Corebridge Financial, Inc.

SEC source: 0001104659-26-106913 · tm2623454-1_4seq1.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 0

F1 · kind: The Series D Mandatory Redeemable Preferred Shares were redeemed by the issuer at a price equal to the liquidation value of $25 per share plus accrued interest through the redemption date.

F2 · ownership.nature: Prior to redemption, the reported securities were directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG").

SEC source: 0001104659-26-086856 · tm2621018-2_4seq1.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: The outstanding shares of Series J Mandatory Redeemable Preferred Stock were redeemed by the issuer at maturity at a price equal to the liquidation value of $35.00 of the redeemed securities plus accrued interest of approximately $0.23 per share.

F2 · ownership.nature: Directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG").

SEC source: 0001104659-26-086489 · tm2621018-1_4seq1.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: The 3.00% Series B Senior Secured Notes were redeemed by the issuer for full payment at maturity of 100% of the aggregate principal amount outstanding of the securities, plus accrued and unpaid interest through the redemption date.

F2 · ownership.nature: American General Life Insurance Company ("AGLIC") and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly held $15,000,000.00 principal amount and $18,000,000.00 principal amount of the reported securities, respectively.

SEC source: 0001104659-25-100406 · tm2528723-1_4seq1.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: The 4.66% Series H Senior Secured Notes were redeemed by the issuer for full payment at maturity of 100% of the aggregate principal amount outstanding of the securities, plus accrued and unpaid interest through the redemption date.

F2 · ownership.nature: American General Life Insurance Company ("AGLIC"), The United States Life Insurance Company in the City of New York ("USL") and The Variable Annuity Life Insurance Company ("VAL"), each an indirect wholly-owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly held $727,994.46 principal amount, $549,430.31 principal amount and $2,472,434.13 principal amount of the reported securities, respectively.

F3 · ownership.nature: Corebridge Institutional Investments (U.S.), LLC, an indirect wholly owned subsidiary of CRBG, may have been deemed to have beneficial ownership of $1,744,439.63 principal amount of the reported securities held by a controlled subsidiary of American International Group, Inc. ("AIG") pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG was the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-25-086302 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F3 · kind: The 3.46% Series M Senior Secured Notes were redeemed by the issuer for full payment at maturity of 100% of the aggregate principal amount outstanding of the securities, plus accrued and unpaid interest through the redemption date.

F4 · ownership.nature: AGLIC and The Variable Annuity Life Insurance Company ("VAL"), an indirect wholly owned subsidiary of CRBG, directly held $373,073.46 principal amount and $186,536.74 principal amount of the reported securities, respectively.

SEC source: 0000950170-25-086302 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: The Series O Mandatory Redeemable Preferred Stock were redeemed by the issuer at a price equal to the liquidation value of $35 per share plus accrued interest through the redemption date.

F2 · ownership.nature: American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in the City of New York ("USL"), each an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly held 2,858 shares and 82,858 shares of the reported securities, respectively. Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, may have been deemed to have beneficial ownership of 40,000 shares of the reported securities held by a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-25-048525 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 160,000

F1 · kind: Represents sales of reported securities by a controlled subsidiary of American International Group ("AIG"), which may have been deemed to be beneficially owned by Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), pursuant to an investment management agreement.

F2 · ownership.nature: Directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of CRBG.

SEC source: 0000950170-25-048525 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 134,286

F1 · kind: Represents sales of reported securities by a controlled subsidiary of American International Group ("AIG"), which may have been deemed to be beneficially owned by Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), pursuant to an investment management agreement.

F2 · ownership.nature: Directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of CRBG.

SEC source: 0000950170-25-043847 · ownership.xml · nonDerivative · entry 3

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 320,000

F2 · ownership.nature: Directly held by AGLIC.

SEC source: 0000950170-25-043847 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 880,000

F2 · ownership.nature: Directly held by AGLIC.

SEC source: 0000950170-25-043847 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiary

Disclosed balance after: 400,000

F1 · ownership.nature: Directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG").

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 7

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 200,001

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F8 · ownership.nature: In connection with the Merger, the Issuer cancelled and re-issued its MRPS that were issued and outstanding immediately prior to the Merger to align the voting rights of all of the Issuer's MRPS so that each MRPS holder will have one vote for every $35 of liquidation preference following the consummation of the Merger. As a result of the foregoing, AGLIC now directly holds 134,286 shares of the reported securities and CIIUS may be deemed to have beneficial ownership of 65,715 shares of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 6

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F8 · ownership.nature: In connection with the Merger, the Issuer cancelled and re-issued its MRPS that were issued and outstanding immediately prior to the Merger to align the voting rights of all of the Issuer's MRPS so that each MRPS holder will have one vote for every $35 of liquidation preference following the consummation of the Merger. As a result of the foregoing, AGLIC now directly holds 134,286 shares of the reported securities and CIIUS may be deemed to have beneficial ownership of 65,715 shares of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 5

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F7 · ownership.nature: AGLIC and USL directly hold $1,380,371.82 principal amount and $671,532.25 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 4

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F6 · ownership.nature: AGLIC directly holds $1,492,293.86 principal amount of the reported securities.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 3

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F5 · ownership.nature: AGLIC and The Variable Annuity Life Insurance Company ("VAL"), an indirect wholly owned subsidiary of CRBG, directly hold $373,073.46 principal amount and $186,536.74 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 234,286

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F4 · ownership.nature: AGLIC directly holds 160,000 shares of the reported securities. CIIUS may be been deemed to have beneficial ownership of 74,286 shares of the reported securities held by a controlled subsidiary of AIG, pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-105499 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

VARIABLE ANNUITY LIFE INSURANCE CO /TX/ · CIK 0000910586 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 125,716

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F3 · ownership.nature: American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in the City of New York ("USL"), each an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly hold 2,858 shares and 82,858 shares of the reported securities, respectively. Corebridge Institutional Investments, (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, may be deemed to have beneficial ownership of 40,000 shares of the reported securities held by a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-105500 · ownership.xml · nonDerivative · entry 5

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between ClearBridge Energy Midstream Opportunity Fund, Inc. ("EMO") and the Issuer, the Issuer merged with and into EMO (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) EMO issued and delivered to holders of the Issuer's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of EMO's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the Issuer's MRPS ceased to be outstanding and were automatically canceled and (2) EMO expressly assumed the obligations of the Issuer under, among other things, the Issuer's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of the Issuer's outstanding Notes, EMO issued replacement Notes with the same aggregate principal amount outstanding and terms as the Issuer's Notes. Any of the Issuer's Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F7 · ownership.nature: Prior to the Merger, AGLIC and USL directly held $1,380,371.82 principal amount and $671,532.25 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-105500 · ownership.xml · nonDerivative · entry 4

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between ClearBridge Energy Midstream Opportunity Fund, Inc. ("EMO") and the Issuer, the Issuer merged with and into EMO (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) EMO issued and delivered to holders of the Issuer's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of EMO's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the Issuer's MRPS ceased to be outstanding and were automatically canceled and (2) EMO expressly assumed the obligations of the Issuer under, among other things, the Issuer's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of the Issuer's outstanding Notes, EMO issued replacement Notes with the same aggregate principal amount outstanding and terms as the Issuer's Notes. Any of the Issuer's Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F6 · ownership.nature: Prior to the Merger, AGLIC directly held $1,492,293.86 principal amount of the reported securities.

SEC source: 0000950170-24-105500 · ownership.xml · nonDerivative · entry 3

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between ClearBridge Energy Midstream Opportunity Fund, Inc. ("EMO") and the Issuer, the Issuer merged with and into EMO (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) EMO issued and delivered to holders of the Issuer's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of EMO's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the Issuer's MRPS ceased to be outstanding and were automatically canceled and (2) EMO expressly assumed the obligations of the Issuer under, among other things, the Issuer's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of the Issuer's outstanding Notes, EMO issued replacement Notes with the same aggregate principal amount outstanding and terms as the Issuer's Notes. Any of the Issuer's Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F5 · ownership.nature: Prior to the Merger, AGLIC and The Variable Annuity Life Insurance Company, an indirect wholly owned subsidiary of CRBG, directly held $373,073.46 principal amount and $186,536.74 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-105500 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between ClearBridge Energy Midstream Opportunity Fund, Inc. ("EMO") and the Issuer, the Issuer merged with and into EMO (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) EMO issued and delivered to holders of the Issuer's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of EMO's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the Issuer's MRPS ceased to be outstanding and were automatically canceled and (2) EMO expressly assumed the obligations of the Issuer under, among other things, the Issuer's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of the Issuer's outstanding Notes, EMO issued replacement Notes with the same aggregate principal amount outstanding and terms as the Issuer's Notes. Any of the Issuer's Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F4 · ownership.nature: Prior to the Merger, AGLIC directly held 56 shares of the reported securities. CIIUS may have been deemed to have beneficial ownership of 26 shares of the reported securities held by a controlled subsidiary of AIG, pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG was the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-105500 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between ClearBridge Energy Midstream Opportunity Fund, Inc. ("EMO") and the Issuer, the Issuer merged with and into EMO (the "Merger").

F2 · kind: As a result of the Merger, among other things, (1) EMO issued and delivered to holders of the Issuer's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of EMO's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the Issuer's MRPS ceased to be outstanding and were automatically canceled and (2) EMO expressly assumed the obligations of the Issuer under, among other things, the Issuer's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of the Issuer's outstanding Notes, EMO issued replacement Notes with the same aggregate principal amount outstanding and terms as the Issuer's Notes. Any of the Issuer's Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled.

F3 · ownership.nature: Prior to the Merger, American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in the City of New York ("USL"), each an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly held 1 share and 29 shares of the reported securities, respectively. Corebridge Institutional Investments, (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, may have been deemed to have beneficial ownership of 14 shares of the reported securities held by a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG was the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein.

SEC source: 0000950170-24-088250 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On July 29, 2024, certain controlled subsidiaries of American International Group, Inc. ("AIG") agreed to sell a total of $14,000,000.00 principal amount of the reported securities for an aggregate purchase price of $13,185,666.67. Corebridge Institutional Investments (U.S.), LLC, an indirectly wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), may have been deemed to beneficially own the reported securities pursuant to investment management agreements. The reporting person disclaims beneficial ownership of the securities held by the controlled subsidiaries of AIG, and this report shall not be deemed an admission that the reporting person was the beneficial owner of such securities, except to the extent of the reporting person's pecuniary interest therein.

F2 · ownership.nature: American General Life Insurance Company and The Variable Annuity Life Insurance Company, each an indirect wholly owned subsidiary of CRBG, directly hold $15,000,000.00 principal amount and $18,000,000.00 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-086311 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: 0

F1 · kind: The Series I Mandatory Redeemable Preferred Stock (the "Series I MRPS") were redeemed by the issuer at a price equal to the liquidation value of $100,000 of the redeemed securities plus accrued interest of $825.44 per share (the "Series I Redemption").

F2 · ownership.nature: The United States Life Insurance Company in The City of New York ("USL"), an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly held 20 shares of the Issuer's Series I MRPS. Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, was deemed to have beneficial ownership of 10 shares of the Issuer's Series I MRPS held by a controlled subsidiary of American International Group ("AIG") pursuant to an investment management agreement. CRBG was an indirect beneficial owner of the Series I MRPS.

SEC source: 0000950170-24-084419 · ownership.xml · nonDerivative · entry 5

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries.

Disclosed balance after: 400,000

F13 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase 49,040 shares of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F14 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $1,229,611.59.

F15 · ownership.nature: AGLIC directly holds 400,000 shares of the reported securities.

SEC source: 0000950170-24-084419 · ownership.xml · nonDerivative · entry 4

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries.

Disclosed balance after: 400,000

F10 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase 49,040 shares of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F11 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $1,229,586.05.

F12 · ownership.nature: AGLIC directly holds 400,000 shares of the reported securities.

SEC source: 0000950170-24-084419 · ownership.xml · nonDerivative · entry 3

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries.

Disclosed balance after: 720,000

F7 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase 88,272 shares of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F8 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $2,199,664.68.

F9 · ownership.nature: AGLIC and The Variable Annuity Life Insurance Company, an indirect wholly owned subsidiary of CRBG, directly hold 404,136 shares and 315,864 shares of the reported securities, respectively.

SEC source: 0000950170-24-084419 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries.

Disclosed balance after: 320,000

F4 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase 39,240 shres of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F5 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $894,672.00.

F6 · ownership.nature: AGLIC directly holds 320,000 shares of the reported securities.

SEC source: 0000950170-24-084419 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

AMERICAN GENERAL LIFE INSURANCE CO · CIK 0000005108 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries.

Disclosed balance after: 960,000

F1 · kind: On July 15, 2024, American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of CRBG, entered into an agreement with a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to which AGLIC agreed to purchase 117,680 shares of the reported securities. Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, continues to manage such securities pursuant to an investment management agreement.

F2 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $2,756,555.93.

F3 · ownership.nature: AGLIC directly holds 960,000 shares of the reported securities.

SEC source: 0000950170-24-084421 · ownership.xml · nonDerivative · entry 5

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F13 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase $6,000,000.00 principal amount of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F14 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $6,194,775.00.

F15 · ownership.nature: AGLIC directly holds $6,000,000.00 principal amount of the reported securities.

SEC source: 0000950170-24-084421 · ownership.xml · nonDerivative · entry 4

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F10 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase $7,356,000.00 principal amount of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F11 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $7,558,187.83.

F12 · ownership.nature: AGLIC directly holds $60,000,000.00 principal amount of the reported securities.

SEC source: 0000950170-24-084421 · ownership.xml · nonDerivative · entry 3

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F7 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase $5,210,500.00 principal amount of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F8 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $5,228,936.49.

F9 · ownership.nature: AGLIC and The Variable Annuity Life Insurance Company ("VALIC"), an indirect wholly owned subsidiary of CRBG, directly hold $32,500,000.00 principal amount and $10,000,000.00 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-084421 · ownership.xml · nonDerivative · entry 2

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F4 · kind: On July 15, 2024, AGLIC entered into an agreement with a controlled subsidiary of AIG pursuant to which AGLIC agreed to purchase $4,168,400.00 principal amount of the reported securities. CIIUS continues to manage such securities pursuant to an investment management agreement.

F5 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $4,190,469.36.

F6 · ownership.nature: AGLIC and The United States Life Insurance Company in the City of New York ("USL"), an indirect wholly owned subsidiary of CRBG, directly hold $4,168,400.00 principal amount and $29,831,600.00 principal amount of the reported securities, respectively.

SEC source: 0000950170-24-084421 · ownership.xml · nonDerivative · entry 1

Corebridge Financial, Inc. · CIK 0001889539 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through subsidiaries

Disclosed balance after: Not disclosed

F1 · kind: On July 15, 2024, American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of CRBG, entered into an agreement with a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to which AGLIC agreed to purchase $1,532,500.00 principal amount of the reported securities. Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, continues to manage such securities pursuant to an investment management agreement.

F2 · price: The reporting person acquired the reported securities in exchange for a combination of other securities and cash having an estimated value of $1,550,886.59.

F3 · ownership.nature: AGLIC directly holds $12,500,000.00 principal amount of the reported securities.