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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/11/2015 | 3. Issuer Name and Ticker or Trading Symbol ClearBridge Energy MLP Fund Inc. [ CEM ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 06/22/2015 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
3.46% Senior Secured Notes Series I due 6/11/2025 | $3,000,000(1) | I | Held through subsidiaries(2) |
3.56% Senior Secured Notes Series J due 6/11/2027 | $8,000,000(1) | I | Held through subsidiaries(3) |
3.76% Senior Secured Notes Series K due 6/11/2030 | $11,000,000(1) | I | Held through subsidiaries(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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. These Notes were omitted from American International Group, Inc. ("AIG")'s original Form 3. |
2. On June 11, 2015, American General Life Insurance Company ("AGLIC") and Lexington Insurance Company ("Lexington"), each an indirect wholly owned subsidiary of AIG, directly held $2,000,000.00 principal amount and $1,000,000.00 principal amount, respectively, of the 3.46% Senior Secured Notes, Series I, due June 11, 2025 (the "Series I Notes"). AIG is an indirect beneficial owner of the Series I Notes. |
3. On June 11, 2015, AGLIC, Lexington and United Guaranty Residential Insurance Company ("UGRIC"), a former indirect wholly owned subsidiary of AIG, directly held $5,300,000.00 principal amount, $2,600,000.00 principal amount and $100,000.00 principal amount, respectively, of the 3.56% Senior Secured Notes, Series J, due June 11, 2027 (the "Series J Notes"). AIG is an indirect beneficial owner of the Series J Notes. |
4. On June 11, 2015, AGLIC, Lexington and UGRIC directly held $7,300,000.00 principal amount, $3,600,000.00 principal amount and $100,000.00 principal amount, respectively, of the 3.76% Senior Secured Notes, Series K, due June 11, 2030 (the "Series K Notes"). AIG is an indirect beneficial owner of the Series K Notes. |
Remarks: |
Filed pursuant to Section 30(h) of the Investment Company Act of 1940. The mandatory redeemable preferred stock referenced on the original Form 3 are securities which the Reporting Person is informed represent, in the aggregate, in excess of 10% of this class of preferred equity securities of the Issuer. |
/s/ Geoffrey N. Cornell, Authorized Person | 04/28/2017 | |
** 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. |