Corebridge Financial, Inc. sold $2,254,682 worth of Series J Mandatory Redeemable Preferred Stock (65,715 units at $34.31) and sold $2,502,695 worth of Series P Mandatory Redeemable Preferred Stock (74,286 units at $33.69) (SEC Form 4)
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| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ClearBridge Energy Midstream Opportunity Fund Inc. [ EMO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/28/2025 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Series J Mandatory Redeemable Preferred Stock | 03/28/2025 | S(1) | 65,715 | D | $34.31 | 134,286 | I | Held through subsidiary(2) | ||
| Series P Mandatory Redeemable Preferred Stock | 03/28/2025 | S(1) | 74,286 | D | $33.69 | 160,000 | I | Held through subsidiary(2) | ||
| Series O Mandatory Redeemable Preferred Stock | 125,716 | I | Held through subsidiaries(3) | |||||||
| 3.46% Series M Senior Secured Notes due June 11, 2025 | $559,610.2 | I | Held through subsidiaries(4) | |||||||
| 4.66% Series H Senior Secured Notes due October 15, 2025 | $5,494,298.53 | I | Held through subsidiaries(5) | |||||||
| 3.56% Series N Senior Secured Notes due June 11, 2027 | $1,492,293.86 | I | Held through subsidiary(2) | |||||||
| 3.76% Series O Senior Secured Notes due June 11, 2030 | $2,051,904.07 | I | Held through subsidiaries(6) | |||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. 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. |
| 2. Directly held by American General Life Insurance Company ("AGLIC"), an indirect wholly owned subsidiary of CRBG. |
| 3. AGLIC and The United States Life Insurance Company in the City of New York ("USL"), an indirect wholly owned subsidiary of CRBG, directly hold 2,858 and 82,858 shares of the reported securities, respectively. 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 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. |
| 4. 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. |
| 5. AGLIC, USL and VAL directly hold $727,994.46 principal amount, $549,430.31 principal amount and $2,472,434.13 principal amount of the reported securities, respectively. CIIUS may be deemed to have beneficial ownership of $1,744,439.63 principal amount 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. |
| 6. AGLIC and USL directly hold $1,380,371.82 principal amount and $671,532.25 principal amount of the reported securities, respectively. |
| Remarks: |
| Filed pursuant to Section 30(h) of the Investment Company Act of 1940. |
| /s/ Polly Klane, Authorized Signatory of Corebridge Financial, Inc. | 04/01/2025 | |
| /s/ Julie A. Cotton Hearne, Authorized Signatory of American General Life Insurance Company | 04/01/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||