SEC Form 4 · accession 0000899243-15-005535
ClearBridge MLP & Midstream Fund Inc. · CEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Hutchinson
Director
Period of report
Sep 25, 2015
Accepted (ET)
Sep 29, 2015 · 9:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001488775
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 25, 2015 | S | 2,501 | $19.2671 | D | 0 | I | See Footnote |
| Common StockF3 | Sep 25, 2015 | S | 3,499 | $19.2679 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.19 to $20.03, inclusive. Mr. Hutchinson undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
- F2Shares held for the benefit of Mr. Hutchinson's wife.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.19 to $20.03, inclusive. Mr. Hutchinson undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.