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PRUDENTIAL FINANCIAL INC — Director's Dealing 2022
Nov 21, 2022
30092_dirs_2022-11-21_8afd69ed-8914-46e2-ba32-4d8f1e9cada3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ClearBridge Energy Midstream Opportunity Fund Inc. (EMO)
CIK: 0001517518
Period of Report: 2022-11-17
Reporting Person: PRUDENTIAL FINANCIAL INC (10% Owner)
Reporting Person: PRUDENTIAL INSURANCE CO OF AMERICA (10% Owner)
Reporting Person: PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-11-17 | Series G Mandatory Redeemable Preferred Stock | J | 24 | $100000 | Disposed | 0 | Indirect |
| 2022-11-17 | Series K Mandatory Redeemable Preferred Stock | J | 24 | $100000 | Acquired | 24 | Indirect |
| 2022-11-17 | Series G Mandatory Redeemable Preferred Stock | J | 85 | $100000 | Disposed | 0 | Indirect |
| 2022-11-17 | Series K Mandatory Redeemable Preferred Stock | J | 85 | $100000 | Acquired | 85 | Indirect |
| 2022-11-17 | Series L Mandatory Redeemable Preferred Stock | P | 166667 | $30 | Acquired | 166667 | Indirect |
Footnotes
F1: Share transfer to Issuer on 11/17/2022 in exchange for Series K Mandatory Redeemable Preferred Stock.
F2: As grantor of the PICA Hartford Life & Annuity Comfort Trust.
F3: Share transfer from Issuer on 11/17/2022 in exchange for Series G Mandatory Redeemable Preferred Stock.
F4: Preferred stock owned directly by Prudential Legacy Insurance Company of New Jersey, a ten percent owner of a class, and indirectly owned by Prudential Financial, Inc., its parent holding company.