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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PRUDENTIAL FINANCIAL INC 751 BROAD ST NEWARK, NJ 07102 |
See Footnote 1 | |||
PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY 751 BROAD STREET NEWARK, NJ 07102 |
See Footnote 1 | |||
PRUDENTIAL INSURANCE CO OF AMERICA 751 BROAD STREET NEWARK, NJ 07102 |
See Footnote 1 |
Prudential Financial, Inc., by: /s/Hillary Lorenzo, Vice President | 11/20/2018 | |
**Signature of Reporting Person | Date | |
The Prudential Insurance Company of America, by: /s/Christopher Halloran, Vice President | 11/20/2018 | |
**Signature of Reporting Person | Date | |
Prudential Legacy Insurance Company of New Jersey, By:PGIM, Inc., as Investment Manager, by:/s/Christopher Halloran, Vice President | 11/20/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | (1)Previous 10% Owner of Preferred Share Securities of CBA; as of 11/16/2018, 10% Owner of Preferred Share Securities of EMO. |
(2) | (2)Share exchange/replacement by Clearbridge Energy MidStream Opportunity Fund Inc. (ticker EMO) due to CBAs merger into EMO on 11/16/2018. |