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) | ||||||||||||||
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) |
Series F Mandatory Redeemable Preferred Stock | 160 | I | Held through subsidiaries(1) |
Series G Mandatory Redeemable Preferred Stock | 300 | I | Held through subsidiaries(2) |
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. Lexington Insurance Company ("Lexington"), United Guaranty Residential Insurance Company ("UGRIC") and The United States Life Insurance Company in the City of New York, each an indirectly wholly owned subsidiary of American International Group, Inc. ("AIG"), directly hold 52 shares, 2 shares and 106 shares, respectively, of the Series F Mandatory Redeemable Preferred Stock. |
2. American General Life Insurance Company, also an indirectly wholly owned subsidiary of AIG, and Lexington and UGRIC directly hold 200 shares, 97 shares and 3 shares, respectively, of the Series G Mandatory Redeemable Preferred Stock. |
Remarks: |
Filed pursuant to Section 30(h) of the Investment Company Act of 1940. The referenced mandatory redeemable preferred stock are securities which the Reporting Person is informed represent, in the aggregate, in excess of 10% of the preferred equity securities of the Issuer. The Reporting Person expressly disclaims whether the Series F and G Mandatory Redeemable Preferred Stock are subject to reporting under Section 30(h). |
/s/ Geoffrey Cornell, Authorized Person | 06/22/2015 | |
** 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. |