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 |
|
1. Name and Address of Reporting Person*
(Street)
|
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)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 F Mandatory Redeemable Preferred Stock | 41(1) | I | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person |
Series G Mandatory Redeemable Preferred Stock | 24(1) | I(2) | By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person |
Series G Mandatory Redeemable Preferred Stock | 85(1) | I(3) | By Prudential Legacy Insurance Company of New Jersey, a wholly-owned subsidiary of the Reporting Per |
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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
Explanation of Responses: |
1. (1)Share exchange/replacement by EMO due to ClearBridge American Energy MLP Fund Inc. (ticker: CBA)'s merger into EMO on 11/16/2018. |
2. (2)As grantor of the PICA Hartford Life & Annuity Comfort Trust. |
3. (3)Preferred stock owned directly by Prudential Legacy Insurance Company of New Jersey, a ten percent owner of a class, and indirectly owned by Prudential Financial, Inc., its parent holding company. |
Prudential Financial, Inc. By:/s/Hillary Lorenzo, Vice President | 11/21/2018 | |
Prudential Legacy Insurance Company of New Jersey By: PGIM, Inc., as Investment Manager By:/s/Christopher Halloran, Vice President | 11/21/2018 | |
** 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). | ||
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. |