organization · Reporting owner

AMERICAN INTERNATIONAL GROUP, INC.

Disclosed activity across 14 companies

Tapewire entity: 3083
SEC CIK: 0000005272

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Blackstone Inc.BX · Entity 2861	10% owner	December 09, 2010	December 17, 2010
Kayne Anderson Energy Infrastructure Fund, Inc.KYN · Entity 4334	See Remarks	April 16, 2023	April 18, 2023
TIDEWATER INCTDW · Entity 2560	10% owner	December 22, 2017	December 22, 2017

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.

Blackstone Inc.

Report date December 09, 2010 · Filed December 17, 2010

Jointly reported with AIG BG Holdings LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Units representing limited partnership interestsSEC Table I · non-derivative	IndirectSee Footnote	45,737,235	Reported balance Holding disclosure · report date 2010-12-09 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 45,737,235 F1: Pursuant to an exchange agreement, holders of Blackstone Holdings partnership units (which term refers collectively to a partnership unit in each of Blackstone Holdings I L.P., Blackstone Holdings II L.P., Blackstone Holdings III L.P. and Blackstone Holdings IV L.P.), subject to the vesting and minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Blackstone Holdings partnerships, may from time-to-time (subject to the terms of the exchange agreement) exchange their Blackstone Holdings partnership units for The Blackstone Group L.P. common units on a one-for-one basis, subject to customary conversion rate adjustments for splits, unit distributions and reclassifications. F2: A Blackstone Holdings limited partner must exchange one partnership unit in each of the four Blackstone Holdings partnerships to effect an exchange for a common unit. On November 15, 2010, AIG BG Holdings LLC ("AIG Holdings") delivered notice to the Blackstone Holdings entities and The Blackstone Group L.P. to exchange 10,000,000 of its Blackstone Holdings partnership units for 10,000,000 common units which were delivered by the issuer to AIG Holdings on December 15, 2010. On December 9, 2010, AIG Holdings delivered a further notice to the Blackstone Holdings entities and The Blackstone Group L.P. to exchange its remaining 35,737,235 Blackstone Holdings partnership units for 35,737,235 common units of the issuer, which are expected to be delivered on February 9, 2011. F3: The reported shares are held directly by AIG Holdings which is a wholly owned subsidiary of American International Group, Inc. ("AIG"). AIG is an indirect beneficial owner of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an exchange agreement, holders of Blackstone Holdings partnership units (which term refers collectively to a partnership unit in each of Blackstone Holdings I L.P., Blackstone Holdings II L.P., Blackstone Holdings III L.P. and Blackstone Holdings IV L.P.), subject to the vesting and minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Blackstone Holdings partnerships, may from time-to-time (subject to the terms of the exchange agreement) exchange their Blackstone Holdings partnership units for The Blackstone Group L.P. common units on a one-for-one basis, subject to customary conversion rate adjustments for splits, unit distributions and reclassifications.

F2: A Blackstone Holdings limited partner must exchange one partnership unit in each of the four Blackstone Holdings partnerships to effect an exchange for a common unit. On November 15, 2010, AIG BG Holdings LLC ("AIG Holdings") delivered notice to the Blackstone Holdings entities and The Blackstone Group L.P. to exchange 10,000,000 of its Blackstone Holdings partnership units for 10,000,000 common units which were delivered by the issuer to AIG Holdings on December 15, 2010. On December 9, 2010, AIG Holdings delivered a further notice to the Blackstone Holdings entities and The Blackstone Group L.P. to exchange its remaining 35,737,235 Blackstone Holdings partnership units for 35,737,235 common units of the issuer, which are expected to be delivered on February 9, 2011.

F3: The reported shares are held directly by AIG Holdings which is a wholly owned subsidiary of American International Group, Inc. ("AIG"). AIG is an indirect beneficial owner of the reported securities.

Kayne Anderson Energy Infrastructure Fund, Inc.

Report date April 16, 2023 · Filed April 18, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
3.57% Series FF Senior Unsecured Notes due April 16, 2023SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2023-04-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-04-16 · Other · Disposed 1,393,274 · Balance Not disclosed F1: The reported disposition was pursuant to a full payment at maturity by the issuer of 100% of the face value of the securities, plus accrued and unpaid interest. F2: Prior to their maturity, American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), and The Variable Annuity Life Insurance Company ("VALIC"), a wholly owned subsidiary of AIG directly held $619,233.00 principal amount and $774,041.00 principal amount, respectively, of the Issuer's 3.57% Series FF Senior Unsecured Notes due April 16, 2023 (the "Series FF Notes"). AIG was an indirect beneficial owner of the Series FF Notes.

Filing footnotes · ownership attribution and instrument terms

F1: The reported disposition was pursuant to a full payment at maturity by the issuer of 100% of the face value of the securities, plus accrued and unpaid interest.

F2: Prior to their maturity, American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), and The Variable Annuity Life Insurance Company ("VALIC"), a wholly owned subsidiary of AIG directly held $619,233.00 principal amount and $774,041.00 principal amount, respectively, of the Issuer's 3.57% Series FF Senior Unsecured Notes due April 16, 2023 (the "Series FF Notes"). AIG was an indirect beneficial owner of the Series FF Notes.

TIDEWATER INC

Report date December 22, 2017 · Filed December 22, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Warrant (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2042-07-31	Direct	88,175	Reported balance After 2017-12-22 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2017-12-22 · Other · Acquired 88,175 · Balance 88,175 F1: Exempt acquisition under Section 16(b) of the Securities Exchange Act in connection with a debt previously contracted. F2: Each warrant represents the right to acquire one share of Common Stock at the exercise price, subject to adjustment in certain events.

Filing footnotes · ownership attribution and instrument terms

F1: Exempt acquisition under Section 16(b) of the Securities Exchange Act in connection with a debt previously contracted.

F2: Each warrant represents the right to acquire one share of Common Stock at the exercise price, subject to adjustment in certain events.

Past disclosures · reporting ended (11)

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

CLEARBRIDGE AMERICAN ENERGY MLP FUND INC.

Report date November 16, 2018 · Filed November 19, 2018

Jointly reported with Lexington Insurance Co, United States Life Insurance Co in the City of New York, AMERICAN GENERAL LIFE INSURANCE CO

Section 16 reporting ended · disclosed 2018-11-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Series A Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	Reported balance After 2018-11-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2018-11-16 · Other · Disposed 30 · Balance 0 F1: Disposed of pursuant to merger agreement between the issuer and ClearBridge Energy Midstream Opportunity Fund Inc. ("EMO") in exchange for an equivalent security of EMO at the effective time of the merger as described below. F2: Immediately prior to the effective time of the merger, Lexington Insurance Company ("Lexington") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held 10 shares and 20 shares, respectively, of the Series A Mandatory Redeemable Preferred Stock (the "Series A MRPS"). AIG is an indirect beneficial owner of the Series A MRPS. In connection with the merger, such Series A MRPS were converted into 10 shares and 20 shares, respectively, of the Series D Mandatory Redeemable Preferred Stock of EMO having identical terms.
Series B Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	Reported balance After 2018-11-16 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2018-11-16 · Other · Disposed 70 · Balance 0 F1: Disposed of pursuant to merger agreement between the issuer and ClearBridge Energy Midstream Opportunity Fund Inc. ("EMO") in exchange for an equivalent security of EMO at the effective time of the merger as described below. F3: Immediately prior to the effective time of the merger, American General Life Insurance Company ("AGLIC") and Lexington, each an indirect wholly owned subsidiary of AIG, directly held 47 shares and 23 shares, respectively, of the Series B Mandatory Redeemable Preferred Stock (the "Series B MRPS"). AIG is an indirect beneficial owner of the Series B MRPS. In connection with the merger, such Series B MRPS were converted into 47 shares and 23 shares, respectively, of the Series E Mandatory Redeemable Preferred Stock of EMO having identical terms.
4.51% Series C Senior Secured Notes due October 15, 2023SEC Table I · non-derivative	IndirectHeld through subsidiaries	Reported balance After 2018-11-16 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2018-11-16 · Other · Disposed 16,887,467.92 · Balance 0 F1: Disposed of pursuant to merger agreement between the issuer and ClearBridge Energy Midstream Opportunity Fund Inc. ("EMO") in exchange for an equivalent security of EMO at the effective time of the merger as described below. F4: The amount shown reflects a cash dollar value. F5: Immediately prior to the effective time of the merger, AGLIC and American Home Assurance Company ("AHAC"), each an indirect wholly owned subsidiary of AIG, directly held $11,525,696.92 principal amount and $5,361,771.00 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes. In connection with the merger, the obligations under such Series C Notes were assumed by EMO.
4.66% Series D Senior Secured Notes due October 15, 2025SEC Table I · non-derivative	IndirectHeld through subsidiaries	Reported balance After 2018-11-16 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2018-11-16 · Other · Disposed 22,643,477.92 · Balance 0 F1: Disposed of pursuant to merger agreement between the issuer and ClearBridge Energy Midstream Opportunity Fund Inc. ("EMO") in exchange for an equivalent security of EMO at the effective time of the merger as described below. F4: The amount shown reflects a cash dollar value. F6: Immediately prior to the effective time of the merger, AGLIC, AHAC, USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, directly held $3,000,260.87 principal amount, $7,189,304.00 principal amount, $2,264,347.83 principal amount and $10,189,565.22 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes. In connection with the merger, the obligations under such Series D Notes were assumed by EMO.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to merger agreement between the issuer and ClearBridge Energy Midstream Opportunity Fund Inc. ("EMO") in exchange for an equivalent security of EMO at the effective time of the merger as described below.

F2: Immediately prior to the effective time of the merger, Lexington Insurance Company ("Lexington") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held 10 shares and 20 shares, respectively, of the Series A Mandatory Redeemable Preferred Stock (the "Series A MRPS"). AIG is an indirect beneficial owner of the Series A MRPS. In connection with the merger, such Series A MRPS were converted into 10 shares and 20 shares, respectively, of the Series D Mandatory Redeemable Preferred Stock of EMO having identical terms.

F3: Immediately prior to the effective time of the merger, American General Life Insurance Company ("AGLIC") and Lexington, each an indirect wholly owned subsidiary of AIG, directly held 47 shares and 23 shares, respectively, of the Series B Mandatory Redeemable Preferred Stock (the "Series B MRPS"). AIG is an indirect beneficial owner of the Series B MRPS. In connection with the merger, such Series B MRPS were converted into 47 shares and 23 shares, respectively, of the Series E Mandatory Redeemable Preferred Stock of EMO having identical terms.

F4: The amount shown reflects a cash dollar value.

F5: Immediately prior to the effective time of the merger, AGLIC and American Home Assurance Company ("AHAC"), each an indirect wholly owned subsidiary of AIG, directly held $11,525,696.92 principal amount and $5,361,771.00 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes. In connection with the merger, the obligations under such Series C Notes were assumed by EMO.

F6: Immediately prior to the effective time of the merger, AGLIC, AHAC, USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, directly held $3,000,260.87 principal amount, $7,189,304.00 principal amount, $2,264,347.83 principal amount and $10,189,565.22 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes. In connection with the merger, the obligations under such Series D Notes were assumed by EMO.

Carlyle Tactical Private Credit Fund

Report date June 09, 2024 · Filed June 11, 2024

Section 16 reporting ended · disclosed 2024-06-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	117,680	Reported balance After 2024-06-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-06-09 · Other · Disposed 842,320 · Balance 117,680 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, directly holds 117,680 shares of the reported securities.
Series B Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	39,240	Reported balance After 2024-06-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-06-09 · Other · Disposed 280,760 · Balance 39,240 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3: AHAC directly holds 39,240 shares of the reported securities.
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	88,272	Reported balance After 2024-06-09 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-06-09 · Other · Disposed 631,728 · Balance 88,272 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds 88,272 shares of the reported securities.
Series D Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	49,040	Reported balance After 2024-06-09 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2024-06-09 · Other · Disposed 350,960 · Balance 49,040 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F5: AHAC directly holds 49,040 shares of the reported securities.
Series E Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	49,040	Reported balance After 2024-06-09 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2024-06-09 · Other · Disposed 350,960 · Balance 49,040 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F6: National Union directly holds 49,040 shares of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.

F2: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, directly holds 117,680 shares of the reported securities.

F3: AHAC directly holds 39,240 shares of the reported securities.

F4: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds 88,272 shares of the reported securities.

F5: AHAC directly holds 49,040 shares of the reported securities.

F6: National Union directly holds 49,040 shares of the reported securities.

ClearBridge Energy Midstream Opportunity Fund Inc.

Report date June 09, 2024 · Filed June 11, 2024

Section 16 reporting ended · disclosed 2024-06-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
4.66% Series H Senior Secured Notes due October 15, 2025SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-06-09 · Other · Disposed 3,749,858.9 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2: American Home Assurance Company, an indirect wholly owned subsidiary of AIG, directly holds $1,744,439.63 principal amount of the reported securities.
Series I Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	10	Reported balance After 2024-06-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-06-09 · Other · Disposed 20 · Balance 10 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 10 shares of the reported securities.
Series J Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	23	Reported balance After 2024-06-09 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-06-09 · Other · Disposed 47 · Balance 23 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4: Lexington directly holds 23 shares of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.

F2: American Home Assurance Company, an indirect wholly owned subsidiary of AIG, directly holds $1,744,439.63 principal amount of the reported securities.

F3: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 10 shares of the reported securities.

F4: Lexington directly holds 23 shares of the reported securities.

ClearBridge MLP & Midstream Fund Inc.

Report date June 09, 2024 · Filed June 11, 2024

Section 16 reporting ended · disclosed 2024-06-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
3.46% Senior Secured Notes Series I due June 11, 2025SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-06-09 · Other · Disposed 559,610.2 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
3.56% Senior Secured Notes Series J due June 11, 2027SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-06-09 · Other · Disposed 1,492,293.86 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
3.76% Senior Secured Notes Series K due June 11, 2030SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-06-09 · Other · Disposed 2,051,904.07 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
Series J Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	14	Reported balance After 2024-06-09 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2024-06-09 · Other · Disposed 30 · Balance 14 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 14 shares of the reported securities.
Series K Mandatory Redeemable Preferred StockSEC Table I · non-derivative	IndirectHeld through subsidiaries	26	Reported balance After 2024-06-09 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2024-06-09 · Other · Disposed 56 · Balance 26 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3: Lexington directly holds 26 shares of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F2: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 14 shares of the reported securities.

F3: Lexington directly holds 26 shares of the reported securities.

Cliffwater Corporate Lending Fund

Report date June 09, 2024 · Filed June 11, 2024

Section 16 reporting ended · disclosed 2024-06-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
5.44% Series B Senior Secured Notes due July 19, 2025SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-06-09 · Other · Disposed 10,967,500 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds $1,532,500.00 principal amount of the reported securities.
5.50% Series C Senior Secured Notes due July 19, 2026SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-06-09 · Other · Disposed 29,831,600 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3: National Union directly holds $4,168,400.00 principal amount of the reported securities.
4.10% Series A Senior Secured Notes due March 28, 2027SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-06-09 · Other · Disposed 25,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
5.61% Series E Senior Secured Notes due July 19, 2027SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2024-06-09 · Other · Disposed 37,289,500 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4: National Union directly holds $5,210,500.00 principal amount of the reported securities.
7.10% Series I Senior Secured Notes due December 6, 2027SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2024-06-09 · Other · Disposed 52,644,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F5: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds $7,356,000.00 principal amount of the reported securities.
6.77% Series L Senior Secured Notes due August 4, 2028SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2024-06-09 · Other · Disposed 12,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F6: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, Commerce and Industry Insurance Company ("Commerce"), an indirect wholly owned subsidiary of AIG, Lexington and National Union directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount and $3,700,000.00 principal amount of the reported securities, respectively.
5.72% Series F Senior Secured Notes due July 19, 2029SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2024-06-09 · Other · Disposed 33,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
5.72% Series G Senior Secured Notes due July 19, 2029SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2024-06-09 · Other · Disposed 28,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
7.17% Series J Senior Secured Notes due December 6, 2029SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2024-06-09 · Other · Disposed 40,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
6.81% Series M Senior Secured Notes due August 4, 2030SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 10 · 2024-06-09 · Other · Disposed 12,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F7: AHAC, Commerce, Lexington, National Union and American International Group UK Limited, an indirect wholly owned subsidiary of AIG, directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount, $3,700,000.00 principal amount and $5,000,000.00 principal amount of the reported securities, respectively.
7.23% Series Q Senior Secured Notes due January 20, 2031SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 11 · 2024-06-09 · Other · Disposed 39,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
7.40% Series R Senior Secured Notes due January 20, 2034SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 12 · 2024-06-09 · Other · Disposed 50,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
6.75% Series K Senior Secured Notes due August 4, 2026SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance Holding disclosure · report date 2024-06-09 · row 13 Holding and transaction disclosures are not merged. 1 source row Row 13 · Balance Not disclosed F8: AHAC directly holds $6,000,000.00 principal amount of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F2: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds $1,532,500.00 principal amount of the reported securities.

F3: National Union directly holds $4,168,400.00 principal amount of the reported securities.

F4: National Union directly holds $5,210,500.00 principal amount of the reported securities.

F5: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds $7,356,000.00 principal amount of the reported securities.

F6: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, Commerce and Industry Insurance Company ("Commerce"), an indirect wholly owned subsidiary of AIG, Lexington and National Union directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount and $3,700,000.00 principal amount of the reported securities, respectively.

F7: AHAC, Commerce, Lexington, National Union and American International Group UK Limited, an indirect wholly owned subsidiary of AIG, directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount, $3,700,000.00 principal amount and $5,000,000.00 principal amount of the reported securities, respectively.

F8: AHAC directly holds $6,000,000.00 principal amount of the reported securities.

Corebridge Financial, Inc.

Report date February 12, 2026 · Filed February 13, 2026

Section 16 reporting ended · disclosed 2026-02-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	25,457,020	Reported balance After 2026-02-12 transaction · row 1 1 source row Row 1 · 2026-02-12 · Sale · Disposed 24,654,833 · Balance 25,457,020

DNP SELECT INCOME FUND INC

Report date June 09, 2024 · Filed June 11, 2024

Section 16 reporting ended · disclosed 2024-06-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
3.00% Series B Senior Secured Notes due July 22, 2026SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2024-06-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-06-09 · Other · Disposed 33,000,000 · Balance Not disclosed F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2: American Home Assurance Company, Lexington Insurance Company and National Union Fire Insurance Company of Pittsburgh, PA, each an indirect wholly owned subsidiary of AIG, directly hold $4,660,000.00 principal amount, $4,670,000.00 principal amount and $4,670,000.00 principal amount of the reported securities, respectively.
Series E Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	0	Reported balance After 2024-06-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-06-09 · Other · Disposed 660 · Balance 0 F1: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.

Filing footnotes · ownership attribution and instrument terms

F2: American Home Assurance Company, Lexington Insurance Company and National Union Fire Insurance Company of Pittsburgh, PA, each an indirect wholly owned subsidiary of AIG, directly hold $4,660,000.00 principal amount, $4,670,000.00 principal amount and $4,670,000.00 principal amount of the reported securities, respectively.

FRACTYL HEALTH, INC.

Report date February 06, 2024 · Filed February 08, 2024

Section 16 reporting ended · disclosed 2024-02-08. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectHeld by Corebridge DECO II, LLC	673,391	Reported balance After 2024-02-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2024-02-06 · Conversion · Acquired 673,391 · Balance 673,391 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectHeld by American Home Assurance Company	283,878	Reported balance After 2024-02-06 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-02-06 · Conversion · Acquired 283,878 · Balance 283,878 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectHeld by Lexington Insurance Company	182,735	Reported balance After 2024-02-06 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-02-06 · Conversion · Acquired 182,735 · Balance 182,735 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectHeld by National Union Fire Insurance Company of Pittsburgh, Pa.	199,257	Reported balance After 2024-02-06 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2024-02-06 · Conversion · Acquired 199,257 · Balance 199,257 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.
Series E Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by Corebridge DECO II, LLC	0	Reported balance After 2024-02-06 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-02-06 · Conversion · Disposed 1,172,236 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.
Series E Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by American Home Assurance Company	0	Reported balance After 2024-02-06 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-02-06 · Conversion · Disposed 494,173 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Series E Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by Lexington Insurance Company	0	Reported balance After 2024-02-06 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-02-06 · Conversion · Disposed 318,105 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Series E Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by National Union Fire Insurance Company of Pittsburgh, Pa.	0	Reported balance After 2024-02-06 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-02-06 · Conversion · Disposed 346,868 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.
Series F Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by Corebridge DECO II, LLC	0	Reported balance After 2024-02-06 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2024-02-06 · Conversion · Disposed 272,863 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.
Series F Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by American Home Assurance Company	0	Reported balance After 2024-02-06 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2024-02-06 · Conversion · Disposed 115,030 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Series F Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by Lexington Insurance Company	0	Reported balance After 2024-02-06 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2024-02-06 · Conversion · Disposed 74,046 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.
Series F Preferred SharesSEC Table II · derivative / convertible security	IndirectHeld by National Union Fire Insurance Company of Pittsburgh, Pa.	0	Reported balance After 2024-02-06 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2024-02-06 · Conversion · Disposed 80,741 · Balance 0 F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.

Filing footnotes · ownership attribution and instrument terms

F1: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

F3: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

F4: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

F5: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.

Kayne Anderson NextGen Energy & Infrastructure, Inc.

Report date October 28, 2020 · Filed October 30, 2020

Jointly reported with AMERICAN HOME ASSURANCE CO, AMERICAN GENERAL LIFE INSURANCE CO

Section 16 reporting ended · disclosed 2020-10-30. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series C Mandatory Redeemable Preferred SharesSEC Table I · non-derivative	IndirectHeld through subsidiaries	0	Reported balance After 2020-10-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-10-28 · Other · Disposed 498,301 · Balance 0 F1: The Series C Mandatory Redeemable Preferred Shares (the "Series C MRPS") were redeemed by the issuer at a price equal to the principal amount of $25.00 of the redeemed securities, plus accrued interest of $0.22 per share. F2: American Home Assurance Company and American General Life Insurance Company, each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held 166,931 shares and 331,370 shares, respectively, of the Series C MRPS. AIG is an indirect beneficial owner of the Series C MRPS.

Filing footnotes · ownership attribution and instrument terms

F1: The Series C Mandatory Redeemable Preferred Shares (the "Series C MRPS") were redeemed by the issuer at a price equal to the principal amount of $25.00 of the redeemed securities, plus accrued interest of $0.22 per share.

F2: American Home Assurance Company and American General Life Insurance Company, each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly held 166,931 shares and 331,370 shares, respectively, of the Series C MRPS. AIG is an indirect beneficial owner of the Series C MRPS.

SQZ Biotechnologies Co

Report date November 03, 2020 · Filed November 04, 2020 · Amendment

Section 16 reporting ended · disclosed 2020-11-04. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectThrough AIG DECO Fund I, LP	1,511,139	Reported balance After 2020-11-03 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2020-11-03 · Conversion · Acquired 1,511,139 · Balance 1,511,139 F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F2: The stock is held directly by AIG DECO Fund I, LP is a wholly owned, indirect subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectThrough AIG DECO Fund I, LP	625,000	Reported balance After 2020-11-03 transaction · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · 2020-11-03 · Purchase · Acquired 625,000 · Balance 625,000 F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F2: The stock is held directly by AIG DECO Fund I, LP is a wholly owned, indirect subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectThrough LS Polaris Innovation Fund LP	38,895	Reported balance After 2020-11-03 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2020-11-03 · Conversion · Acquired 38,895 · Balance 38,895 F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F3: The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.
Common StockSEC Table I · non-derivative	IndirectThrough LS Polaris Innovation Fund LP	70,344	Reported balance After 2020-11-03 transaction · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · 2020-11-03 · Conversion · Acquired 70,344 · Balance 70,344 F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F3: The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectThrough AIG DECO Fund I, LP	0	Reported balance After 2020-11-03 transaction · row 5 Amendment: may correct only part of an earlier disclosure. 1 source row Row 5 · 2020-11-03 · Conversion · Disposed 1,435,079 · Balance 0 F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F2: The stock is held directly by AIG DECO Fund I, LP is a wholly owned, indirect subsidiary of American International Group, Inc.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectThrough LS Polaris Innovation Fund LP	0	Reported balance After 2020-11-03 transaction · row 6 Amendment: may correct only part of an earlier disclosure. 1 source row Row 6 · 2020-11-03 · Conversion · Disposed 36,937 · Balance 0 F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F3: The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectThrough LS Polaris Innovation Fund LP	0	Reported balance After 2020-11-03 transaction · row 7 Amendment: may correct only part of an earlier disclosure. 1 source row Row 7 · 2020-11-03 · Conversion · Disposed 66,803 · Balance 0 F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock. F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020. F3: The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.

Filing footnotes · ownership attribution and instrument terms

F1: There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock.

F2: The stock is held directly by AIG DECO Fund I, LP is a wholly owned, indirect subsidiary of American International Group, Inc.

F3: The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.

F4: The Transaction Date was amended from 10/30/2020 to 11/3/2020.

TORTOISE ENERGY INFRASTRUCTURE CORP

Report date November 19, 2008 · Filed April 28, 2017

Jointly reported with AMERICAN GENERAL LIFE INSURANCE CO

Section 16 reporting ended · disclosed 2017-04-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
6.11% Senior Notes, Series E, due April 10, 2015SEC Table I · non-derivative	IndirectHeld through subsidiaries	Not disclosed	Reported balance After 2008-11-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2008-11-19 · Other · Disposed 12,600,000 · Balance Not disclosed F1: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities. F2: After giving effect to the redemption on November 19, 2008, American International Group, Inc. ("AIG") and AIG Annuity Insurance Company, a former indirect wholly owned subsidiary of AIG (which merged into American General Life Insurance Company, an indirect wholly owned subsidiary of AIG, on December 31, 2012), held $6,300,000.00 principal amount and $15,100,000.00 principal amount, respectively, of the 6.11% Senior Notes, Series E, due April 10, 2015 (the "Series E Notes"). On April 29, 2010, AIG transferred $6,300,000.00 principal amount of the Series E Notes to The Variable Annuity Life Insurance Company, an indirect wholly owned subsidiary of AIG. AIG is an indirect beneficial owner of the portion of the Series E Notes.

Filing footnotes · ownership attribution and instrument terms

F1: The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities.

F2: After giving effect to the redemption on November 19, 2008, American International Group, Inc. ("AIG") and AIG Annuity Insurance Company, a former indirect wholly owned subsidiary of AIG (which merged into American General Life Insurance Company, an indirect wholly owned subsidiary of AIG, on December 31, 2012), held $6,300,000.00 principal amount and $15,100,000.00 principal amount, respectively, of the 6.11% Senior Notes, Series E, due April 10, 2015 (the "Series E Notes"). On April 29, 2010, AIG transferred $6,300,000.00 principal amount of the Series E Notes to The Variable Annuity Life Insurance Company, an indirect wholly owned subsidiary of AIG. AIG is an indirect beneficial owner of the portion of the Series E Notes.

Transaction history

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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
February 12, 2026 Filed Feb 13, 2026 01:06 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	24,654,833	$30.42	$750,000,019.86	Disclosure SEC source: 0000005272-26-000029 · wk-form4_1770944803.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,457,020 Read SEC document
November 04, 2025 Filed Nov 5, 2025 21:51 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	32,600,000	$31.10	$1,013,860,000.00	Disclosure SEC source: 0000005272-25-000161 · wk-form4_1762379504.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,111,853 Read SEC document
September 05, 2025 Filed Sep 8, 2025 20:28 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	1,184,160	$33.65	$39,846,984.00	Disclosure SEC source: 0000005272-25-000137 · wk-form4_1757363278.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82,711,853 Read SEC document
August 06, 2025 Filed Aug 7, 2025 20:19 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	30,000,000	$33.65	$1,009,500,000.00	Disclosure SEC source: 0000005272-25-000087 · wk-form4_1754597943.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 83,896,013 Read SEC document
May 13, 2025 Filed May 14, 2025 20:17 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	13,386,629	$32.15	$430,380,122.35	Disclosure SEC source: 0001225208-25-005092 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 113,896,013 Read SEC document
December 09, 2024 Filed Dec 10, 2024 21:55 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	121,956,256	$31.47	$3,838,012,158.82	Disclosure SEC source: 0001225208-24-010668 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,282,642 Read SEC document
November 07, 2024 Filed Nov 12, 2024 21:33 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	30,000,000	$31.20	$936,000,000.00	Disclosure SEC source: 0001225208-24-009875 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 249,238,898 Read SEC document
September 16, 2024 Filed Sep 18, 2024 21:06 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	5,000,000	$28.86	$144,300,000.00	Disclosure SEC source: 0001225208-24-008753 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 279,238,898 Read SEC document
August 07, 2024 Filed Aug 7, 2024 20:32 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	8,032,129	$24.90	$200,000,012.10	Disclosure SEC source: 0001225208-24-007894 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 284,238,898 F1 · shares: Reflects the repurchase by Corebridge Financial, Inc. of 8,032,129 shares of its common stock from American International Group, Inc. Read SEC document
July 02, 2024 Filed Jul 2, 2024 20:32 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	1,932,609	$29.20	$56,432,182.80	Disclosure SEC source: 0001225208-24-007221 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 292,271,027 Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:49 UTC	Carlyle Tactical Private Credit Fund TAKNX · Entity 35835	OtherSeries E Mandatory Redeemable Preferred Shares	350,960	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072003 · ownership.xml · nonDerivative · entry 5 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 49,040 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F6 · ownership.nature: National Union directly holds 49,040 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:49 UTC	Carlyle Tactical Private Credit Fund TAKNX · Entity 35835	OtherSeries D Mandatory Redeemable Preferred Shares	350,960	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072003 · ownership.xml · nonDerivative · entry 4 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 49,040 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F5 · ownership.nature: AHAC directly holds 49,040 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:49 UTC	Carlyle Tactical Private Credit Fund TAKNX · Entity 35835	OtherSeries C Mandatory Redeemable Preferred Shares	631,728	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072003 · ownership.xml · nonDerivative · entry 3 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 88,272 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds 88,272 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:49 UTC	Carlyle Tactical Private Credit Fund TAKNX · Entity 35835	OtherSeries B Mandatory Redeemable Preferred Shares	280,760	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072003 · ownership.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 39,240 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3 · ownership.nature: AHAC directly holds 39,240 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:49 UTC	Carlyle Tactical Private Credit Fund TAKNX · Entity 35835	OtherSeries A Mandatory Redeemable Preferred Shares	842,320	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072003 · ownership.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 117,680 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2 · ownership.nature: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, directly holds 117,680 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:48 UTC	ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611	OtherSeries K Mandatory Redeemable Preferred Stock	56	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072000 · ownership.xml · nonDerivative · entry 5 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 26 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3 · ownership.nature: Lexington directly holds 26 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:48 UTC	ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611	OtherSeries J Mandatory Redeemable Preferred Stock	30	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072000 · ownership.xml · nonDerivative · entry 4 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 14 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2 · ownership.nature: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 14 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:48 UTC	ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611	Other3.76% Senior Secured Notes Series K due June 11, 2030	2,051,904.07	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072000 · ownership.xml · nonDerivative · entry 3 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:48 UTC	ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611	Other3.56% Senior Secured Notes Series J due June 11, 2027	1,492,293.86	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072000 · ownership.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:48 UTC	ClearBridge MLP & Midstream Fund Inc. CEM · Entity 87611	Other3.46% Senior Secured Notes Series I due June 11, 2025	559,610.2	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072000 · ownership.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:47 UTC	ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990	OtherSeries J Mandatory Redeemable Preferred Stock	47	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071995 · ownership.xml · nonDerivative · entry 3 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 23 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4 · ownership.nature: Lexington directly holds 23 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:47 UTC	ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990	OtherSeries I Mandatory Redeemable Preferred Stock	20	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071995 · ownership.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 10 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3 · ownership.nature: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds 10 shares of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:47 UTC	ClearBridge Energy Midstream Opportunity Fund Inc. EMO · Entity 8990	Other4.66% Series H Senior Secured Notes due October 15, 2025	3,749,858.9	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071995 · ownership.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result of and following such event, AIG and CRBG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2 · ownership.nature: American Home Assurance Company, an indirect wholly owned subsidiary of AIG, directly holds $1,744,439.63 principal amount of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other7.40% Series R Senior Secured Notes due January 20, 2034	50,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 12 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other7.23% Series Q Senior Secured Notes due January 20, 2031	39,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 11 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other6.81% Series M Senior Secured Notes due August 4, 2030	12,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 10 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F7 · ownership.nature: AHAC, Commerce, Lexington, National Union and American International Group UK Limited, an indirect wholly owned subsidiary of AIG, directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount, $3,700,000.00 principal amount and $5,000,000.00 principal amount of the reported securities, respectively. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other7.17% Series J Senior Secured Notes due December 6, 2029	40,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 9 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other5.72% Series G Senior Secured Notes due July 19, 2029	28,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 8 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other5.72% Series F Senior Secured Notes due July 19, 2029	33,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 7 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other6.77% Series L Senior Secured Notes due August 4, 2028	12,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 6 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F6 · ownership.nature: American Home Assurance Company ("AHAC"), an indirect wholly owned subsidiary of AIG, Commerce and Industry Insurance Company ("Commerce"), an indirect wholly owned subsidiary of AIG, Lexington and National Union directly hold $4,600,000.00 principal amount, $500,000.00 principal amount, $3,700,000.00 principal amount and $3,700,000.00 principal amount of the reported securities, respectively. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other7.10% Series I Senior Secured Notes due December 6, 2027	52,644,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 5 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F5 · ownership.nature: Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, directly holds $7,356,000.00 principal amount of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other5.61% Series E Senior Secured Notes due July 19, 2027	37,289,500	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 4 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F4 · ownership.nature: National Union directly holds $5,210,500.00 principal amount of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other4.10% Series A Senior Secured Notes due March 28, 2027	25,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 3 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other5.50% Series C Senior Secured Notes due July 19, 2026	29,831,600	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F3 · ownership.nature: National Union directly holds $4,168,400.00 principal amount of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:46 UTC	Cliffwater Corporate Lending Fund CCLFX · Entity 10280	Other5.44% Series B Senior Secured Notes due July 19, 2025	10,967,500	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071990 · ownership.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, PA ("National Union"), an indirect wholly owned subsidiary of AIG, directly holds $1,532,500.00 principal amount of the reported securities. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:45 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	OtherSeries E Mandatory Redeemable Preferred Shares	660	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071987 · ownership.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: 0 F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. Read SEC document
June 09, 2024 Filed Jun 11, 2024 20:45 UTC	DNP SELECT INCOME FUND INC DNP · Entity 4041	Other3.00% Series B Senior Secured Notes due July 22, 2026	33,000,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-071987 · ownership.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · Held through subsidiaries Disclosed balance after: Not disclosed F1 · kind: As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries. F2 · ownership.nature: American Home Assurance Company, Lexington Insurance Company and National Union Fire Insurance Company of Pittsburgh, PA, each an indirect wholly owned subsidiary of AIG, directly hold $4,660,000.00 principal amount, $4,670,000.00 principal amount and $4,670,000.00 principal amount of the reported securities, respectively. Read SEC document
June 03, 2024 Filed Jun 3, 2024 20:34 UTC	Corebridge Financial, Inc. CRBG · Entity 3379	SaleCommon Stock	30,000,000	$29.20	$876,000,000.00	Disclosure SEC source: 0001225208-24-006509 · doc4.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 294,203,636 Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries F Preferred Shares · Derivative	80,741	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 12 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa. Disclosed balance after: 0 Underlying: Common Stock · 37,623 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries F Preferred Shares · Derivative	74,046	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 11 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Lexington Insurance Company Disclosed balance after: 0 Underlying: Common Stock · 34,504 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries F Preferred Shares · Derivative	115,030	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 10 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by American Home Assurance Company Disclosed balance after: 0 Underlying: Common Stock · 53,602 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries F Preferred Shares · Derivative	272,863	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 9 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Corebridge DECO II, LLC Disclosed balance after: 0 Underlying: Common Stock · 127,149 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries E Preferred Shares · Derivative	346,868	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 8 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa. Disclosed balance after: 0 Underlying: Common Stock · 161,634 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries E Preferred Shares · Derivative	318,105	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 7 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Lexington Insurance Company Disclosed balance after: 0 Underlying: Common Stock · 148,231 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries E Preferred Shares · Derivative	494,173	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 6 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by American Home Assurance Company Disclosed balance after: 0 Underlying: Common Stock · 230,276 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionSeries E Preferred Shares · Derivative	1,172,236	$0.00	$0.00	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 5 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Corebridge DECO II, LLC Disclosed balance after: 0 Underlying: Common Stock · 546,242 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionCommon Stock	199,257	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 4 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa. Disclosed balance after: 199,257 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionCommon Stock	182,735	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 3 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Lexington Insurance Company Disclosed balance after: 182,735 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionCommon Stock	283,878	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 2 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by American Home Assurance Company Disclosed balance after: 283,878 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC	FRACTYL HEALTH, INC. GUTS · Entity 6700	ConversionCommon Stock	673,391	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 1 AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Corebridge DECO II, LLC Disclosed balance after: 673,391 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. 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.