Current Report Filing (8-k)
November 18 2022 - 4:05PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 17, 2022
ClearBridge Energy Midstream Opportunity Fund Inc.
(Exact name of registrant as specified in its charter)
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Maryland
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811-22546 |
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45-1474578 |
(State or other jurisdiction
of incorporation) |
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(Commission File Number) |
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(I.R.S. Employer Identification No.) |
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620 Eighth Avenue,
47th Floor, New York, NY
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10018 |
(Address of principal executive offices) |
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(Zip Code) |
(888) 777-0102
(Registrants telephone number, including area code)
Not applicable
(Former
name or former address if changed since last report.)
Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12) |
☐ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class |
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Trading Symbol(s) |
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Name of each exchange on which
registered |
Common Stock |
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EMO |
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New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the
Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth
company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
On November 14, 2022 and November 15, 2022, in connection with the private placement of shares of mandatory redeemable preferred
stock, ClearBridge Energy Midstream Opportunity Fund Inc. filed a total of four Articles Supplementary with the State Department of Assessments and Taxation of Maryland (SDAT). Each Articles Supplementary became effective
November 17, 2022, and each are attached hereto as an Exhibit and are incorporated herein by reference.
Item 9.01 |
Financial Statements and Exhibits. |
(d) Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Fund has duly caused this report to be signed on its
behalf by the undersigned hereunto duly authorized.
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Date: November 18, 2022 |
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ClearBridge Energy Midstream Opportunity Fund Inc. |
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/s/ George P. Hoyt |
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Name: George P. Hoyt |
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Title: Secretary and Chief Legal Officer |
[Signature Page to Form 8-K]
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