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ClearBridge Energy Midstream Opportunity Fund Inc.

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8990
SEC CIK
0001517518
Parsed reports
154

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 25, 2023 Filed May 30, 2023 14:42 UTC PurchaseCommon Stock 4,514 $27.73 $125,173.22
Disclosure

SEC source: 0001510281-23-000111 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,217,655

Read SEC document
May 24, 2023 Filed May 25, 2023 11:13 UTC PurchaseCommon Stock 17,536 $28.13 $493,287.68
Disclosure

SEC source: 0001510281-23-000106 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,213,141

Read SEC document
May 23, 2023 Filed May 25, 2023 11:13 UTC PurchaseCommon Stock 2,671 $28.34 $75,696.14
Disclosure

SEC source: 0001510281-23-000106 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,195,605

Read SEC document
May 19, 2023 Filed May 23, 2023 13:00 UTC PurchaseCommon Stock 35,807 $28.92 $1,035,538.44
Disclosure

SEC source: 0001510281-23-000101 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,192,934

Read SEC document
May 18, 2023 Filed May 19, 2023 15:01 UTC PurchaseCommon Stock 31,955 $28.44 $908,800.20
Disclosure

SEC source: 0001510281-23-000095 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,157,127

Read SEC document
May 17, 2023 Filed May 19, 2023 15:01 UTC PurchaseCommon Stock 25,203 $28.02 $706,188.06
Disclosure

SEC source: 0001510281-23-000095 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,125,172

Read SEC document
May 16, 2023 Filed May 17, 2023 13:46 UTC PurchaseCommon Stock 26,976 $27.78 $749,393.28
Disclosure

SEC source: 0001510281-23-000089 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · -

Disclosed balance after: 2,099,969

Read SEC document
February 28, 2023 Filed Mar 16, 2023 12:35 UTC GrantCommon Stock 18 $29.90 $538.20
Disclosure

SEC source: 0001510281-23-000035 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,073,011

Read SEC document
February 01, 2023 Filed Feb 2, 2023 13:13 UTC PurchaseCommon Stock 5,005 $30.76 $153,953.80
Disclosure

SEC source: 0001510281-23-000015 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,072,993

Read SEC document
January 30, 2023 Filed Feb 1, 2023 11:18 UTC PurchaseCommon Stock 21,187 $31.09 $658,703.83
Disclosure

SEC source: 0001510281-23-000014 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,067,988

Read SEC document
January 27, 2023 Filed Jan 30, 2023 12:24 UTC PurchaseCommon Stock 6,124 $31.19 $191,007.56
Disclosure

SEC source: 0001510281-23-000012 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,046,801

Read SEC document
January 26, 2023 Filed Jan 30, 2023 12:24 UTC PurchaseCommon Stock 11,182 $30.98 $346,418.36
Disclosure

SEC source: 0001510281-23-000012 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,040,677

Read SEC document
January 25, 2023 Filed Jan 26, 2023 13:33 UTC PurchaseCommon Stock 57,426 $30.51 $1,752,067.26
Disclosure

SEC source: 0001510281-23-000011 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 2,029,495

Read SEC document
January 17, 2023 Filed Jan 19, 2023 10:22 UTC PurchaseCommon Stock 15,372 $29.86 $459,007.92
Disclosure

SEC source: 0001510281-23-000006 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,972,069

Read SEC document
January 12, 2023 Filed Jan 17, 2023 06:19 UTC PurchaseCommon Stock 965 $29.85 $28,805.25
Disclosure

SEC source: 0001510281-23-000002 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,956,680

Read SEC document
January 10, 2023 Filed Jan 17, 2023 06:19 UTC PurchaseCommon Stock 10,630 $28.96 $307,844.80
Disclosure

SEC source: 0001510281-23-000002 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,955,715

Read SEC document
January 09, 2023 Filed Jan 10, 2023 12:17 UTC PurchaseCommon Stock 35,109 $29.06 $1,020,267.54
Disclosure

SEC source: 0001510281-23-000001 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,945,085

Read SEC document
January 06, 2023 Filed Jan 10, 2023 12:17 UTC PurchaseCommon Stock 20,649 $28.62 $590,974.38
Disclosure

SEC source: 0001510281-23-000001 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,909,976

Read SEC document
December 13, 2022 Filed Dec 15, 2022 11:09 UTC PurchaseCommon Stock 70,684 $28.87 $2,040,647.08
Disclosure

SEC source: 0001510281-22-000246 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,889,327

Read SEC document
December 12, 2022 Filed Dec 12, 2022 16:42 UTC PurchaseCommon Stock 8,679 $28.29 $245,528.91
Disclosure

SEC source: 0001510281-22-000245 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,818,643

Read SEC document
December 09, 2022 Filed Dec 12, 2022 16:42 UTC PurchaseCommon Stock 2,208 $28.25 $62,376.00
Disclosure

SEC source: 0001510281-22-000245 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,809,964

Read SEC document
December 08, 2022 Filed Dec 9, 2022 14:35 UTC PurchaseCommon Stock 12,863 $28.72 $369,425.36
Disclosure

SEC source: 0001510281-22-000242 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,807,756

Read SEC document
December 07, 2022 Filed Dec 9, 2022 14:35 UTC PurchaseCommon Stock 2,947 $28.79 $84,844.13
Disclosure

SEC source: 0001510281-22-000242 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,794,893

Read SEC document
December 05, 2022 Filed Dec 7, 2022 10:25 UTC PurchaseCommon Stock 100 $30.26 $3,026.00
Disclosure

SEC source: 0001510281-22-000240 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,791,946

Read SEC document
December 02, 2022 Filed Dec 5, 2022 09:58 UTC Amendment PurchaseCommon Stock 9,852 $30.10 $296,545.20
Disclosure

SEC source: 0001510281-22-000238 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,791,846

Read SEC document
December 01, 2022 Filed Dec 5, 2022 09:43 UTC PurchaseCommon Stock 80 $30.22 $2,417.60
Disclosure

SEC source: 0001510281-22-000236 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,781,994

Read SEC document
November 30, 2022 Filed Jan 19, 2023 10:22 UTC GrantCommon Stock 17 $30.43 $517.31
Disclosure

SEC source: 0001510281-23-000006 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,956,697

Read SEC document
November 29, 2022 Filed Dec 1, 2022 12:03 UTC PurchaseCommon Stock 46,044 $30.15 $1,388,226.60
Disclosure

SEC source: 0001510281-22-000235 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,781,914

Read SEC document
November 25, 2022 Filed Nov 28, 2022 16:38 UTC PurchaseCommon Stock 1,523 $30.04 $45,750.92
Disclosure

SEC source: 0001510281-22-000233 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,735,870

Read SEC document
November 22, 2022 Filed Nov 25, 2022 12:45 UTC PurchaseCommon Stock 4,238 $30.19 $127,945.22
Disclosure

SEC source: 0001510281-22-000231 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,734,347

Read SEC document
November 18, 2022 Filed Nov 22, 2022 09:01 UTC PurchaseCommon Stock 7,561 $30.26 $228,795.86
Disclosure

SEC source: 0001510281-22-000229 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,730,109

Read SEC document
November 17, 2022 Filed Nov 17, 2022 23:00 UTC OtherSeries H Mandatory Redeemable Preferred Shares 4 $100,000.00 $400,000.00
Disclosure

SEC source: 0001225208-22-011773 · doc4.xml · nonDerivative · entry 2

MASSACHUSETTS MUTUAL LIFE INSURANCE CO · CIK 0000225602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By C.M. Life Insurance Company

Disclosed balance after: 4

Read SEC document
November 17, 2022 Filed Nov 17, 2022 23:00 UTC OtherSeries H Mandatory Redeemable Preferred Shares 66 $100,000.00 $6,600,000.00
Disclosure

SEC source: 0001225208-22-011773 · doc4.xml · nonDerivative · entry 1

MASSACHUSETTS MUTUAL LIFE INSURANCE CO · CIK 0000225602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66

Read SEC document
November 17, 2022 Filed Nov 18, 2022 16:29 UTC PurchaseCommon Stock 18,493 $29.72 $549,611.96
Disclosure

SEC source: 0001510281-22-000228 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,722,548

Read SEC document
November 17, 2022 Filed Nov 21, 2022 22:03 UTC PurchaseSeries L Mandatory Redeemable Preferred Stock 166,667 $30.00 $5,000,010.00
Disclosure

SEC source: 0001137774-22-000125 · primary_doc.xml · nonDerivative · entry 5

PRUDENTIAL FINANCIAL INC · CIK 0001137774 · 10% owner

PRUDENTIAL INSURANCE CO OF AMERICA · CIK 0000729057 · 10% owner

PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY · CIK 0001755924 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person

Disclosed balance after: 166,667

Read SEC document
November 17, 2022 Filed Nov 21, 2022 22:03 UTC OtherSeries K Mandatory Redeemable Preferred Stock 85 $100,000.00 $8,500,000.00
Disclosure

SEC source: 0001137774-22-000125 · primary_doc.xml · nonDerivative · entry 4

PRUDENTIAL FINANCIAL INC · CIK 0001137774 · 10% owner

PRUDENTIAL INSURANCE CO OF AMERICA · CIK 0000729057 · 10% owner

PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY · CIK 0001755924 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Prudential Legacy Insurance Company of New Jersey, a wholly-owned subsidiary of the Reporting Per

Disclosed balance after: 85

F3 · shares: Share transfer from Issuer on 11/17/2022 in exchange for Series G Mandatory Redeemable Preferred Stock.

F4 · ownership.direct: 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.

Read SEC document
November 17, 2022 Filed Nov 21, 2022 22:03 UTC OtherSeries G Mandatory Redeemable Preferred Stock 85 $100,000.00 $8,500,000.00
Disclosure

SEC source: 0001137774-22-000125 · primary_doc.xml · nonDerivative · entry 3

PRUDENTIAL FINANCIAL INC · CIK 0001137774 · 10% owner

PRUDENTIAL INSURANCE CO OF AMERICA · CIK 0000729057 · 10% owner

PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY · CIK 0001755924 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Prudential Legacy Insurance Company of New Jersey, a wholly-owned subsidiary of the Reporting Per

Disclosed balance after: 0

F1 · shares: Share transfer to Issuer on 11/17/2022 in exchange for Series K Mandatory Redeemable Preferred Stock.

F4 · ownership.direct: 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.

Read SEC document
November 17, 2022 Filed Nov 21, 2022 22:03 UTC OtherSeries K Mandatory Redeemable Preferred Stock 24 $100,000.00 $2,400,000.00
Disclosure

SEC source: 0001137774-22-000125 · primary_doc.xml · nonDerivative · entry 2

PRUDENTIAL FINANCIAL INC · CIK 0001137774 · 10% owner

PRUDENTIAL INSURANCE CO OF AMERICA · CIK 0000729057 · 10% owner

PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY · CIK 0001755924 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person

Disclosed balance after: 24

F3 · shares: Share transfer from Issuer on 11/17/2022 in exchange for Series G Mandatory Redeemable Preferred Stock.

F2 · ownership.direct: As grantor of the PICA Hartford Life & Annuity Comfort Trust.

Read SEC document
November 17, 2022 Filed Nov 21, 2022 22:03 UTC OtherSeries G Mandatory Redeemable Preferred Stock 24 $100,000.00 $2,400,000.00
Disclosure

SEC source: 0001137774-22-000125 · primary_doc.xml · nonDerivative · entry 1

PRUDENTIAL FINANCIAL INC · CIK 0001137774 · 10% owner

PRUDENTIAL INSURANCE CO OF AMERICA · CIK 0000729057 · 10% owner

PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY · CIK 0001755924 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person

Disclosed balance after: 0

F1 · shares: Share transfer to Issuer on 11/17/2022 in exchange for Series K Mandatory Redeemable Preferred Stock.

F2 · ownership.direct: As grantor of the PICA Hartford Life & Annuity Comfort Trust.

Read SEC document
November 17, 2022 Filed Feb 14, 2023 13:01 UTC OtherSeries J Mandatory Redeemable Preferred Stock 70 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-008964 · doc5.xml · nonDerivative · entry 4

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 70

F3 · kind: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series E Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F3 · price: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series E Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F4 · ownership.nature: American General Life Insurance Company, an indirectly controlled subsidiary of AIG, and Lexington directly hold 47 shares and 23 shares of the reported securities, respectively.

Read SEC document
November 17, 2022 Filed Feb 14, 2023 13:01 UTC OtherSeries E Mandatory Redeemable Preferred Stock 70 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-008964 · doc5.xml · nonDerivative · entry 3

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F3 · kind: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series E Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F3 · price: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series E Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F4 · ownership.nature: American General Life Insurance Company, an indirectly controlled subsidiary of AIG, and Lexington directly hold 47 shares and 23 shares of the reported securities, respectively.

Read SEC document
November 17, 2022 Filed Feb 14, 2023 13:01 UTC OtherSeries I Mandatory Redeemable Preferred Stock 30 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-008964 · doc5.xml · nonDerivative · entry 2

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 30

F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series D Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series I Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F1 · price: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series D Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series I Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F2 · ownership.nature: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), and The United States Life Insurance Company in The City of New York, an indirectly controlled subsidiary of AIG, directly hold 10 shares and 20 shares of the reported securities, respectively.

Read SEC document
November 17, 2022 Filed Feb 14, 2023 13:01 UTC OtherSeries D Mandatory Redeemable Preferred Stock 30 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-008964 · doc5.xml · nonDerivative · entry 1

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series D Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series I Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F1 · price: Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series D Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series I Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

F2 · ownership.nature: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), and The United States Life Insurance Company in The City of New York, an indirectly controlled subsidiary of AIG, directly hold 10 shares and 20 shares of the reported securities, respectively.

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November 16, 2022 Filed Nov 18, 2022 16:29 UTC PurchaseCommon Stock 200 $30.23 $6,046.00
Disclosure

SEC source: 0001510281-22-000228 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,704,055

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November 14, 2022 Filed Nov 16, 2022 15:33 UTC PurchaseCommon Stock 12,109 $30.97 $375,015.73
Disclosure

SEC source: 0001510281-22-000225 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,703,855

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November 11, 2022 Filed Nov 14, 2022 09:03 UTC PurchaseCommon Stock 6,896 $30.60 $211,017.60
Disclosure

SEC source: 0001510281-22-000220 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,691,746

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November 08, 2022 Filed Nov 9, 2022 11:27 UTC PurchaseCommon Stock 48,827 $30.56 $1,492,153.12
Disclosure

SEC source: 0001510281-22-000218 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,684,850

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November 07, 2022 Filed Nov 9, 2022 11:27 UTC PurchaseCommon Stock 25,451 $30.45 $774,982.95
Disclosure

SEC source: 0001510281-22-000218 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,636,023

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November 03, 2022 Filed Nov 7, 2022 13:39 UTC PurchaseCommon Stock 6,268 $29.44 $184,529.92
Disclosure

SEC source: 0001510281-22-000215 · primary_doc.xml · nonDerivative · entry 1

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,610,572

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October 28, 2022 Filed Oct 31, 2022 13:17 UTC PurchaseCommon Stock 3,239 $29.63 $95,971.57
Disclosure

SEC source: 0001510281-22-000209 · primary_doc.xml · nonDerivative · entry 2

Saba Capital Management, L.P. · CIK 0001510281 · 10% owner

Weinstein Boaz · CIK 0001608233 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 1,604,304

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.