| UNITED STATES | |||
| SECURITIES AND EXCHANGE COMMISSION | |||
| Washington, D.C. 20549 | |||
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KAYNE ANDERSON MLP INVESTMENT COMPANY
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Series A Mandatory Redeemable Preferred Stock
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4866062#2
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December 31, 2013
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(Date of Event which Requires Filing of this Statement)
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CUSIP No. 4866062#2
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13G |
Page 2 of 5 Pages
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Sun Life Financial Inc. |
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [ ]
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| (b) [ ] | ||
| 3 | SEC USE ONLY | |
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Canada
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NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
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SOLE VOTING POWER
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600,000 |
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6
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SHARED VOTING POWER
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0 | |
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7
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SOLE DISPOSITIVE POWER
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600,000 | |
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8
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SHARED DISPOSITIVE POWER
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0 |
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
600,000
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
14.4%
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12
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TYPE OF REPORTING PERSON
HC
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CUSIP No. 4866062#2
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13G |
Page 3 of 5 Pages
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| Item 1. |
(a)
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Name of Issuer:
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Kayne Anderson MLP Investment Company
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| Item 1. |
(b)
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Address of Issuer’s Principal Executive Offices:
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717 Texas Avenue, Suite 3100
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| Houston, TX 77002 | ||
| USA | ||
| Item 2. |
(a)
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Name of Persons Filing:
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| Sun Life Financial Inc. | ||
| Item 2. |
(b)
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Address of Principal Business Office:
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150 King Street West
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| Toronto, Ontario, Canada M5H 1J | ||
| Item 2. |
(c)
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Citizenship:
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Canada
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| Item 2. |
(d)
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Title of Class of Securities:
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Series A Mandatory Redeemable Preferred Stock
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| Item 2. |
(e)
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CUSIP Number:
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4866062#2
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| Item 3. | If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | ||
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Broker or dealer registered under Section 15 of the Act;
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Bank as defined in Section 3(a)(6) of the Act;
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Insurance company as defined in Section 3(a)(19) of the Act;
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Investment company registered under Section 8 of the Investment Company Act of 1940;
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
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[X]
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A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940;
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A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
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Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J),
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| please specify the type of institution: _____ | |||
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CUSIP No. 4866062#2
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13G |
Page 4 of 5 Pages
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| Item 4. | Ownership: | ||
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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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The percentages used herein are calculated based upon the shares issued and outstanding as of November 30, 2013 as reported on the Form N-CSR filed with the Securities and Exchange Commission for the Period ended November 30, 2013.
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(a)
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Amount beneficially owned: 600,000
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(b)
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Percent of class: 14.4%
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote: 600,000
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(ii)
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Shared power to vote or to direct the vote: 0
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(iii)
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Sole power to dispose or to direct the disposition of: 600,000
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(iv)
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Shared power to dispose or to direct the disposition of: 0
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Item 5.
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Ownership of Five Percent or Less of a Class:
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| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. | |
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person:
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| Not Applicable. | |
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Item 7.
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Identification and Classification of Subsidiaries Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
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| Sun Life Assurance Company of Canada. | |
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Item 8.
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Identification and Classification of Members of the Group. |
| Not Applicable. | |
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Item 9.
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Ntoice of Dissolution of Group. |
| Not Applicable. | |
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Item 10.
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Certifications.
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| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. | |
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CUSIP No. 4866062#2
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13G |
Page 5 of 5 Pages
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| SUN LIFE FINANCIAL INC. | |||||
| By: | /s/ John T. Donnelly | ||||
| Authorized Signatory | |||||
| By: | /s/ Stephen Peacher | ||||
| Authorized Signatory | |||||