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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mutual of Omaha Insurance Co 3300 MUTUAL OF OMAHA PLAZA 3RD FLOOR OMAHA, NE 68175 |
X | |||
UNITED OF OMAHA LIFE INSURANCE CO 3300 MUTUAL OF OMAHA PLZ 3RD FLOOR LAW ATTN: JAN BROCKMAN OMAHA, NE 68175-1008 |
X |
Jan M. Brockman | 08/17/2018 | |
**Signature of Reporting Person | Date | |
Jan M. Brockman | 08/17/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Securities reported herein were terminated and reissued in connection with the merger of Kayne Anderson Total Return Fund, Inc. (KYE) into KMF on August 6, 2018. A separate Form 4 will be filed reporting the disposition of the securities terminated under that Issuer. These securities were formerly held as KYE Series D Mandatory Redeemable Preferred Shares. |
(2) | 480,000 shares of the securities reported herein are directly beneficially owned by United of Omaha Life Insurance Company, a direct subsidiary of Mutual of Omaha Insurance Company. 120,000 shares of the securities reported herein are directly beneficially owned by Companion Life Insurance Company, a direct subsidiary of United of Omaha Life Insurance Company. |