Corebridge Financial, Inc. - Jun 9, 2024 Form 3 Insider Report for ClearBridge MLP & Midstream Fund Inc. (CEM)

Role
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.
Signature
/s/ Christine A. Nixon, Authorized Signatory of Corebridge Financial, Inc.
Stock symbol
CEM
Transactions as of
Jun 9, 2024
Transactions value $
$0
Form type
3
Date filed
6/11/2024, 04:48 PM
Next filing
Jul 17, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CEM 3.46% Senior Secured Notes Series I due June 11, 2025 $560K Jun 9, 2024 Held through subsidiaries F1, F2
holding CEM 3.56% Senior Secured Notes Series J due June 11, 2027 $1.49M Jun 9, 2024 Held through subsidiaries F1, F3
holding CEM 3.76% Senior Secured Notes Series K due June 11, 2030 $2.05M Jun 9, 2024 Held through subsidiaries F1, F4
holding CEM Series J Mandatory Redeemable Preferred Stock 44 Jun 9, 2024 Held through subsidiaries F1, F5
holding CEM Series K Mandatory Redeemable Preferred Stock 82 Jun 9, 2024 Held through subsidiaries F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 As of June 9, 2024, Corebridge Financial, Inc. ("CRBG") ceased to be a controlled subsidiary of American International Group, Inc. ("AIG"). As a result, CRBG and AIG report beneficial ownership independently and AIG no longer reports beneficial ownership of securities held directly by CRBG and its subsidiaries.
F2 American General Life Insurance Company ("AGLIC") and The Variable Annuity Life Insurance Company, each an indirect wholly owned subsidiary of CRBG, directly hold $373,073.46 principal amount and $186,536.74 principal amount of the reported securities, respectively.
F3 AGLIC directly holds $1,492,293.86 principal amount of the reported securities.
F4 AGLIC and The United States Life Insurance Company in the City of New York ("USL"), an indirect wholly owned subsidiary of CRBG, directly hold $1,380,371.82 principal amount and $671,532.25 principal amount of the reported securities, respectively.
F5 AGLIC and USL directly hold 1 share and 29 shares of the reported securities, respectively. Corebridge Institutional Investments (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, may be deemed to have beneficial ownership of 14 shares of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. The reporting person disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of the reporting person's pecuniary interest therein.
F6 AGLIC directly holds 56 shares of the reported securities. CIIUS may be deemed to have beneficial ownership of 26 shares of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. The reporting person disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of the reporting person's pecuniary interest therein.

Remarks:

Filed pursuant to Section 30(h) of the Investment Company Act of 1940.