Every SEC Form 3/4/5 on record for this filer (CIK 1338258) — 6 issuers, 12 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| BEN | FRANKLIN RESOURCES INC | Co-President, Public Markets | 2022-10-28 → 2025-11-05 | 8 | — |
| BWG | BrandywineGLOBAL-Global Income Opportunities Fund Inc | Filer · lapsed | 2024-01-05 → 2024-01-05 | 1 | — |
| EMO | ClearBridge Energy Midstream Opportunity Fund Inc. | Filer · lapsed | 2017-12-11 → 2020-11-17 | 2 | $25,914 |
| SCD | LMP CAPITAL & INCOME FUND INC. | Filer · lapsed | 2019-01-02 → 2019-01-02 | 1 | −$32,289 |
| CEM | ClearBridge MLP & Midstream Fund Inc. | Filer · lapsed | 2018-12-14 → 2018-12-14 | 1 | −$73,792 |
| CBA | CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. | Filer · lapsed | 2017-12-11 → 2017-12-11 | 1 | −$23,430 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| EMO | 2020-11-13 | Sell | 600 | $11.11 | $6,666 | — |
| SCD | 2018-12-31 | Sell | 3,029 | $10.66 | $32,289 | — |
| CEM | 2018-12-12 | Sell | 6,479 | $11.39 | $73,792 | — |
1 of 6 issuers are covered and open a security page; the rest are on file here only.
