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, Q1 2023
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Mar 31, 2023. 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
- 69
- −3 vs. Q4 2022
- Shares held
- 4.63M
- +70.7K (+1.5%) vs. Q4 2022
- Total value
- $149.8M
- +$532.0K (+0.4%) vs. Q4 2022
- New holders
- 12
- 16 more added
- Sold out
- 15
- 23 more reduced
3 institutions that held it in Q4 2022 haven't filed for Q1 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 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, Q1 2023
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Saba Capital Management, L.P. | 1,199,377 | $38.8M | 0.94% | +276,493+30.0% | Added |
| Morgan Stanley | 675,144 | $21.9M | 0.00% | −11,166−1.6% | Reduced |
| Penserra Capital Management LLC | 294,325 | $9.53M | 0.20% | +294,325 | New |
| Bank of America Corp | 286,054 | $9.26M | 0.00% | −46,359−13.9% | Reduced |
| McGowan Group Asset Management, Inc. | 225,275 | $7.29M | 1.16% | −51,558−18.6% | Reduced |
| Aristides Capital LLC | 193,475 | $6.26M | 3.95% | −23,377−10.8% | Reduced |
| Terril Brothers, Inc. | 171,244 | $5.54M | 2.60% | −3,915−2.2% | Reduced |
| Woodline Partners LP | 169,106 | $5.47M | 0.08% | 00.0% | Unchanged |
| Wells Fargo & Company | 151,164 | $4.89M | 0.00% | −20,808−12.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 126,044 | $4.08M | 0.01% | +974+0.8% | Added |
| Advisors Asset Management, Inc. | 103,516 | $3.35M | 0.07% | −993−1.0% | Reduced |
| UBS Group AG | 88,873 | $2.88M | 0.00% | −63,474−41.7% | Reduced |
| Thomas J. Herzfeld Advisors, Inc. | 84,038 | $2.72M | 1.10% | −46,001−35.4% | Reduced |
| Commonwealth Equity Services, LLC | 81,623 | $2.64M | 0.01% | +6,791+9.1% | Added |
| Kayne Anderson Capital Advisors LP | 74,440 | $2.41M | 0.07% | 00.0% | Unchanged |
| Royal Bank of Canada | 61,186 | $1.98M | 0.00% | −480−0.8% | Reduced |
| Matisse Capital | 58,000 | $1.88M | 1.21% | 00.0% | Unchanged |
| Clearbridge Investments, LLC | 56,360 | $1.82M | 0.00% | 00.0% | Unchanged |
| Quantedge Capital Pte Ltd | 53,346 | $1.73M | 0.67% | −18,200−25.4% | Reduced |
| Ameriprise Financial Inc | 47,319 | $1.53M | 0.00% | −199−0.4% | Reduced |
| Guggenheim Capital LLC | 44,638 | $1.44M | 0.01% | +9,589+27.4% | Added |
| Steward Partners Investment Advisory, LLC | 37,345 | $1.21M | 0.02% | +3,524+10.4% | Added |
| Goldman Sachs Group Inc | 35,468 | $1.15M | 0.00% | +35,468 | New |
| Edgemoor Investment Advisors, Inc. | 30,684 | $993.2K | 0.12% | −1,841−5.7% | Reduced |
| Transcend Wealth Collective, LLC | 23,548 | $762.2K | 0.08% | −500−2.1% | Reduced |
| Wolverine Asset Management LLC | 18,393 | $595.4K | 0.01% | +18,393 | New |
| Sit Investment Associates Inc | 18,065 | $585.0K | 0.02% | −23,671−56.7% | Reduced |
| Raymond James & Associates | 17,947 | $581.0K | 0.00% | −1,098−5.8% | Reduced |
| M&T Bank Corp | 17,165 | $555.6K | 0.00% | 00.0% | Unchanged |
| LPL Financial LLC | 15,019 | $486.1K | 0.00% | +1,091+7.8% | Added |
| Advisor Group Holdings, Inc. | 14,198 | $460.3K | 0.00% | +1,078+8.2% | Added |
| Verus Capital Partners, LLC | 13,780 | $446.1K | 0.07% | −100−0.7% | Reduced |
| Proficio Capital Partners LLC | 12,530 | $405.6K | 0.06% | +12,530 | New |
| US Bancorp | 12,500 | $404.6K | 0.00% | 00.0% | Unchanged |
| Integrated Wealth Concepts LLC | 10,108 | $327.0K | 0.01% | +10,108 | New |
| D.A. Davidson & Co. | 9,977 | $323.0K | 0.00% | −93−0.9% | Reduced |
| Oxbow Advisors, LLC | 8,530 | $276.1K | 0.05% | 00.0% | Unchanged |
| Stephens Inc | 8,136 | $263.4K | 0.01% | +74+0.9% | Added |
| Laidlaw Wealth Management LLC | 8,062 | $261.0K | 0.05% | −117−1.4% | Reduced |
| InterOcean Capital Group, LLC | 8,000 | $259.0K | 0.01% | 00.0% | Unchanged |
| First Republic Investment Management, Inc. | 7,200 | $233.1K | 0.00% | +678+10.4% | Added |
| CSS LLC | 7,174 | $232.2K | 0.02% | +7,174 | New |
| HighTower Advisors, LLC | 7,070 | $228.0K | 0.00% | −8,085−53.3% | Reduced |
| Icon Wealth Partners, LLC | 6,788 | $219.7K | 0.02% | +6,788 | New |
| Coastal Investment Advisors, Inc. | 6,321 | $204.6K | 0.05% | −1,097−14.8% | Reduced |
| IFP Advisors, Inc | 13,789 | $191.5K | 0.01% | +1,073+8.4% | Added |
| Sunbelt Securities, Inc. | 4,600 | $148.3K | 0.02% | +4,600 | New |
| Cullen/Frost Bankers, Inc. | 4,060 | $131.4K | 0.00% | 00.0% | Unchanged |
| Eagle Bay Advisors LLC | 2,900 | $93.9K | 0.05% | 00.0% | Unchanged |
| Harbor Investment Advisory, LLC | 2,070 | $67.0K | 0.01% | +9+0.4% | Added |
| GPS Wealth Strategies Group, LLC | 1,953 | $63.2K | 0.01% | +1,953 | New |
| The PNC Financial Services Group, Inc. | 1,600 | $51.8K | 0.00% | 00.0% | Unchanged |
| Elequin Capital LP | 983 | $31.8K | 0.02% | +983 | New |
| Bogart Wealth, LLC | 767 | $24.8K | 0.00% | +625+440.1% | Added |
| Northwestern Mutual Wealth Management Co | 744 | $24.1K | 0.00% | +128+20.8% | Added |
| Tradition Wealth Management, LLC | 545 | $18.0K | 0.00% | +10+1.9% | Added |
| Private Trust Co NA | 544 | $17.6K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 444 | $14.0K | 0.00% | −36−7.5% | Reduced |
| Caldwell Trust Co | 200 | $6.47K | 0.00% | 00.0% | Unchanged |
| Cambridge Trust Co | 193 | $6.25K | 0.00% | 00.0% | Unchanged |
| Avion Wealth | 200 | $6.00K | 0.00% | −500−71.4% | Reduced |
| SOA Wealth Advisors, LLC. | 164 | $5.32K | 0.00% | +3+1.9% | Added |
| Lansing Street Advisors | 112 | $3.63K | 0.00% | 00.0% | Unchanged |
| Wolff Wiese Magana LLC | 105 | $3.40K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 104 | $3.37K | 0.00% | 00.0% | Unchanged |
| Creative Financial Designs Inc | 104 | $3.37K | 0.00% | +104 | New |
| Larson Financial Group LLC | 99 | $3.21K | 0.00% | +99 | New |
| Harbour Investments, Inc. | 28 | $906 | 0.00% | 00.0% | Unchanged |
| Tower Research Capital LLC (TRC) | 6 | $0 | 0.00% | +5+500.0% | Added |
| 1832 Asset Management L.P. | 0 | $0 | 0.00% | −165,359−100.0% | Sold out |
| Cornerstone Advisors, LLC | 0 | $0 | 0.00% | −52,518−100.0% | Sold out |
| Almitas Capital LLC | 0 | $0 | 0.00% | −30,444−100.0% | Sold out |
| Cambridge Investment Research Advisors, Inc. | 0 | $0 | 0.00% | −15,270−100.0% | Sold out |
| Weiss Asset Management LP | 0 | $0 | 0.00% | −12,688−100.0% | Sold out |
| Invesco Ltd. | 0 | $0 | 0.00% | −10,782−100.0% | Sold out |
| Stifel Financial Corp | 0 | $0 | 0.00% | −6,047−100.0% | Sold out |
| Rockefeller Capital Management L.P. | 0 | $0 | 0.00% | −4,800−100.0% | Sold out |
| GWM Advisors LLC | 0 | $0 | 0.00% | −1,164−100.0% | Sold out |
| Freedom Wealth Alliance, LLC | 0 | $0 | 0.00% | −516−100.0% | Sold out |
| Lakewood Asset Management LLC | 0 | $0 | 0.00% | −200−100.0% | Sold out |
| Robinson Capital Management, LLC | 0 | $0 | 0.00% | −200−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −175−100.0% | Sold out |
| Accurate Wealth Management, LLC | 0 | $0 | 0.00% | −100−100.0% | Sold out |
| FMR LLC | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| Laurel Wealth Advisors, Inc. | – | – | – | – | Not filed |
| Icon Wealth Advisors, LLC | – | – | – | – | Not filed |
| Cribstone Capital Management, LLC | – | – | – | – | Not filed |