SEC Form 3 · accession 0001209191-18-059088
ClearBridge Energy Midstream Opportunity Fund Inc. · EMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Nov 16, 2018
Accepted (ET)
Nov 19, 2018 · 11:03 am 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 D Mandatory Redeemable Preferred StockF1 | holding | — | — | — | 30 | I | Held through subsidiaries | |
| Series E Mandatory Redeemable Preferred StockF2 | holding | — | — | — | 70 | I | Held through subsidiaries | |
| 4.51% Series C Senior Secured Notes due October 15, 2023F3,F4 | holding | — | — | — | 16,887,468 | I | Held through subsidiaries | |
| 4.66% Series D Senior Secured Notes due October 15, 2025F3,F5 | holding | — | — | — | 22,643,478 | I | Held through subsidiaries |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Lexington Insurance Company ("Lexington") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly hold 10 shares and 20 shares, respectively, of the Series D Mandatory Redeemable Preferred Stock of the issuer (the "Series D MRPS"). AIG is an indirect beneficial owner of the Series D MRPS.
- F2American General Life Insurance Company ("AGLIC") and Lexington, each an indirect wholly owned subsidiary of AIG, directly hold 47 shares and 23 shares, respectively, of the Series E Mandatory Redeemable Preferred Stock of the issuer (the "Series E MRPS"). AIG is an indirect beneficial owner of the Series E MRPS.
- F3The amount shown reflects a cash dollar value.
- F4AGLIC and American Home Assurance Company ("AHAC"), each an indirect wholly owned subsidiary of AIG, directly hold $11,525,696.92 principal amount and $5,361,771.00 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 of the issuer (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes.
- F5AGLIC, AHAC, USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, directly hold $3,000,260.87 principal amount, $7,189,304.00 principal amount, $2,264,347.83 principal amount and $10,189,565.22 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 of the issuer (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes.
Remarks
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.