0000899243-17-011226.txt : 20170428 0000899243-17-011226.hdr.sgml : 20170428 20170428180136 ACCESSION NUMBER: 0000899243-17-011226 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150723 FILED AS OF DATE: 20170428 DATE AS OF CHANGE: 20170428 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CENTRAL INDEX KEY: 0001570318 IRS NUMBER: 462078197 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 620 EIGHTH AVENUE STREET 2: 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: (888) 777-0102 MAIL ADDRESS: STREET 1: 620 EIGHTH AVENUE STREET 2: 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AMERICAN GENERAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000005108 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 17797703 BUSINESS ADDRESS: STREET 1: 2727-A ALLEN PARKWAY CITY: HOUSTON STATE: TX ZIP: 77019 BUSINESS PHONE: 7135221111 MAIL ADDRESS: STREET 1: 2929 ALLEN PARKWAY, A30-25 CITY: HOUSTON STATE: TX ZIP: 77019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: United States Life Insurance Co in the City of New York CENTRAL INDEX KEY: 0001310558 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 17797704 BUSINESS ADDRESS: STREET 1: 175 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 1-310-772-6505 MAIL ADDRESS: STREET 1: 175 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10038 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lexington Insurance Co CENTRAL INDEX KEY: 0001704966 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 17797705 BUSINESS ADDRESS: STREET 1: 99 HIGH STREET, 23RD FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 212-770-7000 MAIL ADDRESS: STREET 1: 99 HIGH STREET, 23RD FLOOR CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AMERICAN INTERNATIONAL GROUP INC CENTRAL INDEX KEY: 0000005272 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 17797706 BUSINESS ADDRESS: STREET 1: 175 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 2127707000 MAIL ADDRESS: STREET 1: 175 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10038 FORMER NAME: FORMER CONFORMED NAME: AMERICAN INTERNATIONAL ENTERPRISES INC DATE OF NAME CHANGE: 19700507 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-23 0 0001570318 CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CBA 0000005272 AMERICAN INTERNATIONAL GROUP INC 175 WATER STREET NEW YORK NY 10038 0 0 0 1 See Remarks 0001704966 Lexington Insurance Co 99 HIGH ST, FLOOR 23 BOSTON MA 02110-2378 0 0 0 1 See Remarks 0001310558 United States Life Insurance Co in the City of New York 175 WATER STREET NEW YORK NY 10038 0 0 0 1 See Remarks 0000005108 AMERICAN GENERAL LIFE INSURANCE CO 2727-A ALLEN PARKWAY HOUSTON TX 77019 0 0 0 1 See Remarks Series A Mandatory Redeemable Preferred Stock 2015-07-23 4 P 0 100 100000.00 A 100 I Held through subsidiaries Series A Mandatory Redeemable Preferred Stock 2016-02-05 4 J 0 29 102000.00 D 71 I Held through subsidiaries Series A Mandatory Redeemable Preferred Stock 2016-02-11 4 J 0 41 102000.00 D 30 I Held through subsidiaries Series B Mandatory Redeemable Preferred Stock 2015-07-23 4 P 0 400 100000.00 A 400 I Held through subsidiaries Series B Mandatory Redeemable Preferred Stock 2015-12-22 4 J 0 160 102000.00 D 240 I Held through subsidiaries Series B Mandatory Redeemable Preferred Stock 2016-02-05 4 J 0 71 102000.00 D 169 I Held through subsidiaries Series B Mandatory Redeemable Preferred Stock 2016-02-11 4 J 0 99 102000.00 D 70 I Held through subsidiaries 4.51% Series C Senior Secured Notes due October 15, 2023 2015-12-18 4 J 0 4941176.47 5040000.00 D 25058823.53 I Held through subsidiaries 4.51% Series C Senior Secured Notes due October 15, 2023 2016-02-04 4 J 0 3813299.24 3889565.23 D 21245524.29 I Held through subsidiaries 4.51% Series C Senior Secured Notes due October 15, 2023 2016-02-11 4 J 0 3159590.8 3222782.62 D 18085933.49 I Held through subsidiaries 4.51% Series C Senior Secured Notes due October 15, 2023 2016-02-12 4 J 0 1198465.48 1222434.79 D 16887468.01 I Held through subsidiaries 4.66% Series D Senior Secured Notes due October 15, 2025 2015-12-18 4 J 0 6400000 6528000.00 D 33600000.00 I Held through subsidiaries 4.66% Series D Senior Secured Notes due October 15, 2025 2016-02-04 4 J 0 5113043.48 5215304.35 D 28486956.52 I Held through subsidiaries 4.66% Series D Senior Secured Notes due October 15, 2025 2016-02-11 4 J 0 4236521.73 4321252.16 D 24250434.79 I Held through subsidiaries 4.66% Series D Senior Secured Notes due October 15, 2025 2016-02-12 4 J 0 1606956.52 1639095.65 D 22643478.27 I Held through subsidiaries After giving effect to the acquisition on July 23, 2015, 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"), and The United Guaranty Mortgage Indemnity Company ("UGMIC"), a former indirect wholly owned subsidiary of AIG, directly held 32 shares, 67 shares and 1 share, respectively, of the Series A Mandatory Redeemable Preferred Stock (the "Series A MRPS"). AIG is an indirect beneficial owner of the Series A MRPS. The reported disposition was pursuant to a mandatory redemption by the issuer at a price equal to 102.0% of the face value of the redeemed securities. After giving effect to the redemption on February 5, 2016, Lexington, USLIC and UGMIC directly held 23 shares, 47 shares and 1 share, respectively, of the Series A MRPS. AIG is an indirect beneficial owner of the Series A MRPS. After giving effect to the redemption on February 11, 2016, Lexington, USLIC and UGMIC directly hold 10 shares, 20 shares and 0 shares, respectively, of the Series A MRPS. AIG is an indirect beneficial owner of the Series A MRPS. After giving effect to the acquisition on July 23, 2015, American General Life Insurance Company ("AGLIC"), Lexington and UGMIC directly held 266 shares, 130 shares and 4 shares, respectively, of the Series B Mandatory Redeemable Preferred Stock (the "Series B MRPS"). AIG is an indirect beneficial owner of the Series B MRPS. After giving effect to the redemption on December 22, 2015, AGLIC, Lexington and UGMIC directly held 160 shares, 78 shares and 2 shares, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS. After giving effect to the redemption on February 5, 2016, AGLIC, Lexington and UGMIC directly held 113 shares, 55 shares and 1 share, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS. After giving effect to the redemption on February 11, 2016, AGLIC, Lexington and UGMIC directly hold 47 shares, 23 shares and 0 shares, respectively, of the Series B MRPS. AIG is an indirect beneficial owner of the Series B MRPS. After giving effect to the redemption on December 18, 2015, AGLIC, Commerce and Industry Insurance Company ("CIIC"), an indirect wholly owned subsidiary of AIG, and United Guaranty Residential Insurance Company ("UGRIC"), a former indirect wholly owned subsidiary of AIG, directly held $16,476,176.47 principal amount, $7,956,176.47 principal amount and $626,470.59 principal amount, respectively, of the 4.51% Series C Senior Secured Notes due October 15, 2023 (the "Series C Notes"). AIG is an indirect beneficial owner of the Series C Notes. After giving effect to the redemption on February 4, 2016, AGLIC, CIIC and UGRIC directly held $13,968,932.22 principal amount, $6,745,453.96 principal amount and $531,138.11 principal amount, respectively, of the Series C Notes. AIG is an indirect beneficial owner of the Series C Notes. After giving effect to the redemption on February 11, 2016, AGLIC, CIIC and UGRIC directly held $11,891,501.27 principal amount, $5,742,283.88 principal amount and $452,148.34 principal amount, respectively, of the Series C Notes. AIG is an indirect beneficial owner of the Series C Notes. After giving effect to the redemption on February 12, 2016, AGLIC, CIIC and UGRIC directly held $11,103,510.22 principal amount, $5,361,771.09 principal amount and $422,186.70 principal amount, respectively, of the Series C Notes. On July 11, 2016, as part of an exchange of securities baskets, UGRIC transferred $422,186.70 principal amount of the Series C Notes to Lexington. On January 24, 2017, as part of a transfer of a portfolio of securities, Lexington transferred $422,186.70 principal amount of the Series C Notes to AGLIC. AIG is an indirect beneficial owner of the Series C Notes. After giving effect to the redemption on December 18, 2015, AGLIC, American Home Assurance Company ("AHAC"), USLIC and The Variable Annuity Life Insurance Company ("VALIC"), each an indirect wholly owned subsidiary of AIG, and UGRIC directly held $4,452,000.00 principal amount, $10,668,000.00 principal amount, $3,360,000.00 principal amount, $14,280,000.00 principal amount and $840,000.00 principal amount, respectively, of the 4.66% Series D Senior Secured Notes due October 15, 2025 (the "Series D Notes"). AIG is an indirect beneficial owner of the Series D Notes. After giving effect to the redemption on February 4, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly held $3,774,521.74 principal amount, $9,044,608.70 principal amount, $2,848,695.65 principal amount, $12,106,956.52 principal amount and $712,173.91 principal amount, respectively, of the Series D Notes. AIG is an indirect beneficial owner of the Series D Notes. After giving effect to the redemption on February 11, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly held $3,213,182.61 principal amount, $7,699,513.05 principal amount, $2,425,043.48 principal amount, $10,306,434.78 principal amount and $606,260.87 principal amount, respectively, of the Series D Notes. AIG is an indirect beneficial owner of the Series D Notes. After giving effect to the redemption on February 12, 2016, AGLIC, AHAC, USLIC, VALIC and UGRIC directly hold $3,000,260.87 principal amount, $7,189,304.35 principal amount, $2,264,347.83 principal amount, $9,623,478.26 principal amount and $566,086.96 principal amount, respectively, of the Series D Notes. On July 11, 2016, as part of an exchange of securities baskets, UGRIC transferred $566,086.96 principal amount of the Series D Notes to VALIC. Filed pursuant to Section 30(h) of the Investment Company Act of 1940. /s/ Geoffrey N. Cornell, Authorized Signatory of American International Group, Inc. 2017-04-28 /s/ Julie A. Cotton Hearne, Authorized Signatory of American General Life Insurance Company 2017-04-28 /s/ Julie A. Cotton Hearne, Authorized Signatory of The United States Life Insurance Company in The City of New York 2017-04-28 /s/ Martin J. Bogue, Authorized Signatory of Lexington Insurance Company 2017-04-28