ClearBridge MLP and Midstream Total Return Fund Inc (CTR)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
CEO:
Kenneth Donald Fuller
Employees:
620 EIGHTH AVENUE, NEW YORK, NY 10018
800-805-6035

ClearBridge Energy MLP Total Return Fund Inc. is an open ended equity mutual fund of funds launched and managed by Legg Mason Partners Fund Advisor, LLC.

View SEC Filings from CTR instead.

View recent insider trading info

Funds Holding CTR (via 13F filings)

Refresh Download CSV Download Excel (.xlsx) Download TSV
Filter by:
to
to
to
Refresh
*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding CTR BETA

Active Schedule 13D and 13G filings

Please sign in first

Recent Filings

Financial Reporting

Events (8k)

  • 8-K: filed on 2020-08-18:
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2019-11-05:
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2019-01-02:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-08-17:
    Item 4.01: Changes in Registrant's Certifying Accountant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-04-03:
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 9.01: Financial Statements and Exhibits
  • Prospectus

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    COLMAN CAROL L

    • Director
    600 2022-01-05 1

    EADES CHRIS

    • PORTFOLIO MANAGER
    11,424 2020-11-16 0

    FERGERSON LAURA F

    • MANAGER/INVESTMENT MANAGER
    0 2020-09-30 0

    EAKES BRIAN

    • MANAGER/INVESTMENT MANAGER
    0 2020-09-30 0

    HOYT GEORGE P. SECRETARY AND CH LGL OFFICER

    • Officer
    0 2020-08-13 0

    JOHNSON JENNIFER M

    • DIRECTOR OF SUB-ADVISER
    0 2020-07-31 0

    PLAFKER JED A.

    • DIRECTOR OF SUB-ADVISER
    0 2020-07-31 0

    SHANEYFELT GWEN L

    • DIRECTOR OF SUB-ADVISER
    0 2020-07-31 0

    NICHOLLS MATTHEW

    • DIRECTOR OF SUB-ADVISER
    0 2020-07-31 0

    JENSEN FRED STEVEN CHIEF COMPLIANCE OFFICER

    • Officer
    0 2020-04-17 0

    CLARFELD MICHAEL

    • PORTFOLIO MANAGER
    6,000 2020-03-13 0

    BOYDSTON LAURA

    • DIRECTOR OF SUB-ADVISER
    0 2020-01-01 0

    COHEN HARRY D

    • MAN DIR & CO CIO SUBADVISER
    10,000 2019-12-30 0

    AGDERN ROBERT D

    • Director
    5,734 2019-12-19 0

    BERARDUCCI CHRISTOPHER TREAS/PRINCIPAL FINAN OFFICER

    • Officer
    0 2019-09-27 0

    CRONIN DANIEL P

    • Director
    0 2019-08-26 0

    KUMAR NISHA

    • Director
    0 2019-01-01 0

    FREEMAN RICHARD A

    • PORTFOLIO MANAGER OF THE FUND
    411 2018-12-28 0

    BERG JENNIFER S TREASURER

    • Officer
    0 2018-01-01 0

    VANDERLEE PETER

    • PORTFOLIO MANAGER OF THE FUND
    1,400 2017-12-07 0

    CASHMAN FRANCES

    • DIRECTOR OF SUBADVISER
    0 2017-05-23 0

    KUEHL TODD F CHIEF COMPLIANCE OFFICER

    • Officer
    0 2017-05-11 0

    EEDE JUSTIN

    • DIRECTOR OF SUBADVISER
    0 2015-06-25 0

    JOHNSON TERENCE

    • DIRECTOR OF SUBADVISER
    0 2015-06-25 0

    KENNEY JOHN

    • DIRECTOR OF SUBADVISER
    0 2015-06-25 0

    TRUST JANE

    • SVP OF THE MANAGER
    0 2015-04-15 0

    KAMERICK EILEEN A

    • Director
    510 2015-03-27 0

    MASSACHUSETTS MUTUAL LIFE INSURANCE CO

    • 10% Owner
    35,000,000 2015-03-26 0

    VOYA INSURANCE & ANNUITY CO

    • SEE EXPLANATION BELOW.
    94 2015-03-26 0

    VOYA RETIREMENT INSURANCE & ANNUITY CO

    • SEE EXPLANATION BELOW.
    118 2015-03-26 0

    SECURITY LIFE OF DENVER INSURANCE CO

    • SEE EXPLANATION BELOW.
    23 2015-03-26 0

    UNITED OF OMAHA LIFE INSURANCE CO

    • 10% Owner
    100 2015-03-26 0

    RELIASTAR LIFE INSURANCE CO

    • SEE EXPLANATION BELOW.
    15 2015-03-26 0

    VOYA FINANCIAL, INC.

    LION CONNECTICUT HOLDINGS INC.

    • 10% Owner
    250 2015-03-26 0

    FULLER KENNETH CEO, PRES. & CHAIRMAN

    • Officer
    • Director
    • CEO & PRES. OF MANAGER
    0 2013-06-01 0

    GLASSER SCOTT

    • CO-CHIEF INV. OFFICER SUB ADV.
    0 2012-10-01 0

    GERKEN R JAY CEO, PRES. & CHAIRMAN

    • Officer
    • Director
    • CEO & PRES. OF MANAGER
    1,000 2012-06-26 0

    CLEARBRIDGE INVESTMENTS, LLC

    • SUBADVISER OF FUND
    0 2012-06-26 0

    LEGG MASON, INC.

    • PARENT OF MGR AND SUBADVISER
    0 2012-06-25 0

    ROETT RIORDAN

    • Director
    0 2012-06-25 0

    SALACUSE JESWALD W

    • Director
    0 2012-06-25 0

    CUCCHI PAOLO M

    • Director
    0 2012-06-25 0

    GELB LESLIE H

    • Director
    0 2012-06-25 0

    FRENKEL ROBERT I CLO AND SECRETARY

    • Officer
    0 2012-06-25 0

    HUTCHINSON WILLIAM R

    • Director
    0 2012-06-25 0

    MANDIA THOMAS C ASSISTANT SECRETARY

    • Officer
    • SECRETARY OF MANAGER
    0 2012-06-25 0

    OLMERT AMY

    • MANAGER OF INVESTMENT MANAGER
    0 2012-06-25 0

    MURPHY TERRENCE

    • DIR, PRES OF SUBADVISER
    0 2012-06-25 0

    KELLY JEANNE SENIOR VP

    • Officer
    • SENIOR VP OF MANAGER
    0 2012-06-25 0

    BECKER TED P CHIEF COMPLIANCE OFFICER

    • Officer
    • CCO OF MANAGER
    0 2012-06-25 0

    LEGG MASON PARTNERS FUND ADVISOR, LLC

    • MANAGER OF THE FUND
    0 2012-06-25 0

    MANNING BARBARA BROOKE

    • MGRDIR.,GEN.COUN.&CCO OF SUBAD
    0 2012-06-25 0

    DEWHURST RONALD R

    • DIRECTOR OF SUBADVISER
    0 2012-06-25 0

    NATTANS JEFFREY ALLEN

    • DIRECTOR OF THE SUBADVISER
    0 2012-06-25 0

    LASKAJ ALBERT ASSISTANT TREASURER

    • Officer
    0 2012-06-25 0

    FRANK STEVEN TREASURER

    • Officer
    0 2012-06-25 0

    NACHTWEY PETER

    • DIRECTOR OF SUBADVISER
    0 2012-06-25 0

    SENNETT RICHARD PRINCIPAL FINANCIAL OFFICER

    • Officer
    0 2012-06-25 0

    LIST CYNTHIA

    • CFO OF SUBADVISER
    0 2012-06-25 0

    CATO JOHN P D CHAIRMAN/PRESIDENT/CEO

    • Officer
    • Director
    141,860 2009-01-31 0

    HOWE JOHN R EVP - CFO

    • Officer
    16,505 2009-01-31 0

    BRUMMER ROBERT C SR.VP-HUMAN RESOURCES

    • Officer
    3,320 2007-05-01 0

    MCALPINE BRIAN SVP - FINANCIAL PLANNING

    • Officer
    3,267 2007-05-01 0

    SEVERSON HOWARD A EVP-REAL EST/STORE DEV

    • Officer
    15,305 2007-05-01 0

    USELTON STUART L EVP-CAO

    • Officer
    13,298 2007-05-01 0

    WEINSTEIN ALLEN EXECUTIVE VICE PRESIDENT - CMO

    • Officer
    33,034 2007-05-01 0

    GREER MICHAEL TIMOTHY EVP-DIR OF STORES

    • Officer
    15,071 2007-05-01 0

    SHOCK JEFFREY R VP INTERNAL AUDIT

    • Officer
    4,064 2007-05-01 0

    SANDLER ROBERT M SR. VICE PRES - CONTROLLER

    • Officer
    2,431 2007-03-29 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
    No current insider transactions

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 22:15:03 UTC -1.079 2.649 45000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 21:45:03 UTC -1.079 2.649 45000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 21:15:04 UTC -1.079 2.649 45000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 20:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 20:15:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 19:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 19:15:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 18:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 18:15:04 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 17:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 17:15:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 16:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 16:15:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 15:45:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 15:15:03 UTC -1.079 2.649 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 14:45:03 UTC -0.8083 2.3783 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 14:15:03 UTC -0.8083 2.3783 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 13:45:03 UTC -0.8083 2.3783 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 13:15:03 UTC -0.8083 2.3783 50000
    CLEARBRIDGE MLP & MIDSTREAM CTR 2022-06-24 12:45:03 UTC -0.8083 2.3783 55000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

    Elevate your investments