Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CLEARBRIDGE AMERICAN ENERGY MLP FUND INC.CBA · Entity 162319 | Portfolio Manager of the Fund | December 27, 2016 | December 28, 2016 |
| ClearBridge Energy Midstream Opportunity Fund Inc.EMO · Entity 8990 | Portfolio Manager of the Fund | December 26, 2018 | December 28, 2018 |
| ClearBridge MLP & Midstream Fund Inc.CEM · Entity 87611 | Portfolio Manager of the Fund | December 28, 2018 | January 02, 2019 |
| ClearBridge MLP & Midstream Total Return Fund Inc.CTR · Entity 87635 | Portfolio Manager of the Fund | December 28, 2018 | January 02, 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 AMERICAN ENERGY MLP FUND INC.
Report date December 27, 2016 · Filed December 28, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,188.408 |
Reported balance
After 2016-12-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-12-27 · Sale · Disposed 1,131 · Balance 5,188.408 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
ClearBridge Energy Midstream Opportunity Fund Inc.
Report date December 26, 2018 · Filed December 28, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,021.538 |
Reported balance
After 2018-12-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-26 · Sale · Disposed 34,854 · Balance 2,021.538 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. F2: Includes shares acquired from mergers. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
F2: Includes shares acquired from mergers.
ClearBridge MLP & Midstream Fund Inc.
Report date December 28, 2018 · Filed January 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-12-28 transaction · row 1
1 source rowRow 1 · 2018-12-28 · Sale · Disposed 31,420.758 · Balance 0 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
ClearBridge MLP & Midstream Total Return Fund Inc.
Report date December 28, 2018 · Filed January 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 410.81 |
Reported balance
After 2018-12-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-28 · Sale · Disposed 14,955 · Balance 410.81 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
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 28, 2018 Filed Jan 2, 2019 12:05 UTC | ClearBridge MLP & Midstream Total Return Fund Inc. CTR · Entity 87635 | SaleCommon Stock | 14,955 | $7.61 | $113,810.54 |
DisclosureSEC source: 0000914851-19-000004 · wf-form4_154644871507026.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410.81 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 28, 2018 Filed Jan 2, 2019 11:57 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 31,420.758 | $10.12 | $317,965.50 |
DisclosureSEC source: 0000914851-19-000002 · wf-form4_154644823735209.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 12:12 UTC | ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990 | SaleCommon Stock | 34,854 | $7.59 | $264,409.41 |
DisclosureSEC source: 0000914851-18-000273 · wf-form4_154601711497638.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,021.538 F1 · shares: Includes shares acquired through the Fund's Dividend Reinvestment Plan. F2 · shares: Includes shares acquired from mergers. F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. F2 · balance_after: Includes shares acquired from mergers. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 12:04 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 26,611 | $9.83 | $261,644.67 |
DisclosureSEC source: 0000914851-18-000271 · wf-form4_154601663603755.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,420.758 F1 · price: The price reported in column 4 is a weighted average. These shares were purchased in multiple transactions at prices ranging from $9.8245 to $9.9521 inclusive. Mr. Freeman undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 27, 2016 Filed Dec 28, 2016 11:58 UTC | CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CBA · Entity 162319 | SaleCommon Stock | 1,131 | $9.28 | $10,495.79 |
DisclosureSEC source: 0000914851-16-000795 · wf-form4_148294428636196.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,188.408 F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 16:34 UTC | ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611 | SaleCommon Stock | 6,601 | $15.06 | $99,378.06 |
DisclosureSEC source: 0000914851-16-000774 · wf-form4_148235602938864.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,877.193 F1 · price: The price reported in column 4 is a weighted average. These shares were purchased in multiple transactions at prices ranging from $15.0501 to $15.0560 inclusive. Mr. Freeman undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 16:28 UTC | ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990 | SaleCommon Stock | 3,155 | $12.85 | $40,538.60 |
DisclosureSEC source: 0000914851-16-000773 · wf-form4_148235567560866.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,087.863 F1 · price: The price reported in column 4 is a weighted average. These shares were purchased in multiple transactions at prices ranging from $12.8401 to $12.8496 inclusive. Mr. Freeman undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 16:22 UTC | ClearBridge MLP & Midstream Total Return Fund Inc. CTR · Entity 87635 | SaleCommon Stock | 844 | $12.44 | $10,497.25 |
DisclosureSEC source: 0000914851-16-000772 · wf-form4_148235530256807.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,634.661 F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 16:11 UTC | CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CBA · Entity 162319 | SaleCommon Stock | 45,000 | $8.85 | $398,128.50 |
DisclosureSEC source: 0000914851-16-000771 · wf-form4_148235469544506.xml · nonDerivative · entry 1 Freeman Richard A · CIK 0001494714 · Portfolio Manager of the Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,319.408 F1 · price: The price reported in column 4 is a weighted average. These shares were purchased in multiple transactions at prices ranging from $8.8400 to $8.8633 inclusive. Mr. Freeman undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. 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.