Key facts
- This page summarizes PRUDENTIAL FINANCIAL INC's Form 4 filing for ClearBridge MLP & Midstream Fund Inc..
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 11 Sep 2024, 16:28.
PRUDENTIAL FINANCIAL INC - 09 Sep 2024 Form 4 Insider Report for ClearBridge MLP & Midstream Fund Inc.
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- N/A
- Reported as of
- 09 Sep 2024
- Net transaction value
- -$26,000,025
- SEC form
- 4
- Accepted by SEC
- 11 Sep 2024, 16:28:17 UTC
- Prior SEC filing
- 28 Jun 2023
- Next SEC filing
- 20 Dec 2024
- Source filing
- View source filing
- Reporting owner signature
- Prudential Financial, Inc., By: /s/ Richard Baker, Second Vice President
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
PRUDENTIAL FINANCIAL INC filed Form 4 for ClearBridge MLP & Midstream Fund Inc. on 11 Sep 2024.
Change
- Previous filing in this sequence was filed on 28 Jun 2023.
- Current net transaction value: -$26,000,025.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
CEM
transaction
Series I Mandatory Redeemable Preferred Stock (CEM)
Other
- Transaction value
- $16,000,000
- Shares
- -160
- Change %
- -100%
- Price
- $100000.00
- Shares after
- 0
- Date
- 09 Sep 2024
- Ownership
- By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person
- Footnotes
- F1, F2, F3
CEM
transaction
Series M Mandatory Redeemable Preferred Stock (CEM)
Other
- Transaction value
- $10,000,025
- Shares
- -285,715
- Change %
- -100%
- Price
- $35.00
- Shares after
- 0
- Date
- 09 Sep 2024
- Ownership
- By ThePrudentialInsuranceCompanyofAmerica,a wholly-ownedsubsidiaryof theReportingPerson
- Footnotes
- F1, F3, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
PRUDENTIAL FINANCIAL INC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 4 footnotes
Footnote F1
Share exchange made in connection with the merger of (i) ClearBridge MLP and Midstream Total Return Inc. (CTR) and (ii) ClearBridge MLP and Midstream Fund, Inc. (CEM) with and into (iii) ClearBridge Energy Midstream Opportunity Fund (EMO), effective September 9, 2024. See separate Form 4 filings for CTR and EMO.
Footnote F2
CEM Series I shares exchanged for EMO Series N Mandatory Redeemable Preferred Stock.
Footnote F3
Mandatory Redeemable Preferred Stock owned directly by The Prudential Insurance Company of America, a ten percent owner of a class, and indirectly owned by Prudential Financial, Inc., its parent holding company.
Footnote F4
CEM Series M shares exchanged for EMO Series R Mandatory Redeemable Preferred Stock