SEC Form 4 · accession 0000899243-17-011226
CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. · CBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
Period of report
Jul 23, 2015
Accepted (ET)
Apr 28, 2017 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001570318
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Mandatory Redeemable Preferred StockF1 | Jul 23, 2015 | P | 100 | $100,000.00 | A | 100 | I | Held through subsidiaries |
| Series A Mandatory Redeemable Preferred StockF3 | Feb 5, 2016 | J | 29 | $102,000.00 | D | 71 | I | Held through subsidiaries |
| Series A Mandatory Redeemable Preferred StockF4 | Feb 11, 2016 | J | 41 | $102,000.00 | D | 30 | I | Held through subsidiaries |
| Series B Mandatory Redeemable Preferred StockF5 | Jul 23, 2015 | P | 400 | $100,000.00 | A | 400 | I | Held through subsidiaries |
| Series B Mandatory Redeemable Preferred StockF6 | Dec 22, 2015 | J | 160 | $102,000.00 | D | 240 | I | Held through subsidiaries |
| Series B Mandatory Redeemable Preferred StockF7 | Feb 5, 2016 | J | 71 | $102,000.00 | D | 169 | I | Held through subsidiaries |
| Series B Mandatory Redeemable Preferred StockF8 | Feb 11, 2016 | J | 99 | $102,000.00 | D | 70 | I | Held through subsidiaries |
| 4.51% Series C Senior Secured Notes due October 15, 2023F9 | Dec 18, 2015 | J | 4,941,176 | $5,040,000.00 | D | — | I | Held through subsidiaries |
| 4.51% Series C Senior Secured Notes due October 15, 2023F10 | Feb 4, 2016 | J | 3,813,299 | $3,889,565.23 | D | — | I | Held through subsidiaries |
| 4.51% Series C Senior Secured Notes due October 15, 2023F11 | Feb 11, 2016 | J | 3,159,591 | $3,222,782.62 | D | — | I | Held through subsidiaries |
| 4.51% Series C Senior Secured Notes due October 15, 2023F12 | Feb 12, 2016 | J | 1,198,465 | $1,222,434.79 | D | — | I | Held through subsidiaries |
| 4.66% Series D Senior Secured Notes due October 15, 2025F13 | Dec 18, 2015 | J | 6,400,000 | $6,528,000.00 | D | — | I | Held through subsidiaries |
| 4.66% Series D Senior Secured Notes due October 15, 2025F14 | Feb 4, 2016 | J | 5,113,043 | $5,215,304.35 | D | — | I | Held through subsidiaries |
| 4.66% Series D Senior Secured Notes due October 15, 2025F15 | Feb 11, 2016 | J | 4,236,522 | $4,321,252.16 | D | — | I | Held through subsidiaries |
| 4.66% Series D Senior Secured Notes due October 15, 2025F16 | Feb 12, 2016 | J | 1,606,957 | $1,639,095.65 | D | — | I | Held through subsidiaries |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1After giving effect to the acquisition on July 23, 2015, Lexington 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"), and The United Guaranty Mortgage Indemnity Company ("UGMIC"), a former indirect wholly owned subsidiary of AIG, directly held 32 shares, 67 shares and 1 share, respectively, of the Series A Mandatory Redeemable Preferred Stock (the "Series A MRPS"). AIG is an indirect beneficial owner of the Series A MRPS.
- F10After giving effect to the redemption on February 4, 2016, AGLIC, CIIC and UGRIC directly held $13,968,932.22 principal amount, $6,745,453.96 principal amount and $531,138.11 principal amount, respectively, of the Series C Notes. AIG is an indirect beneficial owner of the Series C Notes.
- F11After giving effect to the redemption on February 11, 2016, AGLIC, CIIC and UGRIC directly held $11,891,501.27 principal amount, $5,742,283.88 principal amount and $452,148.34 principal amount, respectively, of the Series C Notes. AIG is an indirect beneficial owner of the Series C Notes.
- F12After giving effect to the redemption on February 12, 2016, AGLIC, CIIC and UGRIC directly held $11,103,510.22 principal amount, $5,361,771.09 principal amount and $422,186.70 principal amount, respectively, of the Series C Notes. On July 11, 2016, as part of an exchange of securities baskets, UGRIC transferred $422,186.70 principal amount of the Series C Notes to Lexington. On January 24, 2017, as part of a transfer of a portfolio of securities, Lexington transferred $422,186.70 principal amount of the Series C Notes to AGLIC. AIG is an indirect beneficial owner of the Series C Notes.
- F13After giving effect to the redemption on December 18, 2015, AGLIC, American Home Assurance Company ("AHAC"), USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, and UGRIC directly held $4,452,000.00 principal amount, $10,668,000.00 principal amount, $3,360,000.00 principal amount, $14,280,000.00 principal amount and $840,000.00 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes.
- F14After giving effect to the redemption on February 4, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly held $3,774,521.74 principal amount, $9,044,608.70 principal amount, $2,848,695.65 principal amount, $12,106,956.52 principal amount and $712,173.91 principal amount, respectively, of the Series D Notes. AIG is an indirect beneficial owner of the Series D Notes.
- F15After giving effect to the redemption on February 11, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly held $3,213,182.61 principal amount, $7,699,513.05 principal amount, $2,425,043.48 principal amount, $10,306,434.78 principal amount and $606,260.87 principal amount, respectively, of the Series D Notes. AIG is an indirect beneficial owner of the Series D Notes.
- F16After giving effect to the redemption on February 12, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly hold $3,000,260.87 principal amount, $7,189,304.35 principal amount, $2,264,347.83 principal amount, $9,623,478.26 principal amount and $566,086.96 principal amount, respectively, of the Series D Notes. On July 11, 2016, as part of an exchange of securities baskets, UGRIC transferred $566,086.96 principal amount of the Series D Notes to VALIC.
- F2The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities.
- F3After giving effect to the redemption on February 5, 2016, Lexington, USLIC and UGMIC directly held 23 shares, 47 shares and 1 share, respectively, of the Series A MRPS. AIG is an indirect beneficial owner of the Series A MRPS.
- F4After giving effect to the redemption on February 11, 2016, Lexington, USLIC and UGMIC directly hold 10 shares, 20 shares and 0 shares, respectively, of the Series A MRPS. AIG is an indirect beneficial owner of the Series A MRPS.
- F5After giving effect to the acquisition on July 23, 2015, American General Life Insurance Company ("AGLIC"), Lexington and UGMIC directly held 266 shares, 130 shares and 4 shares, respectively, of the Series B Mandatory Redeemable Preferred Stock (the "Series B MRPS"). AIG is an indirect beneficial owner of the Series B MRPS.
- F6After giving effect to the redemption on December 22, 2015, AGLIC, Lexington and UGMIC directly held 160 shares, 78 shares and 2 shares, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS.
- F7After giving effect to the redemption on February 5, 2016, AGLIC, Lexington and UGMIC directly held 113 shares, 55 shares and 1 share, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS.
- F8After giving effect to the redemption on February 11, 2016, AGLIC, Lexington and UGMIC directly hold 47 shares, 23 shares and 0 shares, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS.
- F9After giving effect to the redemption on December 18, 2015, AGLIC, Commerce and Industry Insurance Company ("CIIC"), an indirect wholly owned subsidiary of AIG, and United Guaranty Residential Insurance Company ("UGRIC"), a former indirect wholly owned subsidiary of AIG, directly held $16,476,176.47 principal amount, $7,956,176.47 principal amount and $626,470.59 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes.
Remarks
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.