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