| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EMO | Series O Mandatory Redeemable Preferred Stock | Other | $0 | +126K | $0.00 | 126K | Sep 9, 2024 | Held through subsidiaries | F1, F2, F3 | |
| transaction | EMO | Series P Mandatory Redeemable Preferred Stock | Other | $0 | +234K | $0.00 | 234K | Sep 9, 2024 | Held through subsidiaries | F1, F2, F4 | |
| transaction | EMO | 3.46% Series M Senior Secured Notes due June 11, 2025 | Other | $0 | +560K | $0.00 | $560K | Sep 9, 2024 | Held through subsidiaries | F1, F2, F5 | |
| transaction | EMO | 3.56% Series N Senior Secured Notes due June 11, 2027 | Other | $0 | +1.49M | $0.00 | $1.49M | Sep 9, 2024 | Held through subsidiaries | F1, F2, F6 | |
| transaction | EMO | 3.76% Series O Senior Secured Notes due June 11, 2030 | Other | $0 | +2.05M | $0.00 | $2.05M | Sep 9, 2024 | Held through subsidiaries | F1, F2, F7 | |
| transaction | EMO | Series J Mandatory Redeemable Preferred Stock | Other | $0 | -70 | -100% | $0.00 | 0 | Sep 9, 2024 | Held through subsidiaries | F1, F2, F8 |
| transaction | EMO | Series J Mandatory Redeemable Preferred Stock | Other | $0 | +200K | $0.00 | 200K | Sep 9, 2024 | Held through subsidiaries | F1, F2, F8 | |
| holding | EMO | 4.66% Series H Senior Secured Notes due October 15, 2025 | $5.49M | Sep 9, 2024 | Held through subsidiaries | F9 |
| Id | Content |
|---|---|
| F1 | On September 9, 2024, pursuant to an Agreement and Plan of Merger, dated September 6, 2024, between the Issuer and ClearBridge MLP and Midstream Fund, Inc. ("CEM"), CEM merged with and into the Issuer (the "Merger"). |
| F2 | As a result of the Merger, among other things, (1) the Issuer issued and delivered to holders of the CEM's Mandatory Redeemable Preferred Stock ("MRPS") newly issued shares of the Issuer's MRPS with the same aggregate liquidation preference and other terms as the CEM MRPS that were issued and outstanding immediately prior to the Merger (other than voting rights, which correspond to every $35 of liquidation preference in the case of the newly issued MRPS), and the CEM MRPS ceased to be outstanding and were automatically canceled and (2) the Issuer expressly assumed the obligations of CEM, under, among other things, CEM's outstanding Senior Secured Notes (the "Notes") and, at the request of a holder of CEM's outstanding Notes, the Issuer issued replacement Notes with the same aggregate principal amount outstanding and terms as the CEM Notes. Any CEM Notes for which replacement Notes were issued ceased to be outstanding and were automatically canceled. |
| F3 | American General Life Insurance Company ("AGLIC") and The United States Life Insurance Company in the City of New York ("USL"), each an indirect wholly owned subsidiary of Corebridge Financial, Inc. ("CRBG"), directly hold 2,858 shares and 82,858 shares of the reported securities, respectively. Corebridge Institutional Investments, (U.S.), LLC ("CIIUS"), an indirect wholly owned subsidiary of CRBG, may be deemed to have beneficial ownership of 40,000 shares of the reported securities held by a controlled subsidiary of American International Group, Inc. ("AIG"), pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein. |
| F4 | AGLIC directly holds 160,000 shares of the reported securities. CIIUS may be been deemed to have beneficial ownership of 74,286 shares of the reported securities held by a controlled subsidiary of AIG, pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein. |
| F5 | AGLIC and The Variable Annuity Life Insurance Company ("VAL"), an indirect wholly owned subsidiary of CRBG, directly hold $373,073.46 principal amount and $186,536.74 principal amount of the reported securities, respectively. |
| F6 | AGLIC directly holds $1,492,293.86 principal amount of the reported securities. |
| F7 | AGLIC and USL directly hold $1,380,371.82 principal amount and $671,532.25 principal amount of the reported securities, respectively. |
| F8 | In connection with the Merger, the Issuer cancelled and re-issued its MRPS that were issued and outstanding immediately prior to the Merger to align the voting rights of all of the Issuer's MRPS so that each MRPS holder will have one vote for every $35 of liquidation preference following the consummation of the Merger. As a result of the foregoing, AGLIC now directly holds 134,286 shares of the reported securities and CIIUS may be deemed to have beneficial ownership of 65,715 shares of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein. |
| F9 | AGLIC, USL and VAL directly hold $727,994.46 principal amount, $549,430.31 principal amount and $2,472,434.13 principal amount of the reported securities, respectively. CIIUS may be deemed to have beneficial ownership of $1,744,439.63 principal amount of the reported securities held by a controlled subsidiary of AIG pursuant to an investment management agreement. CRBG disclaims beneficial ownership of the securities held by the controlled subsidiary of AIG, and this report shall not be deemed an admission that CRBG is the beneficial owner of such securities, except to the extent of CRBG's pecuniary interest therein. |
Filed pursuant to Section 30(h) of the Investment Company Act of 1940. As a result of the Merger, VAL is no longer subject to Section 16 in connection with its transactions in securities of the Issuer.