Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ClearBridge Energy Midstream Opportunity Fund Inc.EMO · Entity 8990 | Man Dir. ,Co-CIO,Sudadviser | December 30, 2019 | December 31, 2019 |
| ClearBridge MLP & Midstream Fund Inc.CEM · Entity 87611 | Man. Dir & CIO of Subadviser | November 21, 2019 | December 02, 2019 |
| ClearBridge MLP & Midstream Total Return Fund Inc.CTR · Entity 87635 | Man Dir & Co CIO Subadviser | December 30, 2019 | December 31, 2019 |
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.
ClearBridge Energy Midstream Opportunity Fund Inc.
Report date December 30, 2019 · Filed December 31, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectShares purchased by Mr.Cohen for benefit of his son | 0 |
Reported balance
After 2019-12-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-30 · Sale · Disposed 4,000 · Balance 0 |
ClearBridge MLP & Midstream Fund Inc.
Report date November 21, 2019 · Filed December 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectChildren and Grandchildren's accounts | 7,215.11 |
Reported balance
After 2019-11-21 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-11-21 · Sale · Disposed 7,234.17 · Balance 7,215.11 F1: Includes shares acquired pursuant to the Fund's Dividend Reinvestment Plan. These shares of Common Stock are held by an account for the benefit of Mr. Cohen's children and grandchildren. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired pursuant to the Fund's Dividend Reinvestment Plan. These shares of Common Stock are held by an account for the benefit of Mr. Cohen's children and grandchildren. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.
ClearBridge MLP & Midstream Total Return Fund Inc.
Report date December 30, 2019 · Filed December 31, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectShares purchaed for benefit of Mr. Cohen's son's account | 0 |
Reported balance
After 2019-12-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-30 · Sale · Disposed 5,000 · Balance 0 |
| Common StockSEC Table I · non-derivative | Direct | 10,000 |
Reported balance
Holding disclosure · report date 2019-12-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,000 |
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 |
|---|---|---|---|---|---|---|
| December 30, 2019 Filed Dec 31, 2019 12:31 UTC | ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990 | SaleCommon Stock | 4,000 | $8.42 | $33,662.80 |
DisclosureSEC source: 0000914851-19-000307 · wf-form4_157781347313069.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man Dir. ,Co-CIO,Sudadviser 10b5-1 filing: Not disclosed Ownership: Indirect · Shares purchased by Mr.Cohen for benefit of his son Disclosed balance after: 0 Read SEC document |
| December 30, 2019 Filed Dec 31, 2019 11:18 UTC | ClearBridge MLP & Midstream Total Return Fund Inc. CTR · Entity 87635 | SaleCommon Stock | 5,000 | $8.54 | $42,716.00 |
DisclosureSEC source: 0000914851-19-000305 · wf-form4_157780911883307.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man Dir & Co CIO Subadviser 10b5-1 filing: Not disclosed Ownership: Indirect · Shares purchaed for benefit of Mr. Cohen's son's account Disclosed balance after: 0 Read SEC document |
| November 21, 2019 Filed Dec 2, 2019 12:19 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 7,234.17 | $9.91 | $71,718.84 |
DisclosureSEC source: 0000914851-19-000287 · wf-form4_157530717928584.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man. Dir & CIO of Subadviser 10b5-1 filing: Not disclosed Ownership: Indirect · Children and Grandchildren's accounts Disclosed balance after: 7,215.11 F1 · balance_after: Includes shares acquired pursuant to the Fund's Dividend Reinvestment Plan. These shares of Common Stock are held by an account for the benefit of Mr. Cohen's children and grandchildren. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 08:31 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 1,738 | $10.70 | $18,599.55 |
DisclosureSEC source: 0000914851-19-000285 · wf-form4_157243869181273.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man. Dir & CIO of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0.35 Read SEC document |
| December 10, 2018 Filed Dec 12, 2018 16:39 UTC Amendment | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 58,784 | $11.25 | $661,519.87 |
DisclosureSEC source: 0000914851-18-000264 · wf-form4a_154465073984041.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man. Dir & CIO of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,738.35 F1 · shares: Includes shares acquired through the Fund's Dividend Reinvestment Plan. F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 10, 2018 Filed Dec 12, 2018 14:37 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 58,784 | $11.25 | $661,519.87 |
DisclosureSEC source: 0000914851-18-000262 · wf-form4_154464342962053.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man. Dir & CIO of Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,738.35 F1 · shares: Includes shares acquired through the Fund's Dividend Reinvestment Plan. F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| June 26, 2012 Filed Dec 13, 2018 10:48 UTC Amendment | ClearBridge MLP & Midstream Total Return Fund Inc. CTR · Entity 87635 | GrantCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0000914851-18-000266 · wf-form4a_154471609607916.xml · nonDerivative · entry 2 COHEN HARRY D · CIK 0001279778 · Man Dir & Co CIO Subadviser 10b5-1 filing: Not disclosed Ownership: Indirect · Shares purchaed for benefit of Mr. Cohen's son's account Disclosed balance after: 5,000 F2 · balance_after: These shares of Common Stock are held by account for the benefit of Mr. Cohen's son. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein. This account continues to own 5,000 shares. Read SEC document |
| June 26, 2012 Filed Dec 13, 2018 10:48 UTC Amendment | ClearBridge MLP & Midstream Total Return Fund Inc. CTR · Entity 87635 | GrantCommon Stock | 10,000 | $20.00 | $200,000.00 |
DisclosureSEC source: 0000914851-18-000266 · wf-form4a_154471609607916.xml · nonDerivative · entry 1 COHEN HARRY D · CIK 0001279778 · Man Dir & Co CIO Subadviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · balance_after: Form 4 filed on 12/9/15 to report sale of 10,000 shares. Therefore, Mr. Cohen no longer directly owns shares. 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.