SEC Form 3 · accession 0001137774-18-000101
ClearBridge Energy Midstream Opportunity Fund Inc. · EMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
PRUDENTIAL FINANCIAL INC
10% Owner
Period of report
Nov 16, 2018
Accepted (ET)
Nov 21, 2018 · 2:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001517518
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series F Mandatory Redeemable Preferred StockF1 | holding | — | — | — | 41 | I | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person | |
| Series G Mandatory Redeemable Preferred StockF1,F2 | holding | — | — | — | 24 | I | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person | |
| Series G Mandatory Redeemable Preferred StockF1,F3 | holding | — | — | — | 85 | I | By Prudential Legacy Insurance Company of New Jersey, a wholly-owned subsidiary of the Reporting Per |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1(1)Share exchange/replacement by EMO due to ClearBridge American Energy MLP Fund Inc. (ticker: CBA)'s merger into EMO on 11/16/2018.
- F2(2)As grantor of the PICA Hartford Life & Annuity Comfort Trust.
- F3(3)Preferred stock owned directly by Prudential Legacy Insurance Company of New Jersey, a ten percent owner of a class, and indirectly owned by Prudential Financial, Inc., its parent holding company.