FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ClearBridge Energy Midstream Opportunity Fund Inc. [ EMO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Series D Mandatory Redeemable Preferred Stock | 11/17/2022 | J(1) | 30 | D | $0.00(1) | 0 | I | Held through subsidiaries(2) | |||||||
Series I Mandatory Redeemable Preferred Stock | 11/17/2022 | J(1) | 30 | A | $0.00(1) | 30 | I | Held through subsidiaries(2) | |||||||
Series E Mandatory Redeemable Preferred Stock | 11/17/2022 | J(3) | 70 | D | $0.00(3) | 0 | I | Held through subsidiaries(4) | |||||||
Series J Mandatory Redeemable Preferred Stock | 11/17/2022 | J(3) | 70 | A | $0.00(3) | 70 | I | Held through subsidiaries(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series D Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series I Mandatory Redeemable Preferred Stock (liquidation preference of $100,000). |
2. Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), and The United States Life Insurance Company in The City of New York, an indirectly controlled subsidiary of AIG, directly hold 10 shares and 20 shares of the reported securities, respectively. |
3. Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series E Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000). |
4. American General Life Insurance Company, an indirectly controlled subsidiary of AIG, and Lexington directly hold 47 shares and 23 shares of the reported securities, respectively. |
Remarks: |
Filed pursuant to Section 30(h) of the Investment Company Act of 1940. |
/s/ Elaine Rocha, Authorized Signatory of American International Group, Inc. | 02/14/2023 | |
** 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 4 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |