Every SEC Form 3/4/5 on record for this filer (CIK 1772077) — 5 issuers, 26 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 | Chief Accounting Officer · lapsed | 2019-04-03 → 2023-12-05 | 23 | −$843,600 |
| CTR | ClearBridge MLP & Midstream Total Return Fund Inc. | Filer · lapsed | 2020-08-07 → 2020-08-07 | 1 | — |
| EMO | ClearBridge Energy Midstream Opportunity Fund Inc. | Filer · lapsed | 2020-08-07 → 2020-08-07 | 1 | — |
| CEM | ClearBridge MLP & Midstream Fund Inc. | Filer · lapsed | 2020-08-07 → 2020-08-07 | 1 | — |
| SCD | LMP CAPITAL & INCOME FUND INC. | Filer · lapsed | 2020-08-07 → 2020-08-07 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| BEN | 2021-11-16 | Sell | 10,000 | $35.82 | $358,200 | 61,079 |
1 of 5 issuers are covered and open a security page; the rest are on file here only.
