TapewireFind a company

organization · Reporting owner

MetLife Investment Management, LLC

Disclosed activity across 21 companies

Tapewire entity
10232
SEC CIK
0001529735

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ABRDN ASIA-PACIFIC INCOME FUND, INC.FAX · Entity 533410% ownerJanuary 09, 2025January 13, 2025
Angel Oak Financial Strategies Income Term TrustFINS · Entity 559710% ownerJuly 08, 2026July 10, 2026
Blackstone Strategic Credit 2027 Term FundBGB · Entity 899810% ownerJuly 25, 2023August 04, 2023
CALAMOS CONVERTIBLE & HIGH INCOME FUNDCHY · Entity 494710% ownerAugust 24, 2026August 26, 2026
CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUNDCHI · Entity 495410% ownerAugust 24, 2026August 26, 2026
CALAMOS STRATEGIC TOTAL RETURN FUNDCSQ · Entity 129610% ownerAugust 24, 2026August 26, 2026
Calamos Dynamic Convertible & Income FundCCD · Entity 41710% ownerAugust 24, 2026August 26, 2026
Calamos Global Dynamic Income FundCHW · Entity 53010% ownerAugust 26, 2026August 26, 2026
Carlyle Tactical Private Credit FundTAKMX · Entity 3583510% ownerMarch 11, 2026March 23, 2026
DNP SELECT INCOME FUND INCDNP · Entity 404110% ownerJuly 22, 2026July 24, 2026
Duff & Phelps Utility & Infrastructure Fund Inc.DPG · Entity 544410% ownerMay 29, 2025June 02, 2025
Kayne Anderson Energy Infrastructure Fund, Inc.KYN · Entity 433410% ownerSeptember 01, 2026September 04, 2026
Virtus Convertible & Income FundNCV · Entity 888510% ownerMay 26, 2023June 05, 2023
Virtus Convertible & Income Fund IINCZ · Entity 597810% ownerMay 26, 2023June 05, 2023
Virtus Diversified Income & Convertible FundACV · Entity 606110% ownerOctober 02, 2025October 06, 2025
abrdn Income Credit Strategies FundACP · Entity 530710% ownerDecember 18, 2025December 29, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ABRDN ASIA-PACIFIC INCOME FUND, INC.

Report date January 09, 2025 · Filed January 13, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance After 2025-01-09 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2025-01-09 · Purchase · Acquired 1,000,000 · Balance Not disclosed

F1: This price reflects the aggregate principal amount of the 3.70% Series D Senior Secured Notes Due August 10, 2032 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2025-01-09 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance Not disclosed

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2025-01-09 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance Not disclosed

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2025-01-09 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance Not disclosed

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2025-01-09 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance Not disclosed

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2025-01-09 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance Not disclosed

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This price reflects the aggregate principal amount of the 3.70% Series D Senior Secured Notes Due August 10, 2032 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Angel Oak Financial Strategies Income Term Trust

Report date July 08, 2026 · Filed July 10, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
5.364% Series C Senior Unsecured Notes due July 8, 2030SEC Table I · non-derivativeIndirectSee FootnotesNot disclosed Reported balance After 2026-07-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-07-08 · Purchase · Acquired 40,000,000 · Balance Not disclosed

F1: This price reflects the aggregate principal amount of the 5.364% Series C Senior Unsecured Notes due July 8, 2030 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This price reflects the aggregate principal amount of the 5.364% Series C Senior Unsecured Notes due July 8, 2030 purchased.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Blackstone Strategic Credit 2027 Term Fund

Report date July 25, 2023 · Filed August 04, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes45,000 Reported balance Holding disclosure · report date 2023-07-25 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 45,000

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

CALAMOS CONVERTIBLE & HIGH INCOME FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-24 · Other · Disposed 288,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-08-24 · Other · Disposed 144,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-08-24 · Other · Disposed 44,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-08-24 · Other · Disposed 44,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes96,000 Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-08-26 · Purchase · Acquired 96,000 · Balance 96,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes134,400 Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-08-26 · Purchase · Acquired 134,400 · Balance 134,400

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes16,000 Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-08-26 · Purchase · Acquired 16,000 · Balance 16,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes43,600 Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-08-26 · Purchase · Acquired 43,600 · Balance 43,600

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-24 · Other · Disposed 36,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-08-24 · Other · Disposed 124,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-08-24 · Other · Disposed 36,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-08-24 · Other · Disposed 244,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes109,000 Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-08-26 · Purchase · Acquired 109,000 · Balance 109,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes112,000 Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-08-26 · Purchase · Acquired 112,000 · Balance 112,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes60,000 Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-08-26 · Purchase · Acquired 60,000 · Balance 60,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes16,000 Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-08-26 · Purchase · Acquired 16,000 · Balance 16,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes48,000 Reported balance After 2026-08-26 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2026-08-26 · Purchase · Acquired 48,000 · Balance 48,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

CALAMOS STRATEGIC TOTAL RETURN FUND

Report date August 24, 2026 · Filed August 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-24 · Other · Disposed 600,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Calamos Dynamic Convertible & Income Fund

Report date August 24, 2026 · Filed August 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-24 · Other · Disposed 36,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-08-24 · Other · Disposed 244,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-08-24 · Other · Disposed 124,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-08-24 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-08-24 · Other · Disposed 36,000 · Balance 0

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes296,000 Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-08-26 · Purchase · Acquired 296,000 · Balance 296,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes168,000 Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-08-26 · Purchase · Acquired 168,000 · Balance 168,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes244,000 Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-08-26 · Purchase · Acquired 244,000 · Balance 244,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes44,000 Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-08-26 · Purchase · Acquired 44,000 · Balance 44,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes128,000 Reported balance After 2026-08-26 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2026-08-26 · Purchase · Acquired 128,000 · Balance 128,000

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series D Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Calamos Global Dynamic Income Fund

Report date August 26, 2026 · Filed August 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes134,400 Reported balance After 2026-08-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-26 · Purchase · Acquired 134,400 · Balance 134,400

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes157,600 Reported balance After 2026-08-26 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-08-26 · Purchase · Acquired 157,600 · Balance 157,600

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes72,000 Reported balance After 2026-08-26 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-08-26 · Purchase · Acquired 72,000 · Balance 72,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes20,000 Reported balance After 2026-08-26 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-08-26 · Purchase · Acquired 20,000 · Balance 20,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes56,000 Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-08-26 · Purchase · Acquired 56,000 · Balance 56,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Carlyle Tactical Private Credit Fund

Report date March 11, 2026 · Filed March 23, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes400,000 Reported balance Holding disclosure · report date 2026-03-11 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 400,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series G Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes800,000 Reported balance Holding disclosure · report date 2026-03-11 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 800,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes480,000 Reported balance Holding disclosure · report date 2026-03-11 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 480,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes1,200,000 Reported balance Holding disclosure · report date 2026-03-11 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 1,200,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series K Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes400,000 Reported balance Holding disclosure · report date 2026-03-11 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 400,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series L Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes1,720,000 Reported balance Holding disclosure · report date 2026-03-11 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 1,720,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

DNP SELECT INCOME FUND INC

Report date July 22, 2026 · Filed July 24, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-07-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-07-22 · Other · Disposed 40,600,000 · Balance 0

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-07-22 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-07-22 · Other · Disposed 32,400,000 · Balance 0

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-07-22 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-07-22 · Other · Disposed 1,700,000 · Balance 0

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-07-22 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-07-22 · Other · Disposed 3,100,000 · Balance 0

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-07-22 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-07-22 · Other · Disposed 2,300,000 · Balance 0

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.00% Series B Senior Secured Notes Due July 22, 2026 ("Series B Senior Secured Notes") matured on July 22, 2026, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These Series B Senior Secured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Duff & Phelps Utility & Infrastructure Fund Inc.

Report date May 29, 2025 · Filed June 02, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes748,000 Reported balance After 2025-05-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-05-29 · Purchase · Acquired 748,000 · Balance 748,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes252,000 Reported balance After 2025-05-29 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2025-05-29 · Purchase · Acquired 252,000 · Balance 252,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-05-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2025-05-30 · Other · Disposed 549,500 · Balance 0

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-05-30 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2025-05-30 · Other · Disposed 122,500 · Balance 0

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-05-30 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2025-05-30 · Other · Disposed 518,000 · Balance 0

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-05-30 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2025-05-30 · Other · Disposed 210,000 · Balance 0

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F3: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

Kayne Anderson Energy Infrastructure Fund, Inc.

Report date September 01, 2026 · Filed September 04, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-09-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-09-01 · Other · Disposed 60,000 · Balance 0

F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series W Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2026-09-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-09-01 · Other · Disposed 60,000 · Balance 0

F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series W Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Virtus Convertible & Income Fund

Report date May 26, 2023 · Filed June 05, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes2,040,000 Reported balance Holding disclosure · report date 2023-05-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,040,000

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes600,000 Reported balance Holding disclosure · report date 2023-05-26 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 600,000

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Virtus Convertible & Income Fund II

Report date May 26, 2023 · Filed June 05, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes880,000 Reported balance Holding disclosure · report date 2023-05-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 880,000

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Virtus Diversified Income & Convertible Fund

Report date October 02, 2025 · Filed October 06, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-10-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-02 · Other · Disposed 1,200,000 · Balance 0

F1: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These securities were held directly by a client for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

abrdn Income Credit Strategies Fund

Report date December 18, 2025 · Filed December 29, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Mandatorily Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes4,000,000 Reported balance Holding disclosure · report date 2025-12-18 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 4,000,000

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F2: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

FRANKLIN UNIVERSAL TRUST

Report date September 15, 2023 · Filed September 19, 2023

Section 16 reporting ended · disclosed 2023-09-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2023-09-15 · Other · Disposed 10,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-09-15 · Other · Disposed 25,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2023-09-15 · Other · Disposed 10,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-15 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2023-09-15 · Other · Disposed 5,000,000 · Balance 0

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Kayne Anderson NextGen Energy & Infrastructure, Inc.

Report date November 13, 2023 · Filed November 15, 2023

Section 16 reporting ended · disclosed 2023-11-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2023-11-13 · Other · Disposed 214,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-11-13 · Other · Disposed 106,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2023-11-13 · Other · Disposed 60,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series J Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2023-11-13 · Other · Disposed 60,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.82% Series I Senior Unsecured Notes Due August 8, 2025SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2023-11-13 · Other · Disposed 664,176.26 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

3.82% Series I Senior Unsecured Notes Due August 8, 2025SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2023-11-13 · Other · Disposed 1,692,307.69 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

5.18% Series F Senior Unsecured Notes Due March 29, 2033SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2023-11-13 · Other · Disposed 11,000,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

5.18% Series F Senior Unsecured Notes Due March 29, 2033SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-11-13 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2023-11-13 · Other · Disposed 9,000,000 · Balance 0

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Neuberger High Yield Strategies Fund Inc.

Report date September 18, 2023 · Filed September 20, 2023

Section 16 reporting ended · disclosed 2023-09-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2023-09-18 · Other · Disposed 5,190,034 · Balance 0

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-09-18 · Other · Disposed 5,726,934 · Balance 0

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2023-09-18 · Other · Disposed 8,583,032 · Balance 0

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Floating Rate Senior Note, Series B Note, Due Sep. 18, 2023SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2023-09-18 · Other · Disposed 26,500,000 · Balance 0

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2023-09-18 · Other · Disposed 3,968,000 · Balance 0

F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2023-09-18 · Other · Disposed 768,000 · Balance 0

F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2023-09-18 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2023-09-18 · Other · Disposed 1,344,000 · Balance 0

F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

TORTOISE ENERGY INFRASTRUCTURE CORP

Report date December 19, 2024 · Filed December 23, 2024

Section 16 reporting ended · disclosed 2024-12-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-12-19 · Other · Disposed 3,549,333.33 · Balance 0

F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-19 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-12-19 · Other · Disposed 1,613,333.33 · Balance 0

F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-19 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-12-19 · Other · Disposed 1,290,666.67 · Balance 0

F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These 3.99% Senior Notes, Series L, Due December 19, 2024 ("Series L Senior Notes") matured on December 19, 2024, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2: These Series L Senior Notes were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Tortoise Midstream Energy Fund, Inc.

Report date December 23, 2024 · Filed December 23, 2024

Section 16 reporting ended · disclosed 2024-12-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-12-23 · Other · Disposed 8,082 · Balance 0

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-23 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-12-23 · Other · Disposed 21,936 · Balance 0

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-23 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-12-23 · Other · Disposed 37,715 · Balance 0

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-12-23 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2024-12-23 · Other · Disposed 28,479 · Balance 0

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of December 23, 2024 (the "Closing"), in connection with the merger of the Issuer with and into Tortoise Energy Infrastructure Corporation ("TYG"), pursuant to the Agreement and Plan of Merger dated as of November 5, 2024, between TYG and the Issuer, TYG issued new Series H Mandatory Redeemable Preferred Shares in substitution for and replacement of the Issuer's Series F Mandatory Redeemable Preferred Shares that were outstanding immediately prior to the Closing.

F2: These securities were held directly by clients for whom the Reporting Person serves as investment manager.

F3: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Transaction history

JSON API
Reset

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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 13, 2023 Filed Nov 15, 2023 16:29 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 OtherSeries I Mandatory Redeemable Preferred Shares 214,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001455 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of the Issuer with and into a wholly owned subsidiary of Kayne Anderson Energy Infrastructure Fund, Inc. ("KYN"), pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among KYN and the Issuer, KYN issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of the Issuer's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other5.18% Series UU Senior Unsecured Notes Due March 29, 2033 9,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 8

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 9,000,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other5.18% Series UU Senior Unsecured Notes Due March 29, 2033 11,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 7

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,000,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other3.82% Series TT Senior Unsecured Notes Due August 8, 2025 1,692,307.69 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 6

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,692,307.69

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other3.82% Series TT Senior Unsecured Notes Due August 8, 2025 664,176.26 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 5

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 664,176.26

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherSeries W Mandatory Redeemable Preferred Shares 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 60,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherSeries W Mandatory Redeemable Preferred Shares 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 60,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherSeries V Mandatory Redeemable Preferred Shares 106,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 106,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 21:30 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 OtherSeries V Mandatory Redeemable Preferred Shares 214,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001456 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 214,000

F1 · kind: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F1 · price: Effective as of November 13, 2023 (the "Closing"), in connection with the merger of Kayne Anderson NextGen Energy & Infrastructure, Inc. ("KMF") with and into a wholly owned subsidiary of the Issuer, pursuant to the Agreement and Plan of Merger, dated March 24, 2023, as amended and restated on April 24, 2023, by and among the Issuer and KMF, the Issuer issued new Series V and Series W Mandatory Redeemable Preferred Shares and new Series TT and Series UU Senior Unsecured Notes in substitution for and replacement of KMF's Series I and Series J Mandatory Redeemable Preferred Shares and Series I and Series F Senior Unsecured Notes, respectively, that were outstanding immediately prior to the Closing.

F2 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 29, 2023 Filed Oct 31, 2023 20:32 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other3.37% Series NN Senior Unsecured Notes Due October 29, 2023 1,100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001262 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.37% Series NN Senior Unsecured Notes Due October 29, 2023 ("Series NN Senior Unsecured Notes") matured on October 29, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.37% Series NN Senior Unsecured Notes Due October 29, 2023 ("Series NN Senior Unsecured Notes") matured on October 29, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series NN Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Series NN Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
October 29, 2023 Filed Oct 31, 2023 20:32 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Other3.37% Series NN Senior Unsecured Notes Due October 29, 2023 1,100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-001262 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.37% Series NN Senior Unsecured Notes Due October 29, 2023 ("Series NN Senior Unsecured Notes") matured on October 29, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.37% Series NN Senior Unsecured Notes Due October 29, 2023 ("Series NN Senior Unsecured Notes") matured on October 29, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series NN Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Series NN Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherSeries C Mandatory Redeemable Preferred Shares 1,344,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 7

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherSeries C Mandatory Redeemable Preferred Shares 768,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 6

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherSeries C Mandatory Redeemable Preferred Shares 3,968,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 5

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F2 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F2 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $12.50 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherFloating Rate Senior Note, Series B Note, Due Sep. 18, 2023 26,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 8,583,032 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 5,726,934 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 18, 2023 Filed Sep 20, 2023 20:18 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherFloating Rate Senior Note, Series A Note, Due Sep. 18, 2023 5,190,034 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000948 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Floating Rate Senior Notes matured on September 18, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F3 · ownership.direct: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F3 · ownership.nature: These securities are held directly by clients for whom the Reporting Person serves as investment manager.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 7

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 6

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 5

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 10,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 25,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 20:25 UTC FRANKLIN UNIVERSAL TRUST FT · Entity 8825 Other3.91% Senior Fixed Rate Notes Due September 15, 2023 10,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000942 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 08, 2023 Filed Aug 10, 2023 18:16 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 Other3.72% Series H Senior Unsecured Notes Due August 8, 2023 730,593.04 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000663 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.72% Series H Senior Unsecured Notes Due August 8, 2023 ("Series H Senior Unsecured Notes") matured on August 8, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.72% Series H Senior Unsecured Notes Due August 8, 2023 ("Series H Senior Unsecured Notes") matured on August 8, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series H Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series H Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 08, 2023 Filed Aug 10, 2023 18:16 UTC Kayne Anderson NextGen Energy & Infrastructure, Inc. KMF · Entity 108252 Other3.72% Series H Senior Unsecured Notes Due August 8, 2023 1,861,536 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000663 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 3.72% Series H Senior Unsecured Notes Due August 8, 2023 ("Series H Senior Unsecured Notes") matured on August 8, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 3.72% Series H Senior Unsecured Notes Due August 8, 2023 ("Series H Senior Unsecured Notes") matured on August 8, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series H Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series H Senior Unsecured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 22, 2023 Filed Jul 25, 2023 22:15 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 Other2.76% Series A Senior Secured Notes Due July 22, 2023 1,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-036107 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 22, 2023 Filed Jul 25, 2023 22:15 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 Other2.76% Series A Senior Secured Notes Due July 22, 2023 6,400,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-036107 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 22, 2023 Filed Jul 25, 2023 22:15 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 Other2.76% Series A Senior Secured Notes Due July 22, 2023 800,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-036107 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 22, 2023 Filed Jul 25, 2023 22:15 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 Other2.76% Series A Senior Secured Notes Due July 22, 2023 23,800,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-036107 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These 2.76% Series A Senior Secured Notes Due July 22, 2023 ("Series A Senior Secured Notes") matured on July 22, 2023, on which date the Issuer agreed to repay the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Series A Senior Secured Notes are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:30 UTC Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 OtherSeries C Mandatory Redeemable Preferred Shares 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-035006 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 210,000

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:30 UTC Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 OtherSeries C Mandatory Redeemable Preferred Shares 74,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-035006 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 518,000

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:30 UTC Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 OtherSeries C Mandatory Redeemable Preferred Shares 17,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-035006 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 122,500

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:30 UTC Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 OtherSeries C Mandatory Redeemable Preferred Shares 78,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-035006 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 549,500

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in part by the Issuer at their original purchase price of $25.00 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 03, 2023 Filed Jul 13, 2023 23:20 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 OtherSeries C Mandatory Redeemable Preferred Shares 170 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-034492 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $100,000 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $100,000 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 03, 2023 Filed Jul 13, 2023 23:20 UTC DNP SELECT INCOME FUND INC DNP · Entity 4041 OtherSeries C Mandatory Redeemable Preferred Shares 200 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-034492 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $100,000 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series C Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $100,000 per share, plus accrued and unpaid dividends, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F2 · ownership.nature: These Series C Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
September 06, 2022 Filed Sep 8, 2022 21:49 UTC CALAMOS STRATEGIC TOTAL RETURN FUND CSQ · Entity 1296 OtherSeries A Mandatory Redeemable Preferred Shares 652,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-22-032789 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · kind: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25, plus accrued dividends of $0.01 per share, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F1 · price: These Series A Mandatory Redeemable Preferred Shares were redeemed in full by the Issuer at their original purchase price of $25, plus accrued dividends of $0.01 per share, which dividends are exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder.

F2 · ownership.direct: These Series A Mandatory Redeemable Preferred Shares are held directly by a client for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F2 · ownership.nature: These Series A Mandatory Redeemable Preferred Shares are held directly by a client for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 22:16 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Purchase4.67% Series SS Senior Unsecured Notes due August 2, 2034 3,000,000 $3,000,000.00 $9,000,000,000,000.00
Disclosure

SEC source: 0001140361-22-028232 · form4.xml · nonDerivative · entry 4

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

F1 · price: This price reflects the aggregate principal amount of the 4.67% Series SS Senior Unsecured Notes due August 2, 2034 (the "Notes") purchased.

F2 · ownership.direct: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 22:16 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Purchase4.67% Series SS Senior Unsecured Notes due August 2, 2034 1,000,000 $1,000,000.00 $1,000,000,000,000.00
Disclosure

SEC source: 0001140361-22-028232 · form4.xml · nonDerivative · entry 3

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

F1 · price: This price reflects the aggregate principal amount of the 4.67% Series SS Senior Unsecured Notes due August 2, 2034 (the "Notes") purchased.

F2 · ownership.direct: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 22:16 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 Purchase4.67% Series SS Senior Unsecured Notes due August 2, 2034 2,000,000 $2,000,000.00 $4,000,000,000,000.00
Disclosure

SEC source: 0001140361-22-028232 · form4.xml · nonDerivative · entry 2

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

F1 · price: This price reflects the aggregate principal amount of the 4.67% Series SS Senior Unsecured Notes due August 2, 2034 (the "Notes") purchased.

F2 · ownership.direct: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 22:16 UTC Kayne Anderson Energy Infrastructure Fund, Inc. KYN · Entity 4334 PurchaseSeries T Mandatory Redeemable Preferred Shares 120,000 $25.00 $3,000,000.00
Disclosure

SEC source: 0001140361-22-028232 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 120,000

F2 · ownership.direct: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Notes and Mandatory Redeemable Preferred Shares are held directly by clients for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 03, 2022 Filed Jun 7, 2022 20:19 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 PurchaseFloating Rate Senior Note, Series B Note, Due Sep. 18, 2023 26,500,000 $26,500,000.00 $702,250,000,000,000.00
Disclosure

SEC source: 0001567619-22-012442 · doc1.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

F1 · price: This price reflects the aggregate principal amount of the Floating Rate Senior Note, Series B Note, due September 18, 2023 (the "Notes") purchased.

F2 · ownership.direct: These Notes are held directly by a client for whom the Reporting Person serves as investment manager.

F3 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: These Notes are held directly by a client for whom the Reporting Person serves as investment manager.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 24, 2022 Filed May 26, 2022 22:40 UTC CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND CHI · Entity 4954 PurchaseSeries E Mandatory Redeemable Preferred Shares 680,000 $25.00 $17,000,000.00
Disclosure

SEC source: 0001140361-22-020870 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 680,000

F1 · ownership.direct: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 24, 2022 Filed May 26, 2022 22:42 UTC CALAMOS CONVERTIBLE & HIGH INCOME FUND CHY · Entity 4947 PurchaseSeries E Mandatory Redeemable Preferred Shares 740,000 $25.00 $18,500,000.00
Disclosure

SEC source: 0001140361-22-020872 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 740,000

F1 · ownership.direct: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 24, 2022 Filed May 26, 2022 22:43 UTC CALAMOS STRATEGIC TOTAL RETURN FUND CSQ · Entity 1296 PurchaseSeries F Mandatory Redeemable Preferred Shares 320,000 $25.00 $8,000,000.00
Disclosure

SEC source: 0001140361-22-020874 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 320,000

F1 · ownership.direct: These Mandatory Redeemable Preferred Shares are held directly by Brighthouse Life Insurance Company. The Reporting Person serves as investment manager to Brighthouse Life Insurance Company.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: These Mandatory Redeemable Preferred Shares are held directly by Brighthouse Life Insurance Company. The Reporting Person serves as investment manager to Brighthouse Life Insurance Company.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 24, 2022 Filed May 26, 2022 22:41 UTC Calamos Dynamic Convertible & Income Fund CCD · Entity 417 PurchaseSeries E Mandatory Redeemable Preferred Shares 440,000 $25.00 $11,000,000.00
Disclosure

SEC source: 0001140361-22-020871 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 440,000

F1 · ownership.direct: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: These Mandatory Redeemable Preferred Shares are held directly by Metropolitan Life Insurance Company. The Reporting Person serves as investment manager to Metropolitan Life Insurance Company.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 24, 2021 Filed May 26, 2022 22:42 UTC CALAMOS STRATEGIC TOTAL RETURN FUND CSQ · Entity 1296 PurchaseSeries D Mandatory Redeemable Preferred Shares 600,000 $25.00 $15,000,000.00
Disclosure

SEC source: 0001140361-22-020873 · form4.xml · nonDerivative · entry 1

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 600,000

F1 · ownership.direct: These Mandatory Redeemable Preferred Shares are held directly by Brighthouse Life Insurance Company. The Reporting Person serves as investment manager to Brighthouse Life Insurance Company.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: These Mandatory Redeemable Preferred Shares are held directly by Brighthouse Life Insurance Company. The Reporting Person serves as investment manager to Brighthouse Life Insurance Company.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 14, 2020 Filed Jun 10, 2022 20:45 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherSeries C Mandatory Redeemable Preferred Shares 336,000 $4,210,837.84 $1,414,841,514,240.00
Disclosure

SEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 6

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,344,000

F2 · kind: These Series C Mandatory Redeemable Preferred Shares ("Series C MRPS") were redeemed, in part, by the Issuer at a price equal to the liquidation preference of $12.50 per share plus accumulated and unpaid dividends.

F3 · price: This price reflects the aggregate amount received in exchange for the redemption.

F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager.

F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 14, 2020 Filed Jun 10, 2022 20:45 UTC Neuberger High Yield Strategies Fund Inc. NHS · Entity 8981 OtherSeries C Mandatory Redeemable Preferred Shares 192,000 $2,406,193.05 $461,989,065,600.00
Disclosure

SEC source: 0001140361-22-022619 · form4.xml · nonDerivative · entry 5

MetLife Investment Management, LLC · CIK 0001529735 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 768,000

F2 · kind: These Series C Mandatory Redeemable Preferred Shares ("Series C MRPS") were redeemed, in part, by the Issuer at a price equal to the liquidation preference of $12.50 per share plus accumulated and unpaid dividends.

F3 · price: This price reflects the aggregate amount received in exchange for the redemption.

F4 · ownership.direct: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager.

F5 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: These Notes and Series C MRPS are held directly by clients for whom the Reporting Person serves as investment manager.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document

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