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, Q3 2023
Institutional positions in ClearBridge MLP & Midstream Fund Inc. as of Sep 30, 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
- 72
- +4 vs. Q2 2023
- Shares held
- 4.96M
- +61.2K (+1.2%) vs. Q2 2023
- Total value
- $174.6M
- +$5.18M (+3.1%) vs. Q2 2023
- New holders
- 11
- 22 more added
- Sold out
- 7
- 17 more reduced
1 institution that held it in Q2 2023 haven't filed for Q3 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2023: 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, Q3 2023
Shares, value and share of portfolio for each institution holding ClearBridge MLP & Midstream Fund Inc.; share changes are against Q2 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Saba Capital Management, L.P. | 1,680,057 | $59.2M | 1.88% | +248,594+17.4% | Added |
| Morgan Stanley | 657,048 | $23.1M | 0.00% | −11,505−1.7% | Reduced |
| Bank of America Corp | 259,427 | $9.14M | 0.00% | −11,405−4.2% | Reduced |
| Woodline Partners LP | 225,745 | $7.95M | 0.09% | 00.0% | Unchanged |
| Advisors Asset Management, Inc. | 197,835 | $6.97M | 0.15% | +78,667+66.0% | Added |
| Aristides Capital LLC | 193,475 | $6.82M | 4.54% | 00.0% | Unchanged |
| Terril Brothers, Inc. | 152,820 | $5.38M | 2.61% | −16,434−9.7% | Reduced |
| Wells Fargo & Company | 145,773 | $5.14M | 0.00% | −4,717−3.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 127,623 | $4.50M | 0.01% | −479−0.4% | Reduced |
| McGowan Group Asset Management, Inc. | 121,791 | $4.29M | 0.68% | −98,609−44.7% | Reduced |
| Thomas J. Herzfeld Advisors, Inc. | 110,044 | $3.88M | 1.50% | +29,074+35.9% | Added |
| Commonwealth Equity Services, LLC | 89,445 | $3.15M | 0.01% | +4,844+5.7% | Added |
| Wolverine Asset Management LLC | 86,354 | $3.04M | 0.06% | +52,181+152.7% | Added |
| Sit Investment Associates Inc | 79,100 | $2.79M | 0.08% | +61,035+337.9% | Added |
| UBS Group AG | 77,422 | $2.73M | 0.00% | −4,052−5.0% | Reduced |
| Royal Bank of Canada | 64,129 | $2.26M | 0.00% | +4,909+8.3% | Added |
| Matisse Capital | 58,000 | $2.04M | 1.44% | 00.0% | Unchanged |
| Ameriprise Financial Inc | 49,088 | $1.73M | 0.00% | +1,167+2.4% | Added |
| Goldman Sachs Group Inc | 47,400 | $1.67M | 0.00% | +12,693+36.6% | Added |
| Guggenheim Capital LLC | 44,087 | $1.55M | 0.01% | −3,741−7.8% | Reduced |
| Edgemoor Investment Advisors, Inc. | 38,199 | $1.35M | 0.16% | +6,132+19.1% | Added |
| Steward Partners Investment Advisory, LLC | 35,738 | $1.26M | 0.02% | +2,690+8.1% | Added |
| Kayne Anderson Capital Advisors LP | 34,840 | $1.23M | 0.04% | −2,100−5.7% | Reduced |
| Alpine Global Management, LLC | 33,200 | $1.17M | 0.27% | +33,200 | New |
| Millennium Management LLC | 23,755 | $836.9K | 0.00% | +23,755 | New |
| Quantedge Capital Pte Ltd | 23,678 | $834.2K | 0.45% | −23,050−49.3% | Reduced |
| Transcend Wealth Collective, LLC | 23,548 | $829.6K | 0.08% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 18,127 | $638.6K | 0.00% | +8,593+90.1% | Added |
| Raymond James & Associates | 17,777 | $626.3K | 0.00% | −390−2.1% | Reduced |
| LPL Financial LLC | 17,210 | $606.3K | 0.00% | +1,966+12.9% | Added |
| M&T Bank Corp | 17,165 | $604.7K | 0.00% | 00.0% | Unchanged |
| Blackstone Group Inc. | 14,754 | $519.8K | 0.00% | +14,754 | New |
| IFP Advisors, Inc | 13,894 | $489.5K | 0.02% | +401+3.0% | Added |
| Verus Capital Partners, LLC | 12,580 | $443.2K | 0.06% | −1,000−7.4% | Reduced |
| Proficio Capital Partners LLC | 11,345 | $399.7K | 0.05% | −1,338−10.5% | Reduced |
| CSS LLC | 11,101 | $391.1K | 0.03% | +3,527+46.6% | Added |
| D.A. Davidson & Co. | 10,543 | $371.4K | 0.00% | +563+5.6% | Added |
| Sea Otter Advisors LLC | 10,300 | $362.9K | 0.26% | +10,300 | New |
| US Bancorp | 10,086 | $355.3K | 0.00% | −2,414−19.3% | Reduced |
| Integrated Wealth Concepts LLC | 9,728 | $342.7K | 0.01% | 00.0% | Unchanged |
| Invesco Ltd. | 9,302 | $327.7K | 0.00% | +9,302 | New |
| Oxbow Advisors, LLC | 8,530 | $300.5K | 0.05% | 00.0% | Unchanged |
| HighTower Advisors, LLC | 7,980 | $282.0K | 0.00% | +1,354+20.4% | Added |
| InterOcean Capital Group, LLC | 8,000 | $281.8K | 0.01% | 00.0% | Unchanged |
| Stephens Inc | 7,648 | $269.4K | 0.01% | −30.0% | Reduced |
| Clough Capital Partners L P | 7,550 | $266.0K | 0.03% | +7,550 | New |
| Quarry LP | 7,550 | $266.0K | 0.17% | +7,550 | New |
| First Republic Investment Management, Inc. | 7,402 | $260.8K | 0.00% | +115+1.6% | Added |
| Icon Wealth Partners, LLC | 6,788 | $239.1K | 0.03% | 00.0% | Unchanged |
| Coastal Investment Advisors, Inc. | 6,341 | $219.9K | 0.05% | 00.0% | Unchanged |
| Sunbelt Securities, Inc. | 4,600 | $162.1K | 0.02% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 4,060 | $143.0K | 0.00% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 3,762 | $132.5K | 0.03% | +406+12.1% | Added |
| Eagle Bay Advisors LLC | 2,900 | $102.2K | 0.05% | 00.0% | Unchanged |
| Harbor Investment Advisory, LLC | 2,055 | $72.4K | 0.01% | +10+0.5% | Added |
| Comerica Bank | 1,412 | $49.7K | 0.00% | +1,412 | New |
| Covestor Ltd | 979 | $34.0K | 0.03% | 00.0% | Unchanged |
| Northwestern Mutual Wealth Management Co | 907 | $32.0K | 0.00% | 00.0% | Unchanged |
| Bogart Wealth, LLC | 767 | $27.0K | 0.00% | 00.0% | Unchanged |
| NBC Securities, Inc. | 630 | $22.0K | 0.00% | +630 | New |
| Tradition Wealth Management, LLC | 568 | $20.0K | 0.00% | +12+2.2% | Added |
| Private Trust Co NA | 544 | $19.2K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 307 | $10.8K | 0.00% | −137−30.9% | Reduced |
| Highlander Capital Management, LLC | 290 | $10.0K | 0.00% | +290 | New |
| Piscataqua Savings Bank | 214 | $7.54K | 0.01% | +214 | New |
| Avion Wealth | 200 | $7.00K | 0.00% | 00.0% | Unchanged |
| Cambridge Trust Co | 193 | $6.80K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 171 | $6.03K | 0.00% | +3+1.8% | Added |
| Wolff Wiese Magana LLC | 105 | $3.70K | 0.00% | 00.0% | Unchanged |
| Creative Financial Designs Inc | 104 | $3.66K | 0.00% | 00.0% | Unchanged |
| Larson Financial Group LLC | 99 | $3.49K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 54 | $1.90K | 0.00% | −50−48.1% | Reduced |
| Penserra Capital Management LLC | 0 | $0 | 0.00% | −313,894−100.0% | Sold out |
| Clearbridge Investments, LLC | 0 | $0 | 0.00% | −57,760−100.0% | Sold out |
| Laidlaw Wealth Management LLC | 0 | $0 | 0.00% | −7,123−100.0% | Sold out |
| Stifel Financial Corp | 0 | $0 | 0.00% | −5,997−100.0% | Sold out |
| Bessemer Group Inc | 0 | $0 | 0.00% | −335−100.0% | Sold out |
| Caldwell Trust Co | 0 | $0 | 0.00% | −200−100.0% | Sold out |
| Tower Research Capital LLC (TRC) | 0 | $0 | 0.00% | −7−100.0% | Sold out |
| Lansing Street Advisors | – | – | – | – | Not filed |