organization · Reporting owner
MetLife Investment Management, LLC
Disclosed activity across 21 companies
Sign in to followReported relationships
Latest disclosed role at each company.
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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 3.70% Series D Senior Secured Notes Due August 10, 2032SEC Table I · non-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
After 2025-01-09 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2025-01-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2025-01-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2025-01-09 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2025-01-09 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2025-01-09 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 5.364% Series C Senior Unsecured Notes due July 8, 2030SEC Table I · non-derivative | IndirectSee Footnotes | Not disclosed |
Reported balance
After 2026-07-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 45,000 |
Reported balance
Holding disclosure · report date 2023-07-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 96,000 |
Reported balance
After 2026-08-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 134,400 |
Reported balance
After 2026-08-26 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 16,000 |
Reported balance
After 2026-08-26 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 43,600 |
Reported balance
After 2026-08-26 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 109,000 |
Reported balance
After 2026-08-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 112,000 |
Reported balance
After 2026-08-26 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 60,000 |
Reported balance
After 2026-08-26 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 16,000 |
Reported balance
After 2026-08-26 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 48,000 |
Reported balance
After 2026-08-26 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-24 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 296,000 |
Reported balance
After 2026-08-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 168,000 |
Reported balance
After 2026-08-26 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 244,000 |
Reported balance
After 2026-08-26 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 44,000 |
Reported balance
After 2026-08-26 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 128,000 |
Reported balance
After 2026-08-26 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series H Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 134,400 |
Reported balance
After 2026-08-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 157,600 |
Reported balance
After 2026-08-26 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 72,000 |
Reported balance
After 2026-08-26 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 20,000 |
Reported balance
After 2026-08-26 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 56,000 |
Reported balance
After 2026-08-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 400,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 800,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 480,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 1,200,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 400,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 1,720,000 |
Reported balance
Holding disclosure · report date 2026-03-11 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 3.00% Series B Senior Secured Notes Due July 22, 2026SEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-07-22 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-07-22 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-07-22 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-07-22 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-07-22 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 748,000 |
Reported balance
After 2025-05-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 252,000 |
Reported balance
After 2025-05-29 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-05-30 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-05-30 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-05-30 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-05-30 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series W Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-09-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-09-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 2,040,000 |
Reported balance
Holding disclosure · report date 2023-05-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 600,000 |
Reported balance
Holding disclosure · report date 2023-05-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 880,000 |
Reported balance
Holding disclosure · report date 2023-05-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-10-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Mandatorily Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 4,000,000 |
Reported balance
Holding disclosure · report date 2025-12-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 3.91% Senior Fixed Rate Notes Due September 15, 2023SEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-15 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series I Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-13 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Floating Rate Senior Note, Series A Note, Due Sep. 18, 2023SEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-18 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 3.99% Senior Notes, Series L, Due December 19, 2024SEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-19 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-19 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series F Mandatory Redeemable Preferred SharesSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-23 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-12-23 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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.