ClearBridge MLP & Midstream Fund Inc.
CEMDelisted Sep 9, 2024- SEC CIK
- 0001488775
ClearBridge MLP & Midstream Fund Inc. was delisted on Sep 9, 2024; its insiders filed their last Form 4 on Sep 11, 2024; 51 institutions reported holding it in 13F filings for Q2 2024, worth $95.7M in total; no superinvestor held it.
13F holders, Q4 2021
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Dec 31, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 73
- +2 vs. Q3 2021
- Shares held
- 4.20M
- +409.9K (+10.8%) vs. Q3 2021
- Total value
- $113.2M
- +$10.1M (+9.8%) vs. Q3 2021
- New holders
- 12
- 25 more added
- Sold out
- 10
- 23 more reduced
1 institution that held it in Q3 2021 haven't filed for Q4 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting CEM on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 0 | $0 |
| Q4 2025 | 0 | $0 |
| Q3 2025 | 0 | $0 |
| Q2 2025 | 0 | $0 |
| Q1 2025 | 0 | $0 |
| Q4 2024 | 0 | $0 |
| Q3 2024 | 1 | $2.45M |
| Q2 2024 | 51 | $95.7M |
| Q1 2024 | 76 | $253.8M |
| Q4 2023 | 78 | $216.2M |
| Q3 2023 | 72 | $174.6M |
| Q2 2023 | 69 | $169.4M |
| Q1 2023 | 69 | $149.8M |
| Q4 2022 | 75 | $149.8M |
| Q3 2022 | 72 | $132.5M |
| Q2 2022 | 74 | $125.2M |
| Q1 2022 | 74 | $146.9M |
| Q4 2021 | 73 | $113.2M |
| Q3 2021 | 72 | $103.4M |
| Q2 2021 | 72 | $105.5M |
| Q1 2021 | 67 | $83.7M |
Institutions, Q4 2021
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 684,999 | $18.4M | 0.00% | −19,122−2.7% | Reduced |
| Sit Investment Associates Inc | 388,161 | $10.4M | 0.25% | +180,171+86.6% | Added |
| McGowan Group Asset Management, Inc. | 386,571 | $10.4M | 1.83% | −10,314−2.6% | Reduced |
| Bank of America Corp | 352,400 | $9.48M | 0.00% | +26,235+8.0% | Added |
| Cornerstone Advisors, LLC | 295,545 | $7.95M | 0.43% | +28,563+10.7% | Added |
| Aristides Capital LLC | 216,852 | $5.83M | 3.37% | 00.0% | Unchanged |
| Terril Brothers, Inc. | 164,402 | $4.42M | 0.97% | +57,643+54.0% | Added |
| Wolverine Asset Management LLC | 153,861 | $4.14M | 0.05% | +58,112+60.7% | Added |
| Quantedge Capital Pte Ltd | 130,261 | $3.50M | 1.48% | +5,544+4.4% | Added |
| Wells Fargo & Company | 126,630 | $3.41M | 0.00% | −3,990−3.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 118,528 | $3.19M | 0.01% | +25,101+26.9% | Added |
| UBS Group AG | 102,814 | $2.77M | 0.00% | +9,295+9.9% | Added |
| Kayne Anderson Capital Advisors LP | 84,942 | $2.29M | 0.07% | +102+0.1% | Added |
| Royal Bank of Canada | 79,119 | $2.13M | 0.00% | +1,064+1.4% | Added |
| Guggenheim Capital LLC | 74,436 | $2.00M | 0.01% | −2,461−3.2% | Reduced |
| Segantii Capital Management Ltd | 61,625 | $1.66M | 0.05% | +61,625 | New |
| Clearbridge Investments, LLC | 61,560 | $1.66M | 0.00% | −200−0.3% | Reduced |
| Commonwealth Equity Services, LLC | 58,016 | $1.56M | 0.00% | +3,505+6.4% | Added |
| Matisse Capital | 56,526 | $1.52M | 1.05% | +56,526 | New |
| Thomas J. Herzfeld Advisors, Inc. | 54,596 | $1.47M | 0.53% | −9,595−14.9% | Reduced |
| Advisors Asset Management, Inc. | 54,363 | $1.46M | 0.02% | −8,582−13.6% | Reduced |
| Ameriprise Financial Inc | 54,549 | $1.46M | 0.00% | −1,945−3.4% | Reduced |
| Edgemoor Investment Advisors, Inc. | 41,175 | $1.11M | 0.11% | +1,130+2.8% | Added |
| 6 Meridian | 37,246 | $1.00M | 0.07% | −11,938−24.3% | Reduced |
| Walleye Capital LLC | 36,312 | $977.0K | 0.03% | +36,312 | New |
| Transcend Wealth Collective, LLC | 29,048 | $782.0K | 0.07% | −300−1.0% | Reduced |
| Raymond James & Associates | 28,978 | $780.0K | 0.00% | −2,322−7.4% | Reduced |
| Invesco Ltd. | 27,048 | $728.0K | 0.00% | +11,230+71.0% | Added |
| Landscape Capital Management, L.L.C. | 23,719 | $638.0K | 0.09% | −47,374−66.6% | Reduced |
| Bank of Montreal | 19,551 | $618.0K | 0.00% | +19,551 | New |
| J.W. Cole Advisors, Inc. | 20,517 | $552.0K | 0.04% | +861+4.4% | Added |
| Cambridge Investment Research Advisors, Inc. | 19,562 | $526.0K | 0.00% | +2,285+13.2% | Added |
| LPL Financial LLC | 14,938 | $402.0K | 0.00% | +2,215+17.4% | Added |
| Envestnet Asset Management Inc | 14,948 | $402.0K | 0.00% | +2,480+19.9% | Added |
| Stifel Financial Corp | 13,648 | $367.0K | 0.00% | 00.0% | Unchanged |
| Truist Financial Corp | 11,731 | $316.0K | 0.00% | +633+5.7% | Added |
| Steward Partners Investment Advisory, LLC | 11,676 | $314.0K | 0.00% | +1,495+14.7% | Added |
| D.A. Davidson & Co. | 9,946 | $268.0K | 0.00% | +102+1.0% | Added |
| Oxbow Advisors, LLC | 9,925 | $267.0K | 0.03% | 00.0% | Unchanged |
| Laurel Wealth Advisors, Inc. | 9,728 | $262.0K | 0.02% | −320−3.2% | Reduced |
| Laidlaw Wealth Management LLC | 9,598 | $258.0K | 0.04% | +9,598 | New |
| Cetera Advisor Networks LLC | 7,489 | $202.0K | 0.00% | −365−4.6% | Reduced |
| Icon Wealth Partners, LLC | 7,439 | $200.0K | 0.02% | −4,650−38.5% | Reduced |
| Advisor Group Holdings, Inc. | 6,170 | $167.0K | 0.00% | −9,970−61.8% | Reduced |
| Rockefeller Capital Management L.P. | 4,800 | $129.0K | 0.00% | 00.0% | Unchanged |
| FourThought Financial, LLC | 3,485 | $94.0K | 0.01% | −2,492−41.7% | Reduced |
| Cullen/Frost Bankers, Inc. | 3,300 | $89.0K | 0.00% | 00.0% | Unchanged |
| US Bancorp | 2,700 | $73.0K | 0.00% | −12,000−81.6% | Reduced |
| Eagle Bay Advisors LLC | 2,400 | $65.0K | 0.04% | −2,400−50.0% | Reduced |
| Harbor Investment Advisory, LLC | 2,114 | $57.0K | 0.01% | −89−4.0% | Reduced |
| Ellis Investment Partners, LLC | 1,889 | $50.0K | 0.01% | +16+0.9% | Added |
| GPS Wealth Strategies Group, LLC | 1,637 | $44.0K | 0.01% | 00.0% | Unchanged |
| Assetmark, Inc | 1,634 | $44.0K | 0.00% | +1,634 | New |
| The PNC Financial Services Group, Inc. | 1,600 | $43.0K | 0.00% | 00.0% | Unchanged |
| Northwestern Mutual Wealth Management Co | 1,490 | $40.0K | 0.00% | −2,442−62.1% | Reduced |
| Spire Wealth Management | 1,334 | $36.0K | 0.00% | +1,264+1,805.7% | Added |
| Bessemer Group Inc | 1,013 | $27.0K | 0.00% | +1,013 | New |
| Paragon Capital Management Ltd | 902 | $24.0K | 0.00% | +902 | New |
| Tradition Wealth Management, LLC | 753 | $20.0K | 0.00% | +13+1.8% | Added |
| Proequities, Inc. | 481 | $13.0K | 0.00% | 00.0% | Unchanged |
| Caldwell Trust Co | 200 | $5.38K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 200 | $5.00K | 0.00% | −240−54.5% | Reduced |
| Bogart Wealth, LLC | 133 | $4.00K | 0.00% | +3+2.3% | Added |
| Capital Analysts, LLC | 152 | $4.00K | 0.00% | +152 | New |
| Amplius Wealth Advisors, LLC | 167 | $4.00K | 0.00% | +167 | New |
| SOA Wealth Advisors, LLC. | 150 | $3.00K | 0.00% | +2+1.4% | Added |
| Wolff Wiese Magana LLC | 105 | $3.00K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 88 | $2.00K | 0.00% | −21−19.3% | Reduced |
| Geneos Wealth Management Inc. | 50 | $1.00K | 0.00% | 00.0% | Unchanged |
| Strategic Asset Management, LLC | 20 | $1.00K | 0.00% | +20 | New |
| Eaton Vance Management | 18 | $0 | 0.00% | 00.0% | Unchanged |
| Cribstone Capital Management, LLC | 1 | $0 | 0.00% | 00.0% | Unchanged |
| Snowden Capital Advisors LLC | 20 | $0 | 0.00% | +20 | New |
| HighTower Advisors, LLC | 0 | $0 | 0.00% | −38,203−100.0% | Sold out |
| Arkadios Wealth Advisors | 0 | $0 | 0.00% | −2,055−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −1,774−100.0% | Sold out |
| Jacobi Capital Management LLC | 0 | $0 | 0.00% | −540−100.0% | Sold out |
| Citigroup Inc | 0 | $0 | 0.00% | −300−100.0% | Sold out |
| Ellevest, Inc. | 0 | $0 | 0.00% | −268−100.0% | Sold out |
| Eukles Asset Management | 0 | $0 | 0.00% | −135−100.0% | Sold out |
| Tower Research Capital LLC (TRC) | 0 | $0 | 0.00% | −100−100.0% | Sold out |
| West Branch Capital LLC | 0 | $0 | 0.00% | −114−100.0% | Sold out |
| Herold Advisors, Inc. | 0 | $0 | 0.00% | −50−100.0% | Sold out |
| Black Maple Capital Management LP | – | – | – | – | Not filed |