SEC Form 5 · accession 0001209191-18-055055
ClearBridge MLP & Midstream Fund Inc. · CEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Of Columbus Knights
10% Owner
Period of report
May 31, 2018
Accepted (ET)
Oct 16, 2018 · 12:22 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 |
|---|---|---|---|---|---|---|---|---|
| 4.21% due 7/10/2024 | Feb 25, 2016 | J | 9,607 | $1,000.00 | D | 40,393,013 | D | |
| 4.21% due 7/10/2024F1 | holding | — | — | — | 50,000,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Knights of Columbus became a beneficial owner of these securities as of June 25, 2012, which made Knights of Columbus subject to Section 16 as a 10% holder based upon the $267 million aggregate principal amount of fixed rate senior secured notes outstanding as of November 30, 2012, as set forth in the issuer's financial statements contained in its annual report to shareholders for the period ended November 30, 2012, as filed with the Securities and Exchange Commission on January 28, 2013.
- F2The reported securities were redeemed by the issuer pursuant to the terms of the Note Purchase Agreement, dated as of July 12, 2012.