SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
AMERICAN INTERNATIONAL GROUP INC

(Last) (First) (Middle)
175 WATER STREET

(Street)
NEW YORK NY 10038

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/16/2018
3. Issuer Name and Ticker or Trading Symbol
ClearBridge Energy Midstream Opportunity Fund Inc. [ EMO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Series D Mandatory Redeemable Preferred Stock 30 I Held through subsidiaries(1)
Series E Mandatory Redeemable Preferred Stock 70 I Held through subsidiaries(2)
4.51% Series C Senior Secured Notes due October 15, 2023 16,887,467.92(3) I Held through subsidiaries(4)
4.66% Series D Senior Secured Notes due October 15, 2025 22,643,477.92(3) I Held through subsidiaries(5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Lexington Insurance Company ("Lexington") and The United States Life Insurance Company in The City of New York ("USLIC"), each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), directly hold 10 shares and 20 shares, respectively, of the Series D Mandatory Redeemable Preferred Stock of the issuer (the "Series D MRPS"). AIG is an indirect beneficial owner of the Series D MRPS.
2. American General Life Insurance Company ("AGLIC") and Lexington, each an indirect wholly owned subsidiary of AIG, directly hold 47 shares and 23 shares, respectively, of the Series E Mandatory Redeemable Preferred Stock of the issuer (the "Series E MRPS"). AIG is an indirect beneficial owner of the Series E MRPS.
3. The amount shown reflects a cash dollar value.
4. AGLIC and American Home Assurance Company ("AHAC"), each an indirect wholly owned subsidiary of AIG, directly hold $11,525,696.92 principal amount and $5,361,771.00 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 of the issuer (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes.
5. AGLIC, AHAC, USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, directly hold $3,000,260.87 principal amount, $7,189,304.00 principal amount, $2,264,347.83 principal amount and $10,189,565.22 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 of the issuer (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes.
Remarks:
Filed pursuant to Section 30(h) of the Investment Company Act of 1940.
/s/ Geoffrey N. Cornell, Authorized Signatory of American International Group, Inc. 11/16/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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