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 2022
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Dec 31, 2022. 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
- 75
- +7 vs. Q3 2022
- Shares held
- 4.58M
- −69.6K (−1.5%) vs. Q3 2022
- Total value
- $149.8M
- +$17.8M (+13.5%) vs. Q3 2022
- New holders
- 16
- 20 more added
- Sold out
- 9
- 20 more reduced
4 institutions that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2022: 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 2022
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Saba Capital Management, L.P. | 922,884 | $30.8M | 0.52% | +342,691+59.1% | Added |
| Morgan Stanley | 686,310 | $22.9M | 0.00% | +17,980+2.7% | Added |
| Bank of America Corp | 332,413 | $11.1M | 0.00% | −34,906−9.5% | Reduced |
| McGowan Group Asset Management, Inc. | 276,833 | $9.24M | 1.47% | −96,785−25.9% | Reduced |
| Aristides Capital LLC | 216,852 | $7.23M | 4.46% | 00.0% | Unchanged |
| Terril Brothers, Inc. | 175,159 | $5.84M | 2.86% | +14,112+8.8% | Added |
| Wells Fargo & Company | 171,972 | $5.74M | 0.00% | −7,897−4.4% | Reduced |
| 1832 Asset Management L.P. | 165,359 | $5.52M | 0.01% | 00.0% | Unchanged |
| UBS Group AG | 152,347 | $5.08M | 0.00% | +44,124+40.8% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 130,039 | $4.34M | 1.78% | −3,028−2.3% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 125,070 | $4.17M | 0.01% | −1,463−1.2% | Reduced |
| Advisors Asset Management, Inc. | 104,509 | $3.49M | 0.07% | +11,071+11.8% | Added |
| Woodline Partners LP | 169,106 | $2.88M | 0.04% | +169,106 | New |
| Commonwealth Equity Services, LLC | 74,832 | $2.50M | 0.01% | +5,303+7.6% | Added |
| Kayne Anderson Capital Advisors LP | 74,440 | $2.48M | 0.07% | 00.0% | Unchanged |
| Quantedge Capital Pte Ltd | 71,546 | $2.39M | 0.80% | −48,515−40.4% | Reduced |
| Royal Bank of Canada | 61,666 | $2.06M | 0.00% | −5,599−8.3% | Reduced |
| Matisse Capital | 58,000 | $1.93M | 1.72% | 00.0% | Unchanged |
| Clearbridge Investments, LLC | 56,360 | $1.88M | 0.00% | −700−1.2% | Reduced |
| Cornerstone Advisors, LLC | 52,518 | $1.75M | 0.09% | −240,527−82.1% | Reduced |
| Ameriprise Financial Inc | 47,518 | $1.58M | 0.00% | −1,477−3.0% | Reduced |
| Sit Investment Associates Inc | 41,736 | $1.39M | 0.04% | −3,000−6.7% | Reduced |
| Guggenheim Capital LLC | 35,049 | $1.17M | 0.01% | +8,375+31.4% | Added |
| Steward Partners Investment Advisory, LLC | 33,821 | $1.13M | 0.02% | +2,438+7.8% | Added |
| Edgemoor Investment Advisors, Inc. | 32,525 | $1.09M | 0.14% | −1,600−4.7% | Reduced |
| Almitas Capital LLC | 30,444 | $1.02M | 0.47% | +30,444 | New |
| Transcend Wealth Collective, LLC | 24,048 | $802.2K | 0.09% | +500+2.1% | Added |
| Raymond James & Associates | 19,045 | $635.3K | 0.00% | −5,981−23.9% | Reduced |
| M&T Bank Corp | 17,165 | $572.6K | 0.00% | 00.0% | Unchanged |
| Cambridge Investment Research Advisors, Inc. | 15,270 | $509.0K | 0.00% | −301−1.9% | Reduced |
| HighTower Advisors, LLC | 15,155 | $503.0K | 0.00% | +15,155 | New |
| LPL Financial LLC | 13,928 | $464.6K | 0.00% | +170+1.2% | Added |
| Verus Capital Partners, LLC | 13,880 | $463.0K | 0.09% | +400+3.0% | Added |
| Advisor Group Holdings, Inc. | 13,120 | $436.6K | 0.00% | +3,043+30.2% | Added |
| Weiss Asset Management LP | 12,688 | $423.3K | 0.02% | +12,688 | New |
| US Bancorp | 12,500 | $417.0K | 0.00% | +9,800+363.0% | Added |
| Invesco Ltd. | 10,782 | $359.7K | 0.00% | −4,905−31.3% | Reduced |
| D.A. Davidson & Co. | 10,070 | $335.9K | 0.00% | +17+0.2% | Added |
| Laurel Wealth Advisors, Inc. | 9,728 | $325.0K | 0.03% | 00.0% | Unchanged |
| Oxbow Advisors, LLC | 8,530 | $284.6K | 0.05% | 00.0% | Unchanged |
| Laidlaw Wealth Management LLC | 8,179 | $272.9K | 0.06% | +8,179 | New |
| Stephens Inc | 8,062 | $269.0K | 0.01% | +327+4.2% | Added |
| InterOcean Capital Group, LLC | 8,000 | $266.9K | 0.01% | 00.0% | Unchanged |
| Icon Wealth Advisors, LLC | 7,439 | $248.2K | 0.03% | 00.0% | Unchanged |
| Coastal Investment Advisors, Inc. | 7,418 | $247.5K | 0.06% | +7,418 | New |
| First Republic Investment Management, Inc. | 6,522 | $217.6K | 0.00% | +6,522 | New |
| Stifel Financial Corp | 6,047 | $201.7K | 0.00% | +6,047 | New |
| IFP Advisors, Inc | 12,716 | $178.0K | 0.01% | −3,661−22.4% | Reduced |
| Rockefeller Capital Management L.P. | 4,800 | $160.0K | 0.00% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 4,060 | $135.4K | 0.00% | 00.0% | Unchanged |
| Eagle Bay Advisors LLC | 2,900 | $96.7K | 0.05% | +100+3.6% | Added |
| Harbor Investment Advisory, LLC | 2,061 | $68.8K | 0.01% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 1,600 | $53.4K | 0.00% | 00.0% | Unchanged |
| GWM Advisors LLC | 1,164 | $38.8K | 0.00% | +1,164 | New |
| Northwestern Mutual Wealth Management Co | 616 | $20.6K | 0.00% | −180−22.6% | Reduced |
| Avion Wealth | 700 | $20.0K | 0.01% | 00.0% | Unchanged |
| Tradition Wealth Management, LLC | 535 | $18.0K | 0.00% | −257−32.4% | Reduced |
| Private Trust Co NA | 544 | $18.0K | 0.00% | 00.0% | Unchanged |
| Freedom Wealth Alliance, LLC | 516 | $17.2K | 0.02% | +516 | New |
| JPMorgan Chase & Co | 480 | $16.0K | 0.00% | +480 | New |
| Cribstone Capital Management, LLC | 401 | $13.4K | 0.01% | +400+40,000.0% | Added |
| Lakewood Asset Management LLC | 200 | $7.00K | 0.01% | +200 | New |
| Caldwell Trust Co | 200 | $6.67K | 0.00% | 00.0% | Unchanged |
| Robinson Capital Management, LLC | 200 | $6.34K | 0.00% | 00.0% | Unchanged |
| Cambridge Trust Co | 193 | $6.00K | 0.00% | 00.0% | Unchanged |
| Bessemer Group Inc | 175 | $6.00K | 0.00% | −2−1.1% | Reduced |
| SOA Wealth Advisors, LLC. | 161 | $5.38K | 0.00% | +3+1.9% | Added |
| Bogart Wealth, LLC | 142 | $4.73K | 0.00% | +3+2.2% | Added |
| Lansing Street Advisors | 112 | $3.74K | 0.00% | +112 | New |
| Wolff Wiese Magana LLC | 105 | $3.50K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 104 | $3.47K | 0.00% | +54+108.0% | Added |
| Accurate Wealth Management, LLC | 100 | $3.43K | 0.00% | +100 | New |
| Harbour Investments, Inc. | 28 | $934 | 0.00% | −60−68.2% | Reduced |
| FMR LLC | 1 | $33 | 0.00% | +1 | New |
| Tower Research Capital LLC (TRC) | 1 | $0 | 0.00% | +1 | New |
| Wolverine Asset Management LLC | 0 | $0 | 0.00% | −39,434−100.0% | Sold out |
| OTA Financial Group L.P. | 0 | $0 | 0.00% | −33,999−100.0% | Sold out |
| Proficio Capital Partners LLC | 0 | $0 | 0.00% | −15,401−100.0% | Sold out |
| Envestnet Asset Management Inc | 0 | $0 | 0.00% | −10,593−100.0% | Sold out |
| Truist Financial Corp | 0 | $0 | 0.00% | −9,071−100.0% | Sold out |
| HBK Sorce Advisory LLC | 0 | $0 | 0.00% | −215,000−100.0% | Sold out |
| Ellis Investment Partners, LLC | 0 | $0 | 0.00% | −1,910−100.0% | Sold out |
| GPS Wealth Strategies Group, LLC | 0 | $0 | 0.00% | −1,703−100.0% | Sold out |
| HM Payson & Co | 0 | $0 | 0.00% | −700−100.0% | Sold out |
| Hightower 6M Holding, LLC | – | – | – | – | Not filed |
| FourThought Financial, LLC | – | – | – | – | Not filed |
| American Portfolios Advisors | – | – | – | – | Not filed |
| Strategic Asset Management, LLC | – | – | – | – | Not filed |