मूलभूत आँकड़े
| LEI | 549300KS1WIARK4T8791 |
| CIK | 1488775 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to ClearBridge MLP and Midstream Fund Inc
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| November 14, 2024 |
GUARDIAN LIFE INSURANCE CO OF AMERICA United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* ClearBridge MLP and Midstream Fund Inc. (Name of Issuer) Mandatory Redeemable Preferred Stock, no p |
|
| November 14, 2024 |
GUARDIAN LIFE INSURANCE CO OF AMERICA Exhibit 24 POWER OF ATTORNEY The undersigned hereby constitutes and appoints Joseph Virgilio with full power of substitution and resubstitution, to act as the undersigned’s true and lawful attorney-in-fact to: Prepare, execute and submit to the U. |
|
| November 14, 2024 |
GUARDIAN LIFE INSURANCE CO OF AMERICA Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. |
|
| October 7, 2024 |
AMERICAN INTERNATIONAL GROUP, INC. - SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
|
| October 7, 2024 |
Corebridge Financial, Inc. - SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
|
| October 7, 2024 |
SC 13G/A 1 midstreamfinal.htm DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment #3 Name of Issuer: CLEARBRIDGE MLP & MIDSTREAM FUND INC. Title of Class of Securities: Preferred Stock CUSIP Number: 1846923@8; 1846924@7; 1) NAME AND I.R.S. IDENTIFICATION NO. OF REPORTING PERSON Prudential Financial, |
|
| September 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F N-8F 1 d839085dn8f.htm CLEARBRIDGE MLP & MIDSTREAM FUND INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F I. General Identifying Information 1. Reason fund is applying to deregister: ☒ Merger ☐ Liquidation ☐ Abandonment of Registration (Note: Abandonments of Registration answer only questions 1 through 15, 24 and 25 of this form and complete the verification at |
|
| September 9, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 20, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
|
| June 25, 2024 |
CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ANNOUNCES FINAL RESULTS OF ISSUER TENDER OFFER FOR COMMON STOCK AND ANTICIPATED DATE OF MERGER NEW YORK – (BUSINESS WIRE) – June 21, 2024 – ClearBridge MLP and Midstream Fund Inc. (NYSE: CEM) (the “Fund”) announced today the final results for its issuer tender offer for up to 50% of the outstanding shares of common stock (“Shares”) of the Fund (the “Tender O |
|
| June 25, 2024 |
Exhibit I Calculation of Filing Fee Tables Schedule TO (Form Type) ClearBridge MLP and Midstream Fund Inc. |
|
| June 25, 2024 |
ClearBridge MLP and Midstream Fund Inc. As filed with the Securities and Exchange Commission on June 24, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Final Amendment) ClearBridge MLP and Midstream Fund Inc. (Name of Subject Company (issuer)) ClearBridge MLP |
|
| June 25, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 17)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| June 11, 2024 |
EX-99.1 2 tm2416905d5ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Corebridge Financial, Inc. — Subsidiary Information for the Mandatory Redeemable Preferred Stock: American General Life Insurance Company*: Insurance Company pursuant to Rule 13d-1(b)(1)(ii)(C) C |
|
| June 11, 2024 |
EX-99.1 2 tm2416905d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. American International Group, Inc. — Subsidiary Information for the Mandatory Redeemable Preferred Stock: Lexington Insurance Company*: Insurance Company pursuant to Rule 13d-1(b)(1)(ii)(C) Categ |
|
| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
|
| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
|
| May 21, 2024 |
As filed with the Securities and Exchange Commission on May 21, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 21, 2024 |
CLEARBRIDGE MLP AND MIDSTREAM FUND INC. 620 EIGHTH AVENUE, 47th FLOOR NEW YORK, NEW YORK 10018 Form of Letter to Stockholders. Exhibit (a)(1)(v) CLEARBRIDGE MLP AND MIDSTREAM FUND INC. 620 EIGHTH AVENUE, 47th FLOOR NEW YORK, NEW YORK 10018 DEAR STOCKHOLDER: At a meeting held on December 20 2023, the Board of Directors of ClearBridge MLP and Midstream Fund Inc. (the “Fund”) approved a tender offer to purchase up to 50% of the Fund’s outstanding shares of common stock. The offer is for cash a |
|
| May 21, 2024 |
Offer to Purchase, dated May 21, 2024. Exhibit (a)(1)(i) OFFER TO PURCHASE CLEARBRIDGE MLP AND MIDSTREAM FUND INC. (THE “FUND”) DATED MAY 21, 2024 OFFER TO PURCHASE FOR CASH UP TO 50% OF ITS ISSUED AND OUTSTANDING SHARES OF COMMON STOCK, PAR VALUE $0.001 PER SHARE (THE “SHARES”), AT 100% OF NET ASSET VALUE PER SHARE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME ON JU |
|
| May 21, 2024 |
Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Exhibit (a)(1)(iii) OFFER BY CLEARBRIDGE MLP AND MIDSTREAM FUND INC. |
|
| May 21, 2024 |
ClearBridge MLP and Midstream Fund Inc. As filed with the Securities and Exchange Commission on May 21, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ClearBridge MLP and Midstream Fund Inc. (Name of Subject Company (issuer)) ClearBridge MLP and Midstream Fund |
|
| May 21, 2024 |
PLACE AN IN ONE BOX ONLY See instruction number 2 and 3 on the reverse side of this form. Form of Letter of Transmittal. CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Computershare Trust Company, N.A. MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 ADD 5 ADD 6 C 1234567890 J N T Tax ID certification on file: TOTAL SHARES 12345678901234 LETTER OF TRANSMITTAL TO TENDER SHARES OF CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Pursuant to the Offer to Purchase dated May 21, 20 |
|
| May 21, 2024 |
Form of Letter to Clients for use by Brokers, Dealers, Commercial Banks, Trust C Exhibit (a)(1)(iv) OFFER BY CLEARBRIDGE MLP AND MIDSTREAM FUND INC. |
|
| May 21, 2024 |
Calculation of Filing Fee Table Exhibit I Calculation of Filing Fee Tables Schedule TO (Form Type) ClearBridge MLP and Midstream Fund Inc. |
|
| March 29, 2024 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 6, 2024 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2024 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorpora |
|
| January 29, 2024 |
Exhibit 99.1 FOURTH AMENDED AND RESTATED BYLAWS OF CLEARBRIDGE MLP AND MIDSTREAM FUND INC. A Maryland Corporation ARTICLE I OFFICES SECTION 1. Principal Office in Maryland. ClearBridge MLP and Midstream Fund Inc. (the “Corporation”) shall have a principal office at such place as the Board of Directors may designate. SECTION 2. Other Offices. The Corporation may have offices also at such other plac |
|
| December 27, 2023 |
EX-4 2 exhibit4.htm EXHIBIT 4 Exhibit 4 Standstill Agreement This Agreement is entered into as of December 22, 2023 (this "Agreement" (including the exhibits hereto), by and among Saba Capital Management, L.P. ("Saba"), ClearBridge MLP and Midstream Fund Inc., a Maryland corporation ("CEM"), ClearBridge MLP and Midstream Total Return Fund Inc., a Maryland corporation ("CTR"), ClearBridge Energy Mi |
|
| December 27, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 16)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| December 26, 2023 |
As filed with the Securities and Exchange Commission on December 26, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| December 13, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 15)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| December 11, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 14)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| December 5, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 13)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| November 9, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| November 1, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| November 1, 2023 |
EX-2 2 exhibit2.htm EXHIBIT 2 Exhibit 2 Form of Nominee Agreement Saba Capital Management, L.P. 405 Lexington Avenue, 58th Floor New York, NY 10174 [Date] Private & Confidential [Nominee] [Business Address] Dear [Nominee]: This will confirm our understanding as follows: You agree that you are willing, should we so elect, to become a member of a slate of nominees (the "Slate") of an affiliate of Sa |
|
| October 27, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 10)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Y |
|
| July 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| June 30, 2023 |
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK EXHIBIT 2 COMPLAINT UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SABA CAPITAL MASTER FUND, LTD. |
|
| June 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| June 1, 2023 |
MANAGEMENT AGREEMENT TERMINATION PROPOSAL LETTER EXHIBIT 2 MANAGEMENT AGREEMENT TERMINATION PROPOSAL LETTER May 30, 2023 Via Electronic Mail George P. |
|
| May 12, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
|
| April 11, 2023 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ClearBridge MLP & Midstream Fund Inc (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) 184692 6@5 (CUSIP Number) January 8, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
|
| March 8, 2023 |
DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
|
| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| February 23, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Yo |
|
| February 22, 2023 |
PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
|
| February 17, 2023 |
SC 13G/A 1 d810025dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* ClearBridge MLP & Midstream Fund Inc. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) (1) 1846926@5 (2) 184692 3#6 (CUSIP Number) December 31, 2022 (Date of Event Which Requires |
|
| January 25, 2023 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New Yo |
|
| December 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240. |
|
| December 12, 2022 |
CEM / ClearBridge Energy MLP Fund Inc. / PRUDENTIAL FINANCIAL INC Passive Investment SC 13G/A 1 cem13g.htm DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment # 2 Name of Issuer: CLEARBRIDGE MLP & MIDSTREAM FUND INC. Title of Class of Securities: Preferred Stock CUSIP Number: 1846923@8; 1846927@4 1) NAME AND I.R.S. IDENTIFICATION NO. OF REPORTING PERSON Prudential Financial, Inc. 22- |
|
| December 12, 2022 |
Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. American International Group, Inc. ? Subsidiary Information for the Mandatory Redeemable Preferred Shares: American General Life Insurance Company*: Insurance Company pursuant to Rule 13d-1(b)(1)(ii)(C) Category Symbol: IC Lexington Insuran |
|
| November 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| November 18, 2022 |
Exhibit 99.4 CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ARTICLES SUPPLEMENTARY SERIES L MANDATORY REDEEMABLE PREFERRED STOCK SERIES M MANDATORY REDEEMABLE PREFERRED STOCK CLEARBRIDGE MLP AND MIDSTREAM FUND INC. (the ?Company?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article V of the charter of the Compa |
|
| November 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2022 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorpor |
|
| November 18, 2022 |
Exhibit 99.3 CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ARTICLES SUPPLEMENTARY SERIES J MANDATORY REDEEMABLE PREFERRED STOCK SERIES K MANDATORY REDEEMABLE PREFERRED STOCK ClearBridge MLP and Midstream Fund Inc. (the ?Company?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article V of the charter of the Compa |
|
| November 18, 2022 |
Exhibit 99.2 CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ARTICLES SUPPLEMENTARY SERIES I MANDATORY REDEEMABLE PREFERRED STOCK ClearBridge MLP and Midstream Fund Inc. (the ?Company?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article V of the charter of the Company (which, as restated, amended or supplemente |
|
| November 18, 2022 |
Exhibit 99.1 CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ARTICLES SUPPLEMENTARY SERIES H MANDATORY REDEEMABLE PREFERRED STOCK ClearBridge MLP and Midstream Fund Inc. (the ?Company?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article V of the charter of the Company (which, as restated, amended or supplemente |
|
| October 28, 2022 |
NPORT-EX 2 LMA0900LM103122.htm CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Schedule of investments (unaudited) (Percentages shown based on Fund net assets) August 31, 2022 SECURITY SHARES/UNITS VALUE MASTER LIMITED PARTNERSHIPS - 89.7% Diversified Energy Infrastructure - 34.2% Energy Transfer LP 4,700,027 $ 55,037,316 Enterprise Products Partners LP 2,104,854 55,399,757 Genesis Energy LP 1,331,323 15, |
|
| October 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo |
|
| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* ClearBridge MLP and Midstream Fund Inc (Name of Issuer) Common Shares, $0.001 par value (Title of Class of Securities) 184692200 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (21 |
|
| October 7, 2022 |
Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Act. EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
|
| May 2, 2022 |
Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 May 2, 2022 CORRESP 1 filename1.htm Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 May 2, 2022 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Attention: Jeff Long Re: The Registrants (the “Registrants”) and Fund (the “Funds”) Listed in Annex A Dear Mr. Long: On behalf of the Registrants,1 we are filing this letter to resp |
|
| April 27, 2022 |
CLEARBRIDGE MLP AND MIDSTREAM FUND INC. (Percentages shown based on Fund net assets) Schedule of investments (unaudited) February 28, 2022 SECURITY SHARES/UNITS VALUE MASTER LIMITED PARTNERSHIPS - 87.6% Crude/Refined Products Pipelines - 4.4% BP Midstream Partners LP 592,462 $ 9,852,643 Shell Midstream Partners LP 912,374 12,764,112 Total Crude/Refined Products Pipelines 22,616,755 Diversified Ene |
|
| March 17, 2022 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 1, 2022 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ClearBridge MLP and Midstream Fund Inc. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846923#6 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
|
| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* CLEARBRIDGE MLP & MIDSTREAM FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate b |
|
| February 14, 2022 |
SC 13G/A 1 clearbridge13ga4q2021.htm AMENDMENT NO. 7 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* CLEARBRIDGE MLP & MIDSTREAM FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2021 (Date of E |
|
| October 27, 2021 |
CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Schedule of investments (unaudited) August 31, 2021 (Percentages shown based on Fund net assets) SECURITY SHARES/ UNITS VALUE MASTER LIMITED PARTNERSHIPS - 94.7% Crude/Refined Products Pipelines - 6.2% BP Midstream Partners LP 1,105,262 $ 14,523,143 Shell Midstream Partners LP 912,374 11,103,591 Total Crude/Refined Products Pipelines 25,626,734 Diversified E |
|
| July 27, 2021 |
Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. American International Group, Inc. ? Subsidiary Information for the Mandatory Redeemable Preferred Shares: AIG Asset Management (U.S.), LLC* Investment Adviser pursuant to Rule 13d-1(b)(ii)(E) Category Symbol: IA American General Life Insur |
|
| July 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240. |
|
| April 23, 2021 |
CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Schedule of investments (unaudited) February 28, 2021 SECURITY SHARES/ UNITS VALUE MASTER LIMITED PARTNERSHIPS - 98.7% Crude/Refined Products Pipelines - 6.6% BP Midstream Partners LP 1,105,262 $ 12,611,040 Shell Midstream Partners LP 912,374 9,990,495 Total Crude/Refined Products Pipelines 22,601,535 Diversified Energy Infrastructure - 33.1% Energy Transfer |
|
| April 21, 2021 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 1, 2021 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* CLEARBRIDGE MLP & MIDSTREAM FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate b |
|
| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* CLEARBRIDGE MLP & MIDSTREAM FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate b |
|
| October 27, 2020 |
HTML CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Schedule of investments (unaudited) August 31, 2020 SECURITY SHARES/ UNITS VALUE MASTER LIMITED PARTNERSHIPS - 107.5% Crude/Refined Products Pipelines - 8.9% BP Midstream Partners LP 1,105,262 $ 13,031,039 Shell Midstream Partners LP 912,374 9,479,566 Total Crude/Refined Products Pipelines 22,510,605 Diversified Energy Infrastructure - 35.5% Energy Tran |
|
| August 18, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2020 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 811-22405 (C |
|
| August 18, 2020 |
EX-99.1 Exhibit 99.1 THIRD AMENDED AND RESTATED BYLAWS OF CLEARBRIDGE MLP AND MIDSTREAM FUND INC. A Maryland Corporation ARTICLE I OFFICES SECTION 1. Principal Office in Maryland. ClearBridge MLP and Midstream Fund Inc. (the “Corporation”) shall have a principal office at such place as the Board of Directors may designate. SECTION 2. Other Offices. The Corporation may have offices also at such oth |
|
| June 26, 2020 |
- LEGG MASON CLOSED-END FUNDS - PROXY STATEMENTS VOTING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| June 19, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. (CEM) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| June 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| June 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| June 8, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| June 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [] Definitive Pro |
|
| June 8, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| June 8, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| May 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [] Definitive Pro |
|
| May 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [] Definitive Pro |
|
| May 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| May 22, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| May 22, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| May 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| May 20, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. ClearBridge MLP and Midstream Fund Inc. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| May 18, 2020 |
DEFA14A 1 f5731d1.htm LEGG MASON CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (a |
|
| May 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| May 14, 2020 |
DEFA14A 1 f5663d1.htm LEGG MASON CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (a |
|
| May 1, 2020 |
DEFA14A 1 f5307d1.htm LEGG MASON CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (a |
|
| April 28, 2020 |
- CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 27, 2020 |
See Notes to Schedule of Investments. ClearBridge MLP and Midstream Fund Inc. Schedule of investments (unaudited) February 29, 2020 Security Shares/Units Value Master Limited Partnerships - 116.6% Crude/Refined Products Pipelines - 6.7% BP Midstream Partners LP 2,061,262 $ 27,456,010 Shell Midstream Partners LP 1,007,374 17,236,169 Total Crude/Refined Products Pipelines 44,692,179 Diversified Energy Infrastructure - 44.6% Energy Trans |
|
| April 21, 2020 |
CEM / ClearBridge Energy MLP Fund Inc. DEFA14A - - CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 20, 2020 |
BWG / Legg Mason BW Global Income Opportunities Fund Inc. DEFA14A - - LEGG MASON CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ]Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ]Definitive Pro |
|
| April 16, 2020 |
BWG / Legg Mason BW Global Income Opportunities Fund Inc. DEF 14A - - LEGG MASON CLOSED-END FUNDS DEF 14A 1 d899929ddef14a.htm LEGG MASON CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
|
| April 9, 2020 |
SEC Response Letter Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 April 9, 2020 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
|
| April 9, 2020 |
BWG / Legg Mason BW Global Income Opportunities Fund Inc. PRER14A - - LEGG MASON CLOSED-END FUNDS Legg Mason Closed-End Funds UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| April 2, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2020 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorpor |
|
| April 2, 2020 |
EX-99.1 Exhibit 99.1 The bylaws of the Fund are hereby amended and restated to include the following as Article II, Section 3(b) immediately following Article II, Section 3 (now Article II, Section 3(a) in the Second Amended and Restated Bylaws): (b) Notwithstanding anything to the contrary in these Bylaws, the Board or a committee of the Board authorized for such purpose may determine at any time |
|
| March 25, 2020 |
Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 COVER Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 March 25, 2020 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
|
| March 25, 2020 |
Legg Mason Closed-End Funds UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 20, 2020 |
CEM / ClearBridge Energy MLP Fund Inc. DEFA14A - - CLEARBRIDGE MLP AND MIDSTREAM FUND INC. DEFA14A 1 d871000ddefa14a.htm CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confident |
|
| February 13, 2020 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 5 )* CLEARBRIDGE MLP AND MIDSTREAM FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriat |
|
| February 10, 2020 |
CEM / ClearBridge Energy MLP Fund Inc. DEF 14A - - CLEARBRIDGE MLP AND MIDSTREAM FUND INC. DEF 14A 1 d865006ddef14a.htm CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidenti |
|
| November 5, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2019 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incor |
|
| November 5, 2019 |
AMENDED AND RESTATED BYLAWS CLEARBRIDGE MLP AND MIDSTREAM FUND INC. A Maryland Corporation ARTICLE I EX-99.1 Exhibit 99.1 AMENDED AND RESTATED BYLAWS OF CLEARBRIDGE MLP AND MIDSTREAM FUND INC. A Maryland Corporation ARTICLE I OFFICES SECTION 1. Principal Office in Maryland. ClearBridge MLP and Midstream Fund Inc. (the “Corporation”) shall have a principal office at such place as the Board of Directors may designate. SECTION 2. Other Offices. The Corporation may have offices also at such other pla |
|
| October 25, 2019 |
CEM / ClearBridge Energy MLP Fund Inc. NPORT-EX - - NPORT-EX 1 CBMLPMidstreamFund.htm CLEARBRIDGE MLP AND MIDSTREAM FUND INC. Schedule of investments (unaudited) August 31, 2019 SECURITY SHARES/UNITS VALUE MASTER LIMITED PARTNERSHIPS - 112.6% Crude/Refined Products Pipelines - 5.7% BP Midstream Partners LP 2,061,262 $ 30,630,353 Shell Midstream Partners LP 1,007,374 19,351,655 Total Crude/Refined Products Pipelines 49,982,008 Diversified Energy Inf |
|
| October 1, 2019 |
Legg Mason Partners Income Trust CORRESP - - Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 October 1, 2019 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
|
| August 29, 2019 |
Legg Mason Partners Income Trust CORRESP - - LEGG MASON PARTNERS INCOME TRUST Morgan, Lewis & Bockius LLP One Federal Street Boston, MA 02110 August 29, 2019 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
|
| April 22, 2019 |
Certifications CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge MLP and Midstream Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| April 22, 2019 |
ClearBridge MLP and Midstream Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address |
|
| March 5, 2019 |
CEM / ClearBridge Energy MLP Fund Inc. CLEARBRIDGE MLP AND MIDSTREAM FUND INC. CLEARBRIDGE MLP AND MIDSTREAM FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| February 13, 2019 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 4 )* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| February 6, 2019 |
CEM / ClearBridge Energy MLP Fund Inc. / PRUDENTIAL FINANCIAL INC Passive Investment SC 13G/A 1 clea.htm DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment # 2 Name of Issuer: ClearBridge MLP & Midstream Fund Inc. Title of Class of Securities: Preferred Stock CUSIP Number: 1846924#5; 1846925#4 1) NAME AND I.R.S. IDENTIFICATION NO. OF REPORTING PERSON Prudential Financial, Inc. 22-37 |
|
| January 2, 2019 |
EX-99.1 Exhibit 99.1 CERTAIN CLOSED-END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE APPOINTMENT OF NEW DIRECTOR AND RETIREMENTS New York – (Business Wire) – January 2, 2019 ClearBridge MLP and Midstream Fund Inc. (NYSE: CEM), ClearBridge Energy Midstream Opportunity Fund Inc. (NYSE: EMO), ClearBridge MLP and Midstream Total Return Fund Inc. (NYSE: CTR), BrandywineGLOBAL - Globa |
|
| January 2, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2018 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 811-22405 |
|
| January 2, 2019 |
CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. ("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") LMP REAL ESTATE INCOME FUND INC. ("RIT") NEW YORK POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby make |
|
| December 12, 2018 |
CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") LMP CAPITAL AND INCOME FUND INC. ("SCD") NEW YORK POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby makes, constitutes and appoints each of Robert Frenkel, Thomas Mandia, R. Jay Gerken, Richard W |
|
| October 26, 2018 |
ClearBridge MLP and Midstream Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge MLP and Midstream Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address |
|
| October 26, 2018 |
CERTIFICATION CERTIFICATIONS PURSUANT TO SECTION 302 EX-99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge MLP and Midstream Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
|
| October 10, 2018 |
CEM / ClearBridge Energy MLP Fund Inc. CORRESP ClearBridge Energy MLP Fund Inc. Dominic Minore Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 ClearBridge Energy MLP Fund Inc. Registration Statement on Form N-2 File Nos. 333-226127 and 811-22405 October 10, 2018 Dear Mr. Minore: In accordance with Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as am |
|
| October 10, 2018 |
CEM / ClearBridge Energy MLP Fund Inc. CORRESP ClearBridge Energy MLP Fund Inc. October 10, 2018 VIA EDGAR Dominic Minore Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Registration Statement on Form N-2 filed by ClearBridge Energy MLP Fund Inc., File No. 333-226127 Dear Mr. Minore: On behalf of ClearBridge Energy MLP Fund Inc. (the “Fund”), a non-diversified, closed-end manag |
|
| August 17, 2018 |
Financial Statements and Exhibits, Other Events ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2018 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other |
|
| August 17, 2018 |
ClearBridge Energy MLP Fund Inc. Announces Name Change and Amended Investment Policy Exhibit 99.1 ClearBridge Energy MLP Fund Inc. Announces Name Change and Amended Investment Policy NEW YORK – (Business Wire) – August 17, 2018—ClearBridge Energy MLP Fund Inc. (the “Fund”) (NYSE: CEM) announced today that the Board of Directors of the Fund has approved a change to the Fund’s name. Effective on or about October 22, 2018, the Fund’s name will be ClearBridge MLP and Midstream Fund In |
|
| April 26, 2018 |
Clearbridge Energy Mlp Fund Inc. - CLEARBRIDGE ENERGY MLP FUND INC. N-Q 1 d510907dnq.htm CLEARBRIDGE ENERGY MLP FUND INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 ( |
|
| April 26, 2018 |
Certifications CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respe |
|
| March 7, 2018 |
CEM / ClearBridge Energy MLP Fund Inc. CLEARBRIDGE ENERGY MLP FUND INC. CLEARBRIDGE ENERGY MLP FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only ( |
|
| February 14, 2018 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13GA Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 3 )* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| January 9, 2018 |
ClearBridge American Energy MLP Fund Inc. (NYSE: CBA), ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), BrandywineGLOBAL - Global Income Opportunities Fund Inc. (NYSE: BWG), LMP Capital and Income Fund Inc. (NYSE: SCD), Western Asset Corporate Loan Fund Inc. (NYSE: TLI), EnTrustPermal |
|
| October 25, 2017 |
EX-99.CERT 2 d406321dex99cert.htm CERTIFICATION Exhibit 99.CERT CERTIFICATIONS PURSUANT TO SECTION 302 EX-99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements m |
|
| October 25, 2017 |
Clearbridge Energy Mlp Fund Inc. - CLEARBRIDGE ENERGY MLP FUND INC. (CEM) N-Q 1 d406321dnq.htm CLEARBRIDGE ENERGY MLP FUND INC. (CEM) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 1 |
|
| August 16, 2017 |
EX-16.1 2 d444429dex161.htm EX-16.1 Exhibit 16.1 (Firm Letterhead) August 16, 2017 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for ClearBridge Energy MLP Fund Inc. (the “Fund”) and, under the date of January 25, 2017, we reported on the financial statements of the Fund as of and for the year ended November 30, 2016. On Au |
|
| August 16, 2017 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2017 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorporation |
|
| July 10, 2017 |
CERTIFICATION Exhibit 99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mislea |
|
| July 10, 2017 |
ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal |
|
| June 2, 2017 |
EX-24 2 ex-24.htm POWER OF ATTORNEY CASHMAN CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. ("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that the person whose signature appears below hereby makes, cons |
|
| May 16, 2017 |
ClearBridge American Energy MLP Fund Inc. (NYSE: CBA), ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Legg Mason BW Global Income Opportunities Fund Inc. (NYSE: BWG), LMP Capital and Income Fund Inc. (NYSE: SCD), Western Asset Corporate Loan Fund Inc. (NYSE: TLI), EnTrustPermal Hedge |
|
| April 24, 2017 |
Clearbridge Energy Mlp Fund Inc. - CLEARBRIDGE ENERGY MLP FUND INC. N-Q 1 d344700dnq.htm CLEARBRIDGE ENERGY MLP FUND INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 ( |
|
| April 24, 2017 |
EX-99.CERT 2 d344700dex99cert.htm CERTIFICATION Exhibit 99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
|
| March 8, 2017 |
ClearBridge Energy MLP Fund CLEARBRIDGE ENERGY MLP FUND INC. DEF 14A 1 d284913ddef14a.htm CLEARBRIDGE ENERGY MLP FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for |
|
| February 27, 2017 |
Form 3 Exhibit - Joint Filer Information Exhibit 99-1 Name: Metropolitan Life Insurance Company* Address: One MetLife Way, Whippany, New Jersey 07981 Designated Filer: Daniel F. |
|
| February 14, 2017 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 2 )* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| February 13, 2017 |
Amendment No. 1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Pref |
|
| February 13, 2017 |
EX-99.1 Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. American International Group, Inc. — Subsidiary Information for the Floating Rate Mandatory Redeemable Preferred Shares: AIG Asset Management (U.S.), LLC* Investment Adviser pursuant to Rule 13d-1(b)(ii)(E) Category Symbol: IA Ameri |
|
| January 30, 2017 |
ClearBridge Energy MLP Fund ESP ClearBridge Energy MLP Fund Inc. (CEM) January 30, 2017 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management, Disclosure and Review Office 3 World Financial Center New York, NY 10281 Attn.: Megan Miller Re: SEC Staff financial statement review comments for the registered investment companies in the Legg Mason Fund Complex Dear Ms. Megan Miller: We are responding to y |
|
| October 26, 2016 |
ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal |
|
| October 26, 2016 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misle |
|
| April 20, 2016 |
EX-99.CERT 2 d135142dex99cert.htm CERTIFICATION Exhibit 99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
|
| April 20, 2016 |
ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal |
|
| March 29, 2016 |
CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC.("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC.("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC.("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") LMP REAL ESTATE INCOME FUND INC. ("RIT") POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby makes, constitut |
|
| March 29, 2016 |
CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. ("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") LMP REAL ESTATE INCOME FUND INC. ("RIT") POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby makes, consti |
|
| March 29, 2016 |
EX-24 2 attachment1.htm EX-24 DOCUMENT CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. ("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") LMP REAL ESTATE INCOME FUND INC. ("RIT") POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signa |
|
| March 29, 2016 |
CLEARBRIDGE ENERGY MLP FUND INC. ("CEM") CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. ("EMO") CLEARBRIDGE ENERGY MLP TOTAL RETURN FUND INC. ("CTR") CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. ("CBA") LMP CAPITAL AND INCOME FUND INC. ("SCD") LMP REAL ESTATE INCOME FUND INC. ("RIT") POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby makes, consti |
|
| February 26, 2016 |
Clearbridge Energy MLP Fund CLEARBRIDGE ENERGY MLP FUND INC. CLEARBRIDGE ENERGY MLP FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only ( |
|
| February 16, 2016 |
CEM / ClearBridge Energy MLP Fund Inc. / Athene Holding Ltd - SC 13G/A Passive Investment CUSIP Nos. 1846923#6, 1846927#2 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ClearBridge Energy MLP Fund Inc. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846923#6 (Series B) 1846927#2 (Series F) (CUSIP Number) December 31, 2015 (Date of Event Which Requ |
|
| February 16, 2016 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 sunlifeclearbridge13ga021216.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of |
|
| February 12, 2016 |
SC 13G/A 1 d134169dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) 184692 3#6 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statemen |
|
| February 12, 2016 |
CEM / ClearBridge Energy MLP Fund Inc. / Symetra Financial CORP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ClearBridge Energy MLP Fund, Inc. (Name of Issuer) SERIES A MANDATORY REDEEMABLE PREFERRED STOCK SERIES B MANDATORY REDEEMABLE PREFERRED STOCK SERIES C MANDATORY REDEEMABLE PREFERRED STOCK SERIES D MANDATORY REDEEMABLE PREFERRED STOCK SERIES E MANDATORY R |
|
| February 1, 2016 |
ClearBridge Energy MLP Fund CLEARBRIDGE ENERGY MLP FUND INC. ClearBridge Energy MLP Fund Inc. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 RULE 23C-2 NOTICE OF INTENTION TO REDEEM SECURITIES (Amendment No. 1) of ClearBridge Energy MLP Fund Inc. 620 Eighth Avenue New York, New York 10018 (888) 777-0102 under the Investment Company Act of 1940 Investment Company Act File No. 811-22405 The undersigned registered closed-end investment company hereby |
|
| October 21, 2015 |
EX-99.CERT 2 d46720dex99cert.htm CERTIFICATIONS CERTIFICATIONS PURSUANT TO SECTION 302 EX-99.CERT CERTIFICATIONS I, Jane Trust, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
|
| October 21, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executive offices) (Zip code) Rob |
|
| July 22, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2015 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorporat |
|
| July 22, 2015 |
EX-99.1 Exhibit 99.1 CERTAIN CLOSED END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE APPOINTMENT OF NEW DIRECTOR AND OFFICER New York ? July 22, 2015 ClearBridge American Energy MLP Fund Inc. (NYSE: CBA), ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Legg Mason BW |
|
| July 14, 2015 |
CEM / ClearBridge Energy MLP Fund Inc. / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| July 8, 2015 |
CEM / ClearBridge Energy MLP Fund Inc. / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| July 8, 2015 |
EX-99.1 2 d54915dex991.htm EX-99.1 Exhibit 99.1 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. American International Group, Inc. — Subsidiary Information for the Floating Rate Mandatory Redeemable Preferred Shares: AIG Asset Management (U.S.), LLC* Investment Adviser pursuant to Rule 13d-1(b)(ii)(E |
|
| July 8, 2015 |
Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
|
| April 24, 2015 |
ClearBridge American Energy MLP Fund Inc. (NYSE: CBA), ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Legg Mason BW Global Income Opportunities Fund Inc. (NYSE: BWG), LMP Capital and Income Fund Inc. (NYSE: SCD), LMP Corporate Loan Fund Inc. (NYSE: TLI), LMP Real Estate Income Fund I |
|
| April 17, 2015 |
ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal |
|
| April 17, 2015 |
EX-99.CERT 2 d884992dex99cert.htm CERTIFICATION CERTIFICATIONS PURSUANT TO SECTION 302 EX-99.CERT CERTIFICATIONS I, Kenneth D. Fuller, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in l |
|
| February 20, 2015 |
CEM / ClearBridge Energy MLP Fund Inc. DEF 14A - - CLEARBRIDGE ENERGY MLP FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 12, 2015 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) 184692 3#6 (CUSIP Number) January 8, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
|
| January 29, 2015 |
CEM / ClearBridge Energy MLP Fund Inc. / Athene Holding Ltd - SC 13G Passive Investment CUSIP No. 184692 3#6 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ClearBridge Energy MLP Fund Inc. (Name of Issuer) Mandatory Redeemable Preferred Stock (Title of Class of Securities) CUSIP No. 184692 3#6 (CUSIP Number) January 8, 2015 (Date of Event Which Requires Filing of this Statement) Chec |
|
| January 29, 2015 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) (ClearBridge Energy MLP Fund Inc.) Exhibit 99.1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) (ClearBridge Energy MLP Fund Inc.) The undersigned each acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned. The undersigned acknowledge that each shall be |
|
| January 15, 2015 |
CEM / ClearBridge Energy MLP Fund Inc. / SUN LIFE FINANCIAL INC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CLEARBRIDGE ENERGY MLP FUND INC. (Name of Issuer) Series A Mandatory Redeemable Preferred Stock (Title of Class of Securities) 1846922#7 (CUSIP Number) January 8, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
|
| December 23, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2014 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorp |
|
| December 23, 2014 |
EX-99.1 Exhibit 99.1 CERTAIN CLOSED-END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE APPOINTMENT OF NEW DIRECTOR New York – (Business Wire) – December 23, 2014 ClearBridge American Energy MLP Fund Inc. (NYSE: CBA), ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Leg |
|
| October 23, 2014 |
Clearbridge Energy Mlp Fund Inc. - CLEARBRIDGE ENERGY MLP FUND INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executive offices) (Zip code) Rob |
|
| October 23, 2014 |
EX-99.CERT 2 d786128dex99cert.htm CERTIFICATION CERTIFICATIONS I, Kenneth D. Fuller, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
|
| May 29, 2014 |
ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 21, 2014 ClearBridge Energy MLP Fund Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 811-22405 27-2282398 (State or Other Jur |
|
| May 29, 2014 |
PRESS RELEASE Exhibit 99.1 CERTAIN CLOSED END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE RETIREMENT OF DIRECTOR AND APPOINTMENT OF NEW LEAD INDEPENDENT DIRECTOR New York – (Business Wire) – May 29, 2014 ClearBridge American Energy MLP Fund Inc. (NYSE: CBA) ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy |
|
| April 25, 2014 |
Quarterly Schedule of Portfolio Holdings - CLEARBRIDGE ENERGY MLP FUND INC. ClearBridge Energy MLP Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal |
|
| April 25, 2014 |
EX-99.CERT 2 d695735dex99cert.htm CERTIFICATION CERTIFICATIONS I, Kenneth D. Fuller, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
|
| April 7, 2014 |
CORRESP 1 filename1.htm April 7, 2014 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Mailstop 4720, Washington, D.C. 20549 Attn.: Christina DiAngelo Fettig Re: SEC Staff financial statement review comments for the registered investment companies in the Legg Mason Fund Complex Dear Ms. DiAngelo Fettig: We are responding to your comments issued via |
|
| April 2, 2014 |
CORRESP 1 filename1.htm March 28, 2014 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Mailstop 4720, Washington, D.C. 20549 Attn.: Mr. Vincent J. Di Stefano, Senior Counsel, and Ms. Stephanie D. Hui Re: ClearBridge Energy MLP Fund Inc. (the “Fund”) Post-Effective Amendment No. 4 to Registration Statement on Form N-2, File Numbers 811-224 |
|
| April 1, 2014 |
- CLEARBRIDGE ENERGY MLP FUND INC As filed with the Securities and Exchange Commission on April 1, 2014 Securities Act Registration No. |
|
| April 1, 2014 |
Consent of Independent Registered Public Accounting Firm Consent Consent of Independent Registered Public Accounting Firm The Board of Directors ClearBridge Energy MLP Fund Inc. |
|
| February 25, 2014 |
- CLEARBRIDGE ENERGY MLP FUND INC. SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| February 20, 2014 |
- CLEARBRIDGE ENERGY MLP FUND INC. POS 8C 1 d678369dpos8c.htm CLEARBRIDGE ENERGY MLP FUND INC. As filed with the Securities and Exchange Commission on February 20, 2014 Securities Act Registration No. 333-178695 Investment Company Registration No. 811-22405 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. ¨ Post-Eff |
|
| February 20, 2014 |
Consent of Independent Registered Public Accounting Firm Consent Consent of Independent Registered Public Accounting Firm The Board of Directors ClearBridge Energy MLP Fund Inc. |
|
| February 20, 2014 |
SEC Correspondence Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017 February 20, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Filing Desk Re: ClearBridge Energy MLP Fund Inc. |
|
| October 25, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executive offices) (Zip code) Rob |
|
| October 25, 2013 |
Exhibit 99.CERT CERTIFICATIONS I, Kenneth D. Fuller, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wi |
|
| September 23, 2013 |
Opininon and Consent of Foley & Lardner LLP Exhibit (l)(2) September 23, 2013 CLEARBRIDGE ENERGY MLP FUND INC. |
|
| September 23, 2013 |
Consent of Independent Registered Public Accounting Firm Exhibit (n) Consent of Independent Registered Public Accounting Firm The Board of Directors ClearBridge Energy MLP Fund Inc. |
|
| September 23, 2013 |
Opinion and Consent of Simpson Thacher & Bartlett LLP Exhibit (l)(1) September 23, 2013 ClearBridge Energy MLP Fund Inc. |
|
| September 23, 2013 |
EX-99.J 2 d600410dex99j.htm CUSTODIAN SERVICES AGREEMENT WITH STATE STREET BANK & TRUST COMPANY Exhibit (j) CUSTODIAN SERVICES AGREEMENT THIS AGREEMENT is made as of October 5, 2012 by and among each Fund (as defined below) on behalf of each of its Portfolios (as defined below) and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”). WHEREAS, the Custodian is a ban |
|
| September 23, 2013 |
EX-99.S3 8 d600410dex99s3.htm POWER OF ATTORNEY Exhibit (s)(3) POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that each person whose signature appears below hereby makes, constitutes and appoints each of Kenneth D. Fuller, Richard F. Sennett and George P. Hoyt with full power to act without the other, as his or her agent and attorney-in-fact for the purpose of executing in his or her name, i |
|
| September 23, 2013 |
- CLEARBRIDGE ENERGY MLP FUND INC. As filed with the Securities and Exchange Commission on September 23, 2013 Securities Act Registration No. |
|
| September 23, 2013 |
AMENDMENT NO. 1 AND WAIVER NO. 1 LOAN DOCUMENTS EX-99.K3 3 d600410dex99k3.htm AMENDMENT NO.1 AND WAIVER NO.1 TO LOAN DOCUMENTS Exhibit (k)(3) EXECUTION COPY AMENDMENT NO. 1 AND WAIVER NO. 1 TO LOAN DOCUMENTS AMENDMENT NO. 1 AND WAIVER NO. 1, dated as of June 6, 2013 (this “Amendment”), to certain Loan Documents (as defined in the Credit Agreement, dated as of July 12, 2012, by and among CLEARBRIDGE ENERGY MLP FUND INC., a Maryland corporation ( |
|
| September 23, 2013 |
Note Purchase Agreement Exhibit (k)(5) EXECUTION COPY CLEARBRIDGE ENERGY MLP FUND INC. |
|
| June 14, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 1, 2013 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorporation) (Commi |
|
| June 14, 2013 |
Exhibit 99.1 CERTAIN CLOSED END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE APPOINTMENT OF NEW DIRECTOR AND OFFFICER New York — (Business Wire) — May 21, 2013 ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Legg Mason BW Global Income Opportunities Fund Inc. (NYSE: |
|
| April 26, 2013 |
Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
|
| April 26, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executive offices) (Zip code) Rob |
|
| March 28, 2013 |
CORRESP 1 filename1.htm March 28, 2013 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Mailstop 4720, Washington, D.C. 20549 Attn.: Mr. Vincent J. Di Stefano, Senior Counsel Re: ClearBridge Energy MLP Fund Inc. (the “Fund”) Post-Effective Amendment No. 2 to Registration Statement on Form N-2, File Numbers 811-22405 & 333-178695 Ladies and |
|
| February 27, 2013 |
DEF 14A 1 a13-23541def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o |
|
| February 25, 2013 |
Power of Attorney POWER OF ATTORNEY KNOW ALL PEOPLE BY THESE PRESENTS, that Eileen Kamerick whose signature appears below hereby makes, constitutes and appoints each of R. |
|
| February 25, 2013 |
Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017 February 25, 2013 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Filing Desk Re: ClearBridge Energy MLP Fund Inc. |
|
| February 25, 2013 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm The Board of Directors ClearBridge Energy MLP Fund Inc. |
|
| February 25, 2013 |
Note Purchase Agreement EXECUTION COPY CLEARBRIDGE ENERGY MLP FUND INC. $25,000,000 2.80% Series A Senior Secured Notes due July 12, 2015 $50,000,000 3.53% Series B Senior Secured Notes due July 12, 2019 $102,000,000 4.06% Series C Senior Secured Notes due July 12, 2022 $90,000,000 4.21% Series D Senior Secured Notes due July 12, 2024 NOTE PURCHASE AGREEMENT Dated as of July 12, 2012 TABLE OF CONT |
|
| February 25, 2013 |
EX-99.(K)(2) 2 d493097dex99k2.htm CREDIT AGREEMENT WITH STATE STREET BANK AND TRUST COMPANY EXECUTION VERSION CREDIT AGREEMENT dated as of July 12, 2012 among CLEARBRIDGE ENERGY MLP FUND INC., STATE STREET BANK AND TRUST COMPANY, and the other lending institutions party hereto and STATE STREET BANK AND TRUST COMPANY in its capacity as Agent TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS 1 SECTION 1 |
|
| February 25, 2013 |
- CLEARBRIDGE ENERGY MLP FUND INC. ClearBridge Energy MLP Fund Inc. Table of Contents As filed with the Securities and Exchange Commission on February 25, 2013 Securities Act Registration No. 333-178695 Investment Company Registration No. 811-22405 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. ¨ Post-Effective Am |
|
| January 28, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 25, 2013 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-22405 27-2282398 (State or other jurisdiction of incorporation) (C |
|
| January 28, 2013 |
Exhibit 99.1 CERTAIN CLOSED END FUNDS ADVISED BY LEGG MASON PARTNERS FUND ADVISOR, LLC ANNOUNCE APPOINTMENT OF NEW DIRECTOR New York – (Business Wire) – January 25, 2013 ClearBridge Energy MLP Fund Inc. (NYSE: CEM), ClearBridge Energy MLP Opportunity Fund Inc. (NYSE: EMO), ClearBridge Energy MLP Total Return Fund Inc. (NYSE: CTR), Legg Mason BW Global Income Opportunities Fund Inc. (NYSE: BWG), LM |
|
| October 26, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executive offices) (Zip code) Rob |
|
| October 26, 2012 |
EX-99.CERT 2 a12-210165ex99dcert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
|
| April 25, 2012 |
EX-99.CERT 2 a12-72937ex99dcert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
|
| April 25, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 a12-72937nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, 49th Floor, New York, NY 10018 (Address of principal executi |
|
| March 30, 2012 |
- CLEARBRIDGE ENERGY MLP FUND INC. As filed with the Securities and Exchange Commission on March 30, 2011 Securities Act Registration No. |
|
| March 30, 2012 |
Consent of Independent Registered Public Accounting Firm EX-99.(N) 3 d323301dex99n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n) Consent of Independent Registered Public Accounting Firm The Board of Directors ClearBridge Energy MLP Fund Inc. We consent to the use of our report dated January 18, 2012, included herein, with respect to the financial statements of ClearBridge Energy MLP Fund Inc. as of November 30, 2011, and to th |
|
| March 30, 2012 |
CLEARBRIDGE ENERGY MLP FUND INC. UP TO 5,000,000 COMMON SHARES CAPITAL ON DEMAND™ SALES AGREEMENT EX-99.(H) 2 d323301dex99h.htm SALES AGREEMENT Exhibit (h) CLEARBRIDGE ENERGY MLP FUND INC. UP TO 5,000,000 COMMON SHARES CAPITAL ON DEMAND™ SALES AGREEMENT March 30, 2012 JONESTRADING INSTITUTIONAL SERVICES LLC 780 Third Avenue, 3rd Floor New York, NY 10017 Ladies and Gentlemen: ClearBridge Energy MLP Fund Inc., a Maryland corporation (the “Fund”), Legg Mason Partners Fund Advisor, LLC, a Delaware |
|
| March 22, 2012 |
SEC LETTER March 22, 2012 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
|
| March 2, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
|
| December 2, 2011 |
CLEARBRIDGE ENERGY MLP FUND INC. (“CEM”) CLEARBRIDGE ENERGY MLP OPPORTUNITY FUND INC. (“EMO”) LMP CAPITAL AND INCOME FUND INC. (“SCD”) LMP CORPORATE LOAN FUND INC. (“TLI”) LMP REAL ESTATE INCOME FUND INC. (“RIT”) WESTERN ASSET EMERGING MARKETS DEBT FUND INC. (“ESD”) WESTERN ASSET EMERGING MARKETS INCOME FUND INC. (“EMD”) WESTERN ASSET GLOBAL CORPORATE DEFINED OPPORTUNITY FUND INC. (“GDO”) WESTERN |
|
| October 27, 2011 |
EX-99.CERT 2 a11-267415ex99dcert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of Clearbridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
|
| October 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 Clearbridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 620 Eighth Avenue, New York, NY 10041 (Address of principal executive offices) (Zip code) Robert I. Frenk |
|
| June 21, 2011 |
ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 June 21, 2011 VIA EDGAR Re: ClearBridge Energy MLP Fund Inc. (the “Fund”) Request for Withdrawal of Form AW (File No. 001-34787) Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: Pursuant to Rule 477 under the Securities Act of 1933, as amende |
|
| June 20, 2011 |
ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 June 20, 2011 VIA EDGAR Re: Request to Withdraw Form 8-A for Registration of Securities (File No. 001-34787) Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: ClearBridge Energy MLP Fund Inc., a Maryland corporation (the ?Corporation?), hereby |
|
| June 20, 2011 |
ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 ClearBridge Energy MLP Fund Inc. 55 Water Street New York, New York 10041 June 20, 2011 VIA EDGAR Re: Request to Withdraw Form 8-A for Registration of Securities (File No. 001-34787) Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: ClearBridge Energy MLP Fund Inc., a Maryland corporation (the ?Corporation?), hereby |
|
| June 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 ClearBridge Energy MLP Opportunity Fund Inc. (Exact name of registrant as specified in its charter) Maryland 45-1474578 (State of incorporation or organization) (I.R.S. Employer Identification No.) |
|
| April 26, 2011 |
Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
|
| April 26, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 55 Water Street, New York, NY 10041 (Address of principal executive offices) (Zip code) Robert I. Frenkel |
|
| March 3, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
|
| November 5, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
|
| October 25, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22405 ClearBridge Energy MLP Fund Inc. (Exact name of registrant as specified in charter) 55 Water Street, New York, NY 10041 (Address of principal executive offices) (Zip code) Robert I. Frenkel |
|
| October 25, 2010 |
Exhibit 99.CERT CERTIFICATIONS I, R. Jay Gerken, certify that: 1. I have reviewed this report on Form N-Q of ClearBridge Energy MLP Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
