# EDGAR Filing Document

**Accession Number:** 0000005108
**File Stem:** 0001209191-23-008966
**Filing Date:** 2023-2
**Character Count:** 9755
**Document Hash:** 3cb5de230340b85eb3568d106c155820
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-008966.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001209191-23-008966

**CONFORMED SUBMISSION TYPE**: 5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** AMERICAN GENERAL LIFE INSURANCE CO
- **CENTRAL INDEX KEY:** 0000005108
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 811-22405
- **FILM NUMBER:** 23622670

**BUSINESS ADDRESS:**
- **STREET 1:** 2727-A ALLEN PARKWAY
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77019
- **BUSINESS PHONE:** 7135221111

**MAIL ADDRESS:**
- **STREET 1:** 2919 ALLEN PARKWAY, L4-01
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77019
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** AMERICAN INTERNATIONAL GROUP, INC.
- **CENTRAL INDEX KEY:** 0000005272
- **STANDARD INDUSTRIAL CLASSIFICATION:** FIRE, MARINE & CASUALTY INSURANCE [6331]
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 811-22405
- **FILM NUMBER:** 23622671

**BUSINESS ADDRESS:**
- **STREET 1:** 1271 AVE OF THE AMERICAS
- **STREET 2:** FL 37
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10020-1304
- **BUSINESS PHONE:** 2127707000

**MAIL ADDRESS:**
- **STREET 1:** 1271 AVE OF THE AMERICAS
- **STREET 2:** FL 37
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10020-1304

**FORMER NAME:**
- **FORMER CONFORMED NAME:** AMERICAN INTERNATIONAL GROUP INC
- **DATE OF NAME CHANGE:** 19920703

**FORMER NAME:**
- **FORMER CONFORMED NAME:** AMERICAN INTERNATIONAL ENTERPRISES INC
- **DATE OF NAME CHANGE:** 19700507
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ClearBridge MLP & Midstream Fund Inc.
- **CENTRAL INDEX KEY:** 0001488775
- **IRS NUMBER:** 272282398
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 620 EIGHTH AVENUE
- **STREET 2:** 47TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10018
- **BUSINESS PHONE:** (888) 777-0102

**MAIL ADDRESS:**
- **STREET 1:** 620 EIGHTH AVENUE
- **STREET 2:** 47TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10018

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ClearBridge Energy MLP Fund Inc.
- **DATE OF NAME CHANGE:** 20100407

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 5

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>AMERICAN INTERNATIONAL GROUP, INC.<br><sub>(Last) (First) (Middle)</sub><br>1271 AVENUE OF THE AMERICAS<br><sub>(Street)</sub><br>NEW YORK, NY 10020<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ClearBridge MLP & Midstream Fund Inc. [ CEM ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>AMERICAN GENERAL LIFE INSURANCE CO<br><sub>(Last) (First) (Middle)</sub><br>2727-A ALLEN PARKWAY<br><sub>(Street)</sub><br>HOUSTON, TX 77019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ClearBridge MLP & Midstream Fund Inc. [ CEM ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Series F Mandatory Redeemable Preferred Stock | 2022-11-17 |  | J<sup>(1)</sup> |  | 44 | D | 0.00<sup>(1)</sup> | 0 | I | Held through subsidiaries<sup>(2)</sup> |
| Series J Mandatory Redeemable Preferred Stock | 2022-11-17 |  | J<sup>(1)</sup> |  | 44 | A | 0.00<sup>(1)</sup> | 44 | I | Held through subsidiaries<sup>(2)</sup> |
| Series G Mandatory Redeemable Preferred Stock | 2022-11-17 |  | J<sup>(3)</sup> |  | 82 | D | 0.00<sup>(3)</sup> | 0 | I | Held through subsidiaries<sup>(4)</sup> |
| Series K Mandatory Redeemable Preferred Stock | 2022-11-17 |  | J<sup>(3)</sup> |  | 82 | A | 0.00<sup>(3)</sup> | 82 | I | Held through subsidiaries<sup>(4)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series F Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series J Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

(2) American General Life Insurance Company ("AGLIC"), an indirectly controlled subsidiary of American International Group, Inc. ("AIG"), Lexington Insurance Company ("Lexington"), an indirect wholly owned subsidiary of AIG, and The United States Life Insurance Company in The City of New York, an indirectly controlled subsidiary of AIG, directly hold 1 share, 14 shares and 29 shares of the reported securities, respectively.

(3) Pursuant to a reclassification exempt under Rule 16b-7, all outstanding shares of Series G Mandatory Redeemable Preferred Stock (liquidation preference of $100,000) were exchanged and reclassified into an equal number of shares of Series K Mandatory Redeemable Preferred Stock (liquidation preference of $100,000).

(4) AGLIC and Lexington directly hold 56 shares and 26 shares of the reported securities, respectively.

**Remarks:**
Filed pursuant to Section 30(h) of the Investment Company Act of 1940. As a result of the transactions reported on this Form 5, AGLIC is no longer a reporting person subject to Section 16.

**Signature:** /s/ Elaine Rocha, Authorized Signatory of American International Group, Inc.  
**Date:** 2023-02-14

**Signature:** /s/ Julie A. Cotton Hearne, Authorized Signatory of American General Life Insurance Company  
**Date:** 2023-02-14

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**