ClearBridge MLP and Midstream Closed End (CEM)

ENERGY: OIL & GAS PRODUCTION
SIC:

620 EIGHTH AVENUE NEW YORK, NY 10018

The Fund seeks to achieve its objective by investing primarily in master limited partnerships (MLPs) in the energy sector. The Fund considers an entity to be within the energy sector if it derives at least 50% of its revenues from the business of exploring, developing, producing, gathering, transporting, processing, storing, refining, distributing, mining or marketing natural gas, natural gas liquids (including propane), crude oil, refined petroleum products or coal.

Data as of 2021-05-08 10:22:55 -0400
Market Cap378.289 Million Shares Outstanding13.913 Million Avg 30-day Volume64.029 Thousand
P/E Ratio Dividend Yield6.729 EPS
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE Enterprise Value
Total Cash Current Debt Gross Profit
BETA1.52061 52-week High/Low27.25 / 10.08 Next Earnings Date Price to Cash FLow (P/CF) -9999999.0
Data provided by IEX Cloud

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View SEC Filings from CEM instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 1 1 0.0% 0 (0.0%) 1 (0.06%) -100.0%
Funds Holding: 55 49 12.24% 11 (0.66%) 8 (0.5%) 37.5%
13F shares: 3.681 Million 3.378 Million 9.0% 1.356 Million 1.215 Million 11.61%
% Ownership 26.1404 23.9829 9.0% 9.6267 8.6253 11.61%
New Positions: 17 7 142.86% 5 2 150.0%
Increased Positions 15 11 36.36% 3 1 200.0%
Closed Positions 11 34 -67.65% 2 5 -60.0%
Reduced Positions 18 29 -37.93% 2 4 -50.0%
Total Calls
Total Puts
PUT/CALL Ratio
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding CEM (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding CEM BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

HUTCHINSON WILLIAM R

  • Director
0 2020-12-04 1

EADES CHRIS

  • PORTFOLIO MANAGER
9,292 2020-11-16 1

EAKES BRIAN

  • MANAGER/INVESTMENT MANAGER
0 2020-09-30 1

FERGERSON LAURA F

  • MANAGER/INVESTMENT MANAGER
0 2020-09-30 1

HOYT GEORGE P. SECRETARY AND CH LGL OFFICER

  • Officer
0 2020-08-13 1

SHANEYFELT GWEN L

  • DIRECTOR OF SUB-ADVISER
0 2020-07-31 1

JOHNSON JENNIFER M

  • DIRECTOR OF SUB-ADVISER
0 2020-07-31 1

PLAFKER JED A.

  • DIRECTOR OF SUB-ADVISER
0 2020-07-31 1

NICHOLLS MATTHEW

  • DIRECTOR OF SUB-ADVISER
0 2020-07-31 1

JENSEN FRED STEVEN CHIEF COMPLIANCE OFFICER

  • Officer
0 2020-04-17 0

AMERICAN INTERNATIONAL GROUP INC

AMERICAN GENERAL LIFE INSURANCE CO

  • SEE REMARKSSEE REMARKS
4,103,805 2020-03-27 0

CLARFELD MICHAEL

  • PORTFOLIO MANAGER
7,000 2020-03-13 0

CRONIN DANIEL P

  • Director
10,066 2020-03-12 0

BOYDSTON LAURA

  • DIRECTOR OF SUB-ADVISER
0 2020-01-01 0

AGDERN ROBERT D

  • Director
0 2019-12-19 0

COHEN HARRY D

  • MAN. DIR & CIO OF SUBADVISER
7,215 2019-11-21 0

BERARDUCCI CHRISTOPHER TREAS/PRINCIPAL FINAN OFFICER

  • Officer
0 2019-09-27 0

KUMAR NISHA

  • Director
0 2019-01-01 0

GLASSER SCOTT

  • CO-CHIEF INV. OFFICER SUB ADV.
0 2018-12-31 0

FREEMAN RICHARD A

  • PORTFOLIO MANAGER OF THE FUND
0 2018-12-28 0

MURPHY TERRENCE

  • CEO OF SUBADVISER
0 2018-12-12 0

MANNING BARBARA BROOKE

  • CCO/GC OF SUBADVISER
0 2018-12-04 0

KNIGHTS OF COLUMBUS

  • 10% Owner
90,393,013 2018-05-31 0

COLMAN CAROL L

  • Director
8,120 2018-03-12 0

BERG JENNIFER S TREASURER

  • Officer
0 2018-01-01 0

VANDERLEE PETER

  • PORTFOLIO MANAGER OF THE FUND
2,800 2017-12-07 0

CASHMAN FRANCES

  • DIRECTOR OF SUBADVISER
0 2017-05-23 0

KUEHL TODD F CHIEF COMPLIANCE OFFICER

  • Officer
0 2017-05-11 0

KAMERICK EILEEN A

  • Director
1,382 2016-09-16 0

PRUDENTIAL FINANCIAL INC

PRUDENTIAL INSURANCE CO OF AMERICA

PRUDENTIAL RETIREMENT INSURANCE & ANNUITY CO

  • 10% Owner
218 2016-02-24 0

JOHNSON TERENCE

  • DIRECTOR OF SUBADVISER
0 2015-06-25 0

KENNEY JOHN

  • DIRECTOR OF SUBADVISER
0 2015-06-25 0

EEDE JUSTIN

  • DIRECTOR OF SUBADVISER
0 2015-06-25 0

AMERICAN INTERNATIONAL GROUP INC

  • SEE REMARKS SECTION
460 2015-06-11 0

METROPOLITAN LIFE INSURANCE CO/NY

  • 10% Owner
14,100,000 2015-06-11 0

TRUST JANE

  • SVP OF THE MANAGER
0 2015-04-15 0

FULLER KENNETH CEO, PRES. & CHAIRMAN

  • Officer
  • Director
  • CEO & PRES. OF MANAGER
300 2015-03-03 0

SUN LIFE ASSURANCE CO OF CANADA

SUN LIFE FINANCIAL INC

  • 10% Owner
300 2015-01-08 0

GUARDIAN LIFE INSURANCE CO OF AMERICA

  • 10% Owner
150 2015-01-08 0

MASSACHUSETTS MUTUAL LIFE INSURANCE CO

  • 10% Owner
165,000,000 2014-04-30 0

NORTHWESTERN MUTUAL LIFE INSURANCE CO

  • SEE GENERAL REMARKS BELOW
65,000,000 2014-04-30 0

LIST CYNTHIA

  • CFO OF SUBADVISER
0 2011-12-01 0

SENNETT RICHARD PRINCIPAL FINANCIAL OFFICER

  • Officer
0 2011-12-01 0

NATTANS JEFFREY ALLEN

  • DIRECTOR OF SUBADVISER
0 2011-10-01 0

NACHTWEY PETER

  • SEE REMARKS
0 2011-03-24 0

OLMERT AMY

  • MANAGER OF INVESTMENT MANAGER
0 2011-03-24 0

CLEARBRIDGE INVESTMENTS, LLC

  • SUBADVISER OF FUND
0 2010-06-24 0

ROETT RIORDAN

  • Director
0 2010-06-24 0

SUNDMAN PETER E

  • DIR., PRES.&CEO OF SUBADVISER
0 2010-06-24 0

SALACUSE JESWALD W

  • Director
0 2010-06-24 0

DALEY CHARLES J JR

  • DIR OF MGR/DIR OF SUBADVISER
0 2010-06-24 0

CUCCHI PAOLO M

  • Director
0 2010-06-24 0

GELB LESLIE H

  • Director
0 2010-06-24 0

GERKEN R JAY PRES., CEO & CHAIRMAN

  • Officer
  • Director
  • CEO & PRES. OF MANAGER
1,000 2010-06-24 0

FRENKEL ROBERT I CLO AND SECRETARY

  • Officer
0 2010-06-24 0

OZSOLAK KAPREL CFO

  • Officer
0 2010-06-24 0

ODENATH DAVID R

  • DIR. OF MANAGER AND SUBADVISER
0 2010-06-24 0

MANDIA THOMAS C ASSISTANT SECRETARY

  • Officer
  • SECRETARY OF MANAGER
0 2010-06-24 0

SHEPLER ROBERT P

  • SENIOR VP OF THE MANAGER
0 2010-06-24 0

KELLY JEANNE SENIOR VP

  • Officer
  • SENIOR VP OF MANAGER
0 2010-06-24 0

BECKER TED P CHIEF COMPLIANCE OFFICER

  • Officer
  • CCO OF MANAGER
0 2010-06-24 0

LEGG MASON PARTNERS FUND ADVISOR, LLC

  • MANAGER OF THE FUND
0 2010-06-24 0

DEL GUERCIO ROCCO

  • CFO & TREASURER OF THE MANAGER
0 2010-06-24 0

RENAHAN WILLIAM J ASSISTANT SECRETARY

  • Officer
0 2010-06-24 0

LASKAJ ALBERT ASSISTANT TREASURER

  • Officer
0 2010-06-24 0

FRANK STEVEN TREASURER

  • Officer
0 2010-06-24 0

LEGG MASON INC

  • PARENT OF THE MANAGER
0 2010-06-24 0

LARRABEE LEONARD

  • SECRETARY OF THE SUBADVISER
0 2010-06-24 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 22:15:04 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 21:45:02 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 21:15:02 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 20:45:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 20:15:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 19:45:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 19:15:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 18:45:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 18:15:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 17:45:02 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 17:15:03 UTC -2.0761 2.1261 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 16:45:03 UTC -3.1058 3.1558 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 16:15:03 UTC -3.1058 3.1558 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 15:45:03 UTC -3.1058 3.1558 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 15:15:03 UTC -3.1058 3.1558 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 14:45:04 UTC -3.0939 3.1439 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 14:15:04 UTC -3.0939 3.1439 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 13:45:04 UTC -3.0939 3.1439 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 13:15:03 UTC -3.0939 3.1439 350000
CLEARBRIDGE MLP & MIDSTREAM CEM 2021-05-10 12:45:02 UTC -3.0939 3.1439 350000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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