SEC Form 4 · accession 0001137774-18-000100
CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. · CBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
Nov 16, 2018
Accepted (ET)
Nov 20, 2018 · 4:28 pm EST
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 C Mandatory Redeemable Preferred StockF1,F2 | Nov 16, 2018 | J | 41 | $0.00 | D | 0 | I | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person |
| Series D Mandatory Redeemable Preferred StockF1,F2 | Nov 16, 2018 | J | 85 | $0.00 | D | 0 | I | By Prudential Legacy Insurance Company of New Jersey, a wholly-owned subsidiary of the Reporting Per |
| Series D Mandatory Redeemable Preferred StockF1,F2 | Nov 16, 2018 | J | 24 | $0.00 | D | 0 | I | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1(1)Previous 10% Owner of Preferred Share Securities of CBA; as of 11/16/2018, 10% Owner of Preferred Share Securities of EMO.
- F2(2)Share exchange/replacement by Clearbridge Energy MidStream Opportunity Fund Inc. (ticker EMO) due to CBAs merger into EMO on 11/16/2018.