CEM / ClearBridge MLP and Midstream Fund Inc - Insider Trading and Ownership Report - SEC Form 3, 4, 5

ClearBridge MLP 和 Midstream Fund Inc
US ˙ NYSE ˙ US1846922003
该符号不再有效

内部人士情绪分数

“内部人士情绪分数”用于查找被公司内部人士购入的公司。

它是一个复杂的多因素量化模型的结果，该模型能够辨识具有最高内部人士累积持有水平的公司。该评分模型结合了内部人士在过去90天内买入的净数量、总买入股份占流通股比例，以及内部人士拥有的总股份的指标。该分数的范围从0到100，数值越高表示相对于同行业而言具有更高程度的内部人士持股水平，50为平均值。

更新频率：每日

参阅“内部人士首选”，该清单呈现被内部人士购入最多的公司。

查阅“高排名股票”
高管情绪分数

“高管情绪分数”用于查找被公司管理层购入的公司。

根据定义，公司高管是公司内部人士，但与其他内部人士（10%的股东和董事会成员）不同，公司高管每天在公司工作，而且他们使用自己的资金进行交易。（10%的股东和董事会成员通常是基金经理，管理着其他人的资金。）因此，公司高管进行的内幕交易更为重要，应该被适当地重视和关注。

如同“内部人士情绪分数”，“高管情绪分数”也是一个复杂的多因素量化模型的计算结果，该模型能够辨识具有最高高管累积持有水平的公司。

更新频率：每日

参阅“内部人士首选”，该清单呈现被内部人士购入最多的公司。

查阅“高排名股票”
关键内部人士指标

此表格显示了公司在各种内部人士指标上的排名。百分位数排名显示了这家公司在美国市场与其他公司相比的表现。排名越高表明公司所处状况越好。

举例来说，一般认为内部人士的买入是一个积极的指标，因此具有更多内部人士买入的公司将排名高于那些内部人士买入较少（甚至有内部人士卖出）的公司。

内部人士买入净数（排名）

N/A

内部人士买入净数是过去90天内买入的内部人士总数减去卖出的内部人士总数。以百分位排名显示（范围从0到100%）。

内部人士买入占流通股比例（排名）

N/A

内部人士买入占流通股比例是内部人士在过去90天内买入的股份总数减去卖出的股份总数，除以总流通股数并乘以100。

内幕交易图表

以下图表显示了ClearBridge MLP and Midstream Fund Inc内部人士交易。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。

内部人员名单及盈利指标

这张表格显示已知的内部人士名单，从向美国证券交易委员会（SEC）披露的申报文件中自动生成。除了姓名、当前职位和董事、高管或10%所有人的任命外，我们还提供了最新披露的持股信息。此外，我们尽可能提供内部人士的历史交易表现。历史交易表现是内部人士实际进行的公开市场买入交易表现的加权平均值。有关此计算方式的更多信息，请查看YouTube网络研讨会。

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内部人士 平均收益（%） 持股
数量		 分拆
调整

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跟踪内部人士买入记录 - 短期收益分析

在这一部分，我们分析了在 CEM / ClearBridge MLP and Midstream Fund Inc 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况， 结果仅为理论值。 .

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2023-12-06 Saba Capital Management, L.P. 300 38.3400 300 38.3400 11,502 166 48.5500 3,063 26.63
2023-12-05 Saba Capital Management, L.P. 22,986 38.6300 22,986 38.6300 887,949
2023-12-04 Saba Capital Management, L.P. 17,378 38.6600 17,378 38.6600 671,833
2023-12-01 Saba Capital Management, L.P. 13,440 38.7800 13,440 38.7800 521,203
2023-11-30 Saba Capital Management, L.P. 19,348 38.3600 19,348 38.3600 742,189
2023-11-29 Saba Capital Management, L.P. 26,440 37.3900 26,440 37.3900 988,592
2023-11-28 Saba Capital Management, L.P. 28,533 36.7900 28,533 36.7900 1,049,729
2023-11-10 Saba Capital Management, L.P. 4,893 35.9500 4,893 35.9500 175,903
2023-11-09 Saba Capital Management, L.P. 44,315 35.5000 44,315 35.5000 1,573,182

经调整价格 已按拆股调整。 经调整股数 已按拆股调整。

CEM / ClearBridge MLP and Midstream Fund Inc Insider Trades
追踪内部人士卖出记录 - 短期亏损分析

在这一部分，我们分析了在 CEM / ClearBridge MLP and Midstream Fund Inc 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况， 结果仅为理论值。 .

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2022-10-05 CRONIN DANIEL P 2,476 32.5092 2,476 32.5092 80,481 169 29.9500 -6,354 -7.89
2020-12-04 HUTCHINSON WILLIAM R 1,400 18.7700 1,400 18.7700 26,278
2019-12-19 Agdern Robert D 3,095 11.5000 619 57.5000 35,592
2019-11-21 COHEN HARRY D 7,234 9.9139 1,447 49.5695 71,719
2019-10-28 COHEN HARRY D 1,738 10.7017 348 53.5085 18,600
2018-12-31 Glasser Scott 24,584 10.2997 4,917 51.4985 253,207
2018-12-28 Freeman Richard A 31,421 10.1196 6,284 50.5980 317,966
2018-12-26 Freeman Richard A 26,611 9.8322 5,322 49.1610 261,645

经调整价格 已按拆股调整。 经调整股数 已按拆股调整。

CEM / ClearBridge MLP and Midstream Fund Inc Insider Trades
交易历史记录

点击链接图标即可查看完整的交易历史记录。作为 10b5-1 自动交易计划的一部分进行报告的交易，将在标记为 10b-5 的列中显示 X。

备案
日期		 交易
日期		 表格 内部人士 股票代码 证券种类 代码 10b5-1 直接 执行
价格		 单位
价格		 股数
变化		 价值
变化 (1K)		 剩余
期权		 剩余
股份
2024-09-11 2024-09-09 4 PRUDENTIAL FINANCIAL INC By ThePrudentialInsuranceCompanyofAmerica,a wholly-ownedsubsidiaryof theReportingPerson CEM Series M Mandatory Redeemable Preferred Stock (CEM) J - Other I 35.0000 -285,715 -10,000 0
2024-09-11 2024-09-09 4 PRUDENTIAL FINANCIAL INC By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series I Mandatory Redeemable Preferred Stock (CEM) J - Other I 100,000.0000 -160 -16,000 0
2024-09-11 2024-09-09 4 Corebridge Financial, Inc. Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due June 11, 2030 J - Other I -2,051,904
2024-09-11 2024-09-09 4 Corebridge Financial, Inc. Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due June 11, 2027 J - Other I -1,492,294
2024-09-11 2024-09-09 4 Corebridge Financial, Inc. Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due June 11, 2025 J - Other I -559,610
2024-09-11 2024-09-09 4 Corebridge Financial, Inc. Held through subsidiaries CEM Series K Mandatory Redeemable Preferred Stock J - Other I -82 0
2024-09-11 2024-09-09 4 Corebridge Financial, Inc. Held through subsidiaries CEM Series J Mandatory Redeemable Preferred Stock J - Other I -44 0
2024-06-25 2024-06-21 4 Saba Capital Management, L.P. - CEM Common Stock U - Other I 49.6000 -2,189,802 -108,614 0
2024-06-11 3 Corebridge Financial, Inc. Held through subsidiaries CEM Series K Mandatory Redeemable Preferred Stock I 82
2024-06-11 3 Corebridge Financial, Inc. Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due June 11, 2025 I
2024-06-11 3 Corebridge Financial, Inc. Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due June 11, 2027 I
2024-06-11 3 Corebridge Financial, Inc. Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due June 11, 2030 I
2024-06-11 3 Corebridge Financial, Inc. Held through subsidiaries CEM Series J Mandatory Redeemable Preferred Stock I 44
2024-06-11 2024-06-09 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series K Mandatory Redeemable Preferred Stock J - Other I -56 26
2024-06-11 2024-06-09 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series J Mandatory Redeemable Preferred Stock J - Other I -30 14
2024-06-11 2024-06-09 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due June 11, 2030 J - Other I -2,051,904
2024-06-11 2024-06-09 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due June 11, 2027 J - Other I -1,492,294
2024-06-11 2024-06-09 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due June 11, 2025 J - Other I -559,610
2024-04-10 3 Tarallo Nicole CEM Common Stock D 0
2024-01-03 3 Hinkle Matthew T. CEM Common Stock D 0
2024-01-02 3 McElroy Patrick CEM Common Stock D 0
2023-12-07 2023-12-06 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 38.3400 300 12 2,189,802
2023-12-07 2023-12-05 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 38.6300 22,986 888 2,189,502
2023-12-05 2023-12-04 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 38.6600 17,378 672 2,166,516
2023-12-05 2023-12-01 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 38.7800 13,440 521 2,149,138
2023-12-01 2023-11-30 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 38.3600 19,348 742 2,135,698
2023-12-01 2023-11-29 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 37.3900 26,440 989 2,116,350
2023-11-28 2023-11-28 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.7900 28,533 1,050 2,089,910
2023-11-13 2023-11-10 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.9500 4,893 176 2,061,377
2023-11-13 2023-11-09 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.5000 44,315 1,573 2,056,484
2023-11-09 2023-11-08 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.4700 59,909 2,125 2,012,169
2023-11-09 2023-11-07 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.8300 38,868 1,393 1,952,260
2023-11-06 2023-11-06 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.5100 9,103 332 1,913,392
2023-11-06 2023-11-03 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.5800 3,613 132 1,904,289
2023-11-03 2023-11-02 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.4100 87,614 3,190 1,900,676
2023-11-03 2023-11-01 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.2200 518 18 1,813,062
2023-10-31 2023-10-31 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.3200 4,578 157 1,812,544
2023-10-31 2023-10-30 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.0800 14,764 503 1,807,966
2023-10-30 2023-10-27 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.4000 44,184 1,520 1,793,202
2023-10-30 2023-10-26 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.7800 24,076 837 1,749,018
2023-10-25 2023-10-25 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.0300 14,113 494 1,724,942
2023-10-03 2023-10-02 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.6800 30,772 1,067 1,710,829
2023-08-21 2023-08-18 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 37.1400 30,622 1,137 1,680,057
2023-08-21 2023-08-17 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.9300 4,975 184 1,649,435
2023-08-02 2023-07-31 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 37.1900 2,668 99 1,644,460
2023-07-31 2023-07-28 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.7700 24,216 890 1,641,792
2023-07-31 2023-07-27 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.5500 6,701 245 1,617,576
2023-07-26 2023-07-26 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 36.5900 11,885 435 1,610,875
2023-07-25 2023-07-21 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.9800 26,288 946 1,598,990
2023-07-21 2023-07-20 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.8800 35,598 1,277 1,572,702
2023-07-21 2023-07-19 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.6000 11,677 416 1,537,104
2023-07-19 2023-07-18 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.4500 20,962 743 1,525,427
2023-07-19 2023-07-17 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.9400 44,435 1,553 1,504,465
2023-07-11 2023-07-11 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.0800 4,635 163 1,460,030
2023-07-07 2023-07-05 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.7700 9,396 327 1,455,395
2023-07-05 2023-07-03 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 35.0800 14,536 510 1,445,999
2023-07-05 2023-06-30 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.8700 18,897 659 1,431,463
2023-06-30 2023-06-29 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.1300 336 11 1,412,566
2023-06-30 2023-06-28 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 33.3400 2,166 72 1,412,230
2023-06-28 2023-06-27 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 32.9900 4 0 1,410,064
2023-06-28 2023-06-26 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 32.9100 13,202 434 1,410,060
2023-06-26 2023-06-23 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 32.4700 7,771 252 1,396,858
2023-06-26 2023-06-22 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 32.9000 1,620 53 1,389,087
2023-06-22 2023-06-20 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 33.9600 7,685 261 1,387,467
2023-06-20 2023-06-16 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 34.1000 9,364 319 1,379,782
2023-06-20 2023-06-15 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 33.8400 3,477 118 1,370,418
2023-06-15 2023-06-14 4 Saba Capital Management, L.P. - CEM Common Stock P - Purchase I 33.4900 18,702 626 1,366,941
2023-06-14 3 Weinstein Boaz - CEM Common Stock I 1,348,239
2023-04-10 2023-01-08 4 GUARDIAN LIFE INSURANCE CO OF AMERICA 184692 6@5 Mandatory Redeemable Preferred Stock S - Sale D 100,000.0000 -42 -4,200 200,000
2023-02-14 3 GUARDIAN LIFE INSURANCE CO OF AMERICA 184692 6@5 Mandatory Redeemable Preferred Stock D 200,000
2023-02-14 2022-11-17 5 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series K Mandatory Redeemable Preferred Stock J - Other I 82 82
2023-02-14 2022-11-17 5 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series G Mandatory Redeemable Preferred Stock J - Other I -82 0
2023-02-14 2022-11-17 5 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series J Mandatory Redeemable Preferred Stock J - Other I 44 44
2023-02-14 2022-11-17 5 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series F Mandatory Redeemable Preferred Stock J - Other I -44 0
2022-11-21 2022-11-17 4 PRUDENTIAL FINANCIAL INC By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series M Mandatory Redeemable Preferred Stock P - Purchase I 35.0000 285,715 10,000 285,715
2022-11-21 2022-11-17 4 PRUDENTIAL FINANCIAL INC By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series I Mandatory Redeemable Preferred Stock J - Other I 100,000.0000 160 16,000 160
2022-11-21 2022-11-17 4 PRUDENTIAL FINANCIAL INC By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock J - Other I 100,000.0000 -160 -16,000 0
2022-11-18 3 UNITED OF OMAHA LIFE INSURANCE CO acquired by United of Omaha Life Insurance Company a subsidiary CEM ClearBridge MLP and Midstream Fund Inc. I 157,143
2022-11-18 3 UNITED OF OMAHA LIFE INSURANCE CO CEM ClearBridge MLP and Midstream Fund Inc. D 71,429
2022-10-07 2022-10-05 4 CRONIN DANIEL P CEM Common Stock S - Sale D 32.5092 -2,476 -80 0
2020-12-07 2020-12-04 4 HUTCHINSON WILLIAM R CEM Common Stock S - Sale D 18.7700 -1,400 -26 0
2020-11-18 2020-11-16 4 Eades Chris CEM Common Stock P - Purchase D 15.6542 6,550 103 9,292
2020-03-30 2020-03-27 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due 6/11/2030 J - Other I 1,472,794.9700 -1,442,402 -2,124,362,351 0
2020-03-30 2020-03-27 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due 6/11/2027 J - Other I 1,070,505.8600 -1,049,020 -1,122,981,640 0
2020-03-30 2020-03-27 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due 6/11/2025 J - Other I 401,323.8600 -393,382 -157,873,723 0
2020-03-26 2020-03-25 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due 6/11/2030 J - Other I 972,749.8900 -943,627 -917,913,498 0
2020-03-26 2020-03-25 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due 6/11/2027 J - Other I 707,057.9400 -686,275 -485,235,841 0
2020-03-26 2020-03-25 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due 6/11/2025 J - Other I 265,072.3800 -257,353 -68,217,156 0
2020-03-25 2020-03-23 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due 6/11/2030 J - Other I 4,584,891.6600 -4,448,529 -20,396,025,391 0
2020-03-25 2020-03-23 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due 6/11/2027 J - Other I 3,332,633.3300 -3,235,294 -10,782,049,017 0
2020-03-25 2020-03-23 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due 6/11/2025 J - Other I 1,249,393.7500 -1,213,235 -1,515,808,589 0
2020-03-13 2020-03-13 4 Clarfeld Michael CEM Common Stock P - Purchase D 3.1158 5,000 16 7,000
2020-03-12 2020-03-12 4 CRONIN DANIEL P CEM Common Stock P - Purchase D 3.6036 5,000 18 10,066
2019-12-23 2019-12-19 4 Agdern Robert D CEM Common Stock S - Sale D 11.5000 -3,095 -36 0
2019-12-02 2019-11-21 4 COHEN HARRY D Children and Grandchildren's accounts CEM Common Stock S - Sale I 9.9139 -7,234 -72 7,215
2019-10-30 2019-10-28 4 COHEN HARRY D CEM Common Stock S - Sale D 10.7017 -1,738 -19 0
2019-09-30 3 Berarducci Christopher CEM Common Stock D 0
2019-01-09 3 Kumar Nisha CEM Common Stock D 0
2019-01-03 2018-12-31 4 Glasser Scott CEM Common Stock S - Sale D 10.2997 -24,584 -253 0
2019-01-02 3/A Glasser Scott CEM Common Stock D 13,000
2019-01-02 2018-12-28 4 Freeman Richard A CEM Common Stock S - Sale D 10.1196 -31,421 -318 0
2018-12-28 2018-12-26 4 Freeman Richard A CEM Common Stock S - Sale D 9.8322 -26,611 -262 31,421
2018-12-14 2018-12-12 4 Murphy Terrence CEM Common Stock S - Sale D 11.3929 -6,479 -74 0
2018-12-12 2018-12-10 4/A COHEN HARRY D CEM Common Stock S - Sale D 11.2534 -58,784 -662 1,738
2018-12-12 2018-12-10 4 COHEN HARRY D CEM Common Stock S - Sale D 11.2534 -58,784 -662 1,738
2018-12-06 2018-12-04 4 MANNING BARBARA BROOKE CEM Common Stock S - Sale D 12.1205 -1,608 -19 0
2018-10-16 2016-02-25 5 KNIGHTS OF COLUMBUS CEM 4.21% due 7/10/2024 J - Other D 1,000.0000 -9,607 -9,607 40,393,013
2018-05-15 2018-05-14 4 HUTCHINSON WILLIAM R CEM Common Stock P - Purchase D 14.7580 7,000 103 7,000
2018-03-12 2018-03-12 4 COLMAN CAROL L CEM Common Stock P - Purchase D 14.4800 2,000 29 8,120
2018-03-12 2018-03-08 4 COLMAN CAROL L CEM Common Stock P - Purchase D 14.1456 5,000 71 6,120
2017-12-12 2017-12-11 4 Eades Chris CEM Common Stock P - Purchase D 13.7105 1,830 25 6,430
2017-12-08 2017-12-07 4 Vanderlee Peter CEM Common Stock S - Sale D 12.8800 -500 -6 2,800
2017-09-14 2017-09-13 4 Eades Chris CEM Common Stock P - Purchase D 14.9590 1,000 15 4,600
2017-06-02 3 Cashman Frances CEM Common Stock D 0
2017-06-01 2017-05-31 4 Eades Chris CEM Common Stock P - Purchase D 15.6833 1,600 25 3,600
2017-05-16 3 Kuehl Todd F CEM Common Stock D 0
2017-04-28 3/A AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due 6/11/2025 I
2017-04-28 3/A AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due 6/11/2027 I
2017-04-28 3/A AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due 6/11/2030 I
2017-04-28 2016-02-12 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.76% Senior Secured Notes Series K due 6/11/2030 J - Other I 2,155,807.8600 -2,113,537 -4,556,379,936 0
2017-04-28 2016-02-12 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.56% Senior Secured Notes Series J due 6/11/2027 J - Other I 1,567,860.2600 -1,537,118 -2,409,986,070 0
2017-04-28 2016-02-12 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM 3.46% Senior Secured Notes Series I due 6/11/2025 J - Other I 587,947.6000 -576,419 -338,904,297 0
2017-04-28 2016-02-12 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series G Mandatory Redeemable Preferred Stock J - Other I 102,000.0000 -218 -22,236 82
2017-04-28 2016-02-12 4 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series F Mandatory Redeemable Preferred Stock J - Other I 102,000.0000 -116 -11,832 44
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-5) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-3) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-2) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-7) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-6) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-4) D 0
2017-02-27 3 METROPOLITAN LIFE INSURANCE CO/NY CEM ClearBridge Energy MLP Fund Inc. (Exh 99-1) D 0
2016-12-22 2016-12-20 4 Vanderlee Peter CEM Common Stock P - Purchase D 15.2900 300 5 3,300
2016-12-21 2016-12-19 4 Freeman Richard A CEM Common Stock S - Sale D 15.0550 -6,601 -99 47,877
2016-09-19 2016-09-16 4 KAMERICK EILEEN A CEM Common Stock P - Purchase D 15.3848 1,382 21 1,382
2016-07-25 2016-07-21 4 Agdern Robert D CEM Common Stock P - Purchase D 16.0668 3,095 50 3,095
2016-03-29 3 Eakes Brian CEM Common Stock D 0
2016-03-29 3 Johnson Terence CEM Common Stock D 0
2016-03-29 3 Kenney John CEM Common Stock D 0
2016-03-29 3 Eede Justin CEM Common Stock D 0
2016-02-26 2016-02-24 4 PRUDENTIAL FINANCIAL INC By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock J - Other I 103,132.0000 -420 -43,315 160
2016-02-26 2016-02-24 4 PRUDENTIAL FINANCIAL INC By Prudential Retirement Insurance and Annuity Company, a wholly-owned subsidiary of the Reporting P CEM Series C Mandatory Redeemable Preferred Stock J - Other I 102,958.0000 -152 -15,650 58
2015-12-09 2015-12-07 4 COHEN HARRY D CEM Common Stock P - Purchase D 13.9720 10,000 140 57,479
2015-12-03 2015-12-01 4 COHEN HARRY D CEM Common Stock P - Purchase D 18.5200 15,000 278 46,666
2015-09-29 2015-09-25 4 HUTCHINSON WILLIAM R CEM Common Stock S - Sale D 19.2679 -3,499 -67 0
2015-09-29 2015-09-25 4 HUTCHINSON WILLIAM R CEM Common Stock S - Sale I 19.2671 -2,501 -48 0
2015-09-14 2015-09-10 4 COLMAN CAROL L CEM Common Stock S - Sale D 21.0600 -2,000 -42 1,120
2015-07-29 2015-07-28 4 Vanderlee Peter CEM Common Stock P - Purchase D 21.8500 500 11 3,000
2015-06-22 3 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series G Mandatory Redeemable Preferred Stock I 760
2015-06-22 3 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series F Mandatory Redeemable Preferred Stock I 620
2015-06-22 3 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series G Mandatory Redeemable Preferred Stock I 760
2015-06-22 3 AMERICAN INTERNATIONAL GROUP INC Held through subsidiaries CEM Series F Mandatory Redeemable Preferred Stock I 620
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By Prudential Retirement Insurance and Annuity Company, a wholly-owned subsidiary of the Reporting P CEM Series C Mandatory Redeemable Preferred Stock I 1,000
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By Prudential Retirement Insurance and Annuity Company, a wholly-owned subsidiary of the Reporting P CEM Series C Mandatory Redeemable Preferred Stock I 1,000
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock I 1,370
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By Prudential Retirement Insurance and Annuity Company, a wholly-owned subsidiary of the Reporting P CEM Series C Mandatory Redeemable Preferred Stock I 1,000
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock I 1,370
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By Prudential Retirement Insurance and Annuity Company, a wholly-owned subsidiary of the Reporting P CEM Series C Mandatory Redeemable Preferred Stock I 1,000
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock I 1,370
2015-06-22 3 Prudential Retirement Insurance & Annuity Co By The Prudential Insurance Company of America, a wholly-owned subsidiary of the Reporting Person CEM Series D Mandatory Redeemable Preferred Stock I 1,370
2015-04-24 3 Trust Jane CEM Common Stock D 0
2015-03-05 2015-03-03 4 Fuller Kenneth CEM Common Stock P - Purchase D 26.6500 300 8 300
2015-01-16 3 GUARDIAN LIFE INSURANCE CO OF AMERICA CEM Series B Mandatory Redeemable Pref. Stock par value $0.001 D 300
2015-01-16 3 GUARDIAN LIFE INSURANCE CO OF AMERICA CEM Series B Mandatory Redeemable Pref. Stock par value $0.001 D 300
2015-01-14 3 SUN LIFE FINANCIAL INC CEM 3.85% Series A Mandatory Redeemable Preferred Stock D 450
2015-01-14 3 SUN LIFE FINANCIAL INC CEM 3.85% Series A Mandatory Redeemable Preferred Stock D 450
2015-01-14 3 SUN LIFE FINANCIAL INC See Footnote 1. CEM 3.85% Series A Mandatory Redeemable Preferred Stock I 450
2015-01-14 3 SUN LIFE FINANCIAL INC See Footnote 1. CEM 3.85% Series A Mandatory Redeemable Preferred Stock I 450
2015-01-14 3 SUN LIFE FINANCIAL INC See Footnote 1. CEM 3.85% Series A Mandatory Redeemable Preferred Stock I 450
2015-01-14 3 SUN LIFE FINANCIAL INC CEM 3.85% Series A Mandatory Redeemable Preferred Stock D 450
2015-01-09 3 Agdern Robert D CEM Common Stock D 0
2014-10-09 3 Clearbridge Investments, LLC CEM Common Stock D 0
2014-09-23 3 Glasser Scott CEM Common Stock D 0
2014-09-23 3 Olmert Amy CEM Common Stock D 0
2014-09-23 3 Nachtwey Peter CEM Common Stock D 0
2014-09-23 3 List Cynthia CEM Common Stock D 0
2014-09-23 3 Nattans Jeffrey Allen CEM Common Stock D 0
2014-05-07 3 NORTHWESTERN MUTUAL LIFE INSURANCE CO CEM 4.06% Senior Secured Notes, Series C, due July 2022 D 0
2014-05-07 3 NORTHWESTERN MUTUAL LIFE INSURANCE CO By Northwestern Long Term Care Insurance Company CEM 4.06% Senior Secured Notes, Series C, due July 2022 I 0
2014-05-07 3 NORTHWESTERN MUTUAL LIFE INSURANCE CO CEM 4.20% Senior Secured Notes, Series A, due April 2026 D 0
2014-05-02 2014-04-30 4 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By MassMutual Asia Limited CEM Senior Secured Notes Series A Due 2026 P - Purchase I 1.0000 3,600,000 3,600 3,600,000
2014-05-02 2014-04-30 4 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By C.M. Life Insurance company CEM Senior Secured Notes Series A Due 2026 P - Purchase I 1.0000 1,150,000 1,150 1,150,000
2014-05-02 2014-04-30 4 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By Babson Capital Management LLC CEM Senior Secured Notes Series A Due 2026 P - Purchase I 1.0000 2,500,000 2,500 2,500,000
2014-05-02 2014-04-30 4 MASSACHUSETTS MUTUAL LIFE INSURANCE CO CEM Senior Secured Notes Series A Due 2026 P - Purchase D 1.0000 17,750,000 17,750 17,750,000
2013-06-28 2013-06-26 4 Eades Chris CEM Common Stock P - Purchase D 27.0080 1,000 27 2,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO CEM Senior Secured Notes Series A D 45,000,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By MassMutual Asia Limited CEM Senior Secured Notes Series D I 2,900,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO CEM Senior Secured Notes Series B D 45,000,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO CEM Senior Secured Notes Series D D 37,100,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By C.M. Life Insurance company CEM Senior Secured Notes Series A I 5,000,000
2013-06-11 3 MASSACHUSETTS MUTUAL LIFE INSURANCE CO By C.M. Life Insurance company CEM Senior Secured Notes Series B I 5,000,000
2013-06-05 3 Fuller Kenneth CEM Common Stock D 0
2013-02-07 3 KAMERICK EILEEN A CEM Common Stock D 0
2013-01-04 2013-01-02 4 COHEN HARRY D CEM Common Stock P - Purchase I 23.7881 2,000 48 2,000
2013-01-04 2013-01-02 4 COHEN HARRY D CEM Common Stock P - Purchase I 23.7825 2,000 48 4,138
2011-12-02 3 Sennett Richard CEM Common Stock D 0
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）
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