOR
                   
        1.7 Elect Director Jeffrey W. Martin I YES FOR FOR
                   
        1.8 Elect Director Bethany J. Mayer I YES FOR FOR
                   
        1.9 Elect Director Michael N. Mears I YES FOR FOR
                   
        1.10 Elect Director Jack T. Taylor I YES FOR FOR
                   
        1.11 Elect Director Cynthia L. Walker I YES FOR FOR
                   
        1.12 Elect Director Cynthia J. Warner I YES FOR FOR
                   
        1.13 Elect Director James C. Yardley I YES FOR FOR
                   
        2 Ratify Deloitte & Touche LLP as Auditors I YES FOR FOR
                   
        3 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
        4 Require Independent Board Chair S YES AGAINST FOR
                   
ENBRIDGE INC. ENB 292950N105 05/05/20 1.1 Elect Director Pamela L. Carter I YES FOR FOR
                   
        1.2 Elect Director Marcel R. Coutu I YES FOR FOR
                   
        1.3 Elect Director Susan M. Cunningham I YES FOR FOR
                   
        1.4 Elect Director Gregory L. Ebel I YES FOR FOR
                   
        1.5 Elect Director J. Herb England I YES FOR FOR
                   
        1.6 Elect Director Charles W. Fischer I YES FOR FOR
                   
        1.7 Elect Director Gregory J. Goff I YES FOR FOR
                   
        1.8 Elect Director V. Maureen Kempston Darkes I YES FOR FOR
                   
        1.9 Elect Director Teresa S. Madden I YES FOR FOR
                   
        1.10 Elect Director Al Monaco I YES FOR FOR
                   
        1.11 Elect Director Dan C. Tutcher I YES FOR FOR
                   
        2 Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration I YES FOR FOR
                   
        3 Approve Shareholder Rights Plan I YES FOR FOR
                   
        4 Amend By-Law No. 1 of Enbridge I YES FOR FOR
                   
        5 Advisory Vote on Executive Compensation Approach I YES FOR FOR
                   
ATLANTICA YIELD PLC AY G0751N103 05/05/20 1 Accept Financial Statements and Statutory Reports I YES FOR FOR
                   
        2 Approve Remuneration Report I YES FOR FOR
                   
        3 Approve Remuneration Policy I YES FOR FOR
                   
        4 Elect Director Jackson Robinson I YES FOR FOR
                   
        5 Elect Director Andrea Brentan I YES FOR FOR
                   
        6 Elect Director Robert Dove I YES FOR FOR
                   
        7 Elect Director Francisco J. Martinez I YES FOR FOR
                   
        8 Authorise Issue of Equity I YES FOR FOR
                   
        9 Authorise Issue of Equity without Pre-emptive Rights I YES FOR FOR
                   
        10 Change Company Name to Atlantica Sustainable Infrastructure plc I YES FOR FOR
                   
        11 Approve Matters Relating to the Relevant Distributions I YES FOR FOR
                   
PEMBINA PIPELINE CORPORATION PPL 706327103 05/08/20 1.1 Elect Director Anne-Marie N. Ainsworth I YES FOR FOR
                   
        1.2 Elect Director Michael (Mick) H. Dilger I YES FOR FOR
                   
        1.3 Elect Director Randall J. Findlay I YES FOR FOR
                   
        1.4 Elect Director Robert G. Gwin I YES FOR FOR
                   
        1.5 Elect Director Maureen E. Howe I YES FOR FOR
                   
        1.6 Elect Director Gordon J. Kerr I YES FOR FOR
                   
        1.7 Elect Director David M.B. LeGresley I YES FOR FOR
                   
        1.8 Elect Director Leslie A. O'Donoghue I YES FOR FOR
                   
        1.9 Elect Director Bruce D. Rubin I YES FOR FOR
                   
        1.1 Elect Director Henry W. Sykes I YES FOR FOR
                   
        2 Approve KPMG LLP Auditors and Authorize Board to Fix Their Remuneration I YES FOR FOR
                   
        3 Amend Bylaws I YES FOR FOR
                   
        4 Approve Advance Notice Requirement I YES FOR FOR
                   
        5 Advisory Vote on Executive Compensation Approach I YES FOR FOR
                   
TARGA RESOURCES CORP. TRGP 87612G101 05/19/20 1.1 Elect Director Charles R. Crisp I YES FOR FOR
                   
        1.2 Elect Director Laura C. Fulton I YES FOR FOR
                   
        1.3 Elect Director James W. Whalen I YES FOR FOR
                   
        2 Ratify PricewaterhouseCoopers LLP as Auditors I YES FOR FOR
                   
        3 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
PLAINS ALL AMERICAN PIPELINE, L.P. PAA 726503105 05/20/20 1.1 Elect Director Alexandra Pruner I YES FOR FOR
                   
        1.2 Elect Director Lawrence M. Ziemba I YES FOR FOR
                   
        2 Ratify PricewaterhouseCoopers LLP as Auditor I YES FOR FOR
                   
        3 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR
                   
ONEOK, INC. OKE 682680103 05/20/20 1.1 Elect Director Brian L. Derksen I YES FOR FOR
                   
        1.2 Elect Director Julie H. Edwards I YES FOR FOR
                   
        1.3 Elect Director John W. Gibson I YES FOR FOR
                   
        1.4 Elect Director Mark W. Helderman I YES FOR FOR
                   
        1.5 Elect Director Randall J. Larson I YES FOR FOR
                   
        1.6 Elect Director Steven J. Malcolm I YES FOR FOR
                   
        1.7 Elect Director Jim W. Mogg I YES FOR FOR
                   
        1.8 Elect Director Pattye L. Moore I YES FOR FOR
                   
        1.9 Elect Director Gary D. Parker I YES FOR FOR
                   
        1.10 Elect Director Eduardo A. Rodriguez I YES FOR FOR
                   
        1.11 Elect Director Terry K. Spencer I YES FOR FOR
                   
        2 Ratify PricewaterhouseCoopers LLP as Auditors I YES FOR FOR
                   
        3 Advisory Vote to Ratify Named Executive Officers' Compensation I YES FOR FOR

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