CEM - Clearbridge Mlp & Midstream Fund Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	12	26	0	-1	1	1	5	8	2
P	%wins				88	69	77	65	88	87	79
S	%ret	1	3	3	2	4	5	-10	-23	-4	-4
S	%wins				33	0	33	67	100	50	47

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
12/7/23 14:12	12/5/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	899	38.63	0	23	1	2,190	I
12/5/23 13:00	12/1/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,193	38.71	0	31	1	2,167	I
12/1/23 18:11	11/29/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,731	37.80	0	46	2	2,136	I
11/28/23 17:37	11/28/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	1,050	36.79	0	29	1	2,090	I
11/13/23 10:22	11/9/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,749	35.54	0	49	2	2,061	I
11/9/23 10:04	11/7/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	3,518	35.61	0	99	5	2,012	I
11/6/23 19:08	11/3/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	465	36.53	0	13	1	1,913	I
11/3/23 16:19	11/1/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	3,208	36.40	0	88	5	1,901	I
10/31/23 18:18	10/30/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	660	34.14	0	19	1	1,813	I
10/30/23 11:05	10/26/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	2,357	34.53	0	68	4	1,793	I
10/25/23 17:43	10/25/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	494	35.03	0	14	1	1,725	I
10/3/23 18:41	10/2/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	1,067	34.68	0	31	2	1,711	I
8/21/23 13:01	8/17/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,321	37.11	0	36	2	1,680	I
8/2/23 13:15	7/31/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	99	37.19	0	3	0	1,644	I
7/31/23 11:11	7/27/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,135	36.72	0	31	2	1,642	I
7/26/23 18:10	7/26/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	435	36.59	0	12	1	1,611	I
7/25/23 15:01	7/21/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	946	35.98	0	26	2	1,599	I
7/21/23 09:22	7/19/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,693	35.81	0	47	3	1,573	I
7/19/23 12:06	7/17/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	2,296	35.10	0	65	4	1,525	I
7/11/23 16:34	7/11/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	163	35.08	0	5	0	1,460	I
7/7/23 15:35	7/5/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	327	34.77	0	9	1	1,455	I
7/5/23 11:31	6/30/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	1,169	34.96	0	33	2	1,446	I
6/30/23 13:39	6/28/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	84	33.45	0	3	0	1,413	I
6/28/23 11:03	6/26/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	435	32.91	0	13	1	1,410	I
6/26/23 09:15	6/22/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	306	32.54	0	9	1	1,397	I
6/22/23 10:21	6/20/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	261	33.96	0	8	1	1,387	I
6/20/23 12:45	6/15/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	437	34.03	0	13	1	1,380	I
6/15/23 14:58	6/14/23	CEM	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	626	33.49	0	19	1	1,367	I
11/21/22 15:24	11/17/22	CEM	Insur	LfIns	Life Insurance	Prudential Financial Inc	NJ	T		P	10,000	35.00	0	286	999%	286	I
10/7/22 11:22	10/5/22	CEM	Fund	CEF	Closed-End Funds	Cronin Daniel P	NY	D		S	-80	32.51	0	-2	-100	0	D
12/7/20 08:54	12/4/20	CEM	Fund	CEF	Closed-End Funds	Hutchinson William R	NY	D		S	-26	18.77	0	-1	-100	0	D
11/18/20 19:55	11/16/20	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Portfoli	P	103	15.65	0	7	239	9	D
3/13/20 15:07	3/13/20	CEM	Fund	CEF	Closed-End Funds	Clarfeld Michael	NY	H	Portfoli	P	16	3.12	0	5	250	7	D
3/12/20 14:03	3/12/20	CEM	Fund	CEF	Closed-End Funds	Cronin Daniel P	NY	D		P	18	3.60	0	5	99	10	D
12/23/19 11:31	12/19/19	CEM	Fund	CEF	Closed-End Funds	Agdern Robert D	NY	D		S	-36	11.50	0	-3	-100	0	D
12/2/19 12:19	11/21/19	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	S	-72	9.91	0	-7	-50	7	I
10/30/19 08:31	10/28/19	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	S	-19	10.70	0	-2	-11	14	D
1/3/19 09:54	12/31/18	CEM	Fund	CEF	Closed-End Funds	Glasser Scott	NY	H	Co-Chief	S	-253	10.30	0	-25	-100	0	D
1/2/19 11:57	12/28/18	CEM	Fund	CEF	Closed-End Funds	Freeman Richard A	NY	H	Portfoli	S	-318	10.12	0	-31	-100	0	D
12/28/18 12:04	12/26/18	CEM	Fund	CEF	Closed-End Funds	Freeman Richard A	NY	H	Portfoli	S	-262	9.83	0	-27	-46	31	D
12/14/18 09:53	12/12/18	CEM	Fund	CEF	Closed-End Funds	Murphy Terrence	NY	H	CEO of S	S	-74	11.39	0	-6	-100	0	D
12/12/18 16:39	12/10/18	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	S.a	-662	11.25	0	-59	-81	14	D
12/12/18 14:37	12/10/18	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	S	-662	11.25	0	-59	-97	2	D
12/6/18 12:05	12/4/18	CEM	Fund	CEF	Closed-End Funds	Manning Barbara Brooke	NY	H	CCO/GC o	S	-19	12.12	0	-2	-100	0	D
5/15/18 10:23	5/14/18	CEM	Fund	CEF	Closed-End Funds	Hutchinson William R	NY	D		P	103	14.76	0	7	New	7	D
3/12/18 14:21	3/12/18	CEM	Fund	CEF	Closed-End Funds	Colman Carol L	NY	D		P	29	14.48	0	2	33	8	D
3/12/18 10:56	3/8/18	CEM	Fund	CEF	Closed-End Funds	Colman Carol L	NY	D		P	71	14.15	0	5	446	6	D
12/12/17 13:14	12/11/17	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Portfoli	P	25	13.71	0	2	40	6	D
12/8/17 11:42	12/7/17	CEM	Fund	CEF	Closed-End Funds	Vanderlee Peter	NY	H	Portfoli	S	-6	12.88	0	-1	-15	3	D
9/14/17 14:11	9/13/17	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Portfoli	P	15	14.96	0	1	28	5	D
6/1/17 11:45	5/31/17	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Portfoli	P	25	15.68	0	2	80	4	D
12/22/16 12:20	12/20/16	CEM	Fund	CEF	Closed-End Funds	Vanderlee Peter	NY	H	Portfoli	P	5	15.29	5	0	10	3	D	-31	21	-2	-3	4	1	1	2	2	1	7	8
12/21/16 16:34	12/19/16	CEM	Fund	CEF	Closed-End Funds	Freeman Richard A	NY	H	Portfoli	S	-99	15.06	5	-7	-12	48	D	-33	26	0	-3	6	-1	1	2	2	1	5	8
9/19/16 15:37	9/16/16	CEM	Fund	CEF	Closed-End Funds	Kamerick Eileen A	NY	D		P	21	15.38	3	1	New	1	D	-35	-20	18	1	0	-7	-8	-2	2	4	3	-1	10
7/25/16 17:49	7/21/16	CEM	Fund	CEF	Closed-End Funds	Agdern Robert D	NY	D		P	50	16.07	2	3	New	3	D	-37	-15	43	14	0	3	3	2	-1	-1	3	3	6
12/9/15 17:07	12/7/15	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	140	13.97	8	10	21	57	D	-41	-42	-42	-33	-24	-26	-24	-26	0	-7	-7	-2	26	18
12/3/15 16:49	12/1/15	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	278	18.52	6	15	47	47	D	-21	-24	-20	-7	-3	4	6	5	-9	-22	-17	-22	-5	-8
9/29/15 21:44	9/25/15	CEM	Fund	CEF	Closed-End Funds	Hutchinson William R	NY	D		S	-116	19.27	4	-6	-100	0	M	-23	-30	-26	-20	-21	-17	-16	-9	4	11	10	-9	-14	5
9/14/15 17:21	9/10/15	CEM	Fund	CEF	Closed-End Funds	Colman Carol L	NY	D		S	-42	21.06	6	-2	-64	1	D	-12	-23	-14	-12	-6	-5	-2	-5	0	1	-1	-30	-31	-13
7/29/15 11:40	7/28/15	CEM	Fund	CEF	Closed-End Funds	Vanderlee Peter	NY	H	Portfoli	P	11	21.85	6	1	20	3	D	-12	-20	-12	-14	-9	-4	-3	5	2	0	-5	-13	-45	-21
3/5/15 15:58	3/3/15	CEM	Fund	CEF	Closed-End Funds	Fuller Kenneth	MD	DOH	CEO,P,CB	P	8	26.65	4	0	New	0	D	15	8	-6	2	3	4	2	-1	1	-6	-5	-4	-18	-42
5/2/14 16:29	4/30/14	CEM	Fund	CEF	Closed-End Funds	Massachusetts Mutual Life Insurance Co	MA	T		P	25,000	1.00	4	25,000	18	165,000	M	35	6	6	9	4	3	2	0	0	3	6	5	5	1
6/28/13 14:45	6/26/13	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Portfoli	P	27	27.01	5	1	100	2	D	44	39	24	6	-2	4	3	7	1	-1	-1	-4	0	14
1/4/13 18:19	1/2/13	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	95	23.79	4	4	16	29	I	24	14	11	-1	5	5	3	5	1	2	6	12	17	16
11/29/11 16:53	8/15/11	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	107	21.36	3	5	24	26	D		8	0	3	3	-2	0	1	1	2	5	10	3	13
8/15/11 16:40	8/15/11	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	110	22.08	5	5	32	21	D		12	0	-1	-3	-1	-1	6	0	-5	-5	1	11	15
6/9/11 15:05	6/8/11	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man.Dir	P	106	21.19	5	5	47	16	D			1	-4	-8	-4	-3	-3	1	0	6	-1	9	10
6/9/11 14:59	6/8/11	CEM	Fund	CEF	Closed-End Funds	Murphy Terrence	NY	H	Dir, Pre	P	21	21.21	5	1	38	4	D			1	-4	-8	-4	-3	-3	1	0	6	-1	9	10
6/9/11 12:17	6/8/11	CEM	Fund	CEF	Closed-End Funds	Freeman Richard A	NY	H	Portfoli	P	211	21.08	5	10	37	37	D			1	-4	-8	-4	-3	-3	1	0	6	-1	9	10
1/25/11 14:57	1/24/11	CEM	Fund	CEF	Closed-End Funds	Colman Carol L	NY	D		P	43	21.71	4	2	200	3	D			10	6	0	0	-2	0	0	0	1	8	4	15
8/27/10 14:59	8/27/10	CEM	Fund	CEF	Closed-End Funds	Clarfeld Michael `	NY	H	Portfoli	P	20	19.97	5	1	100	2	D					-1	-1	-1	-1	0	2	0	5	13	9
8/20/10 17:21	8/19/10	CEM	Fund	CEF	Closed-End Funds	Murphy Terrence	NY	H	CFO of L	P	20	20.25	5	1	67	3	D					0	2	0	-1	1	-1	2	3	13	12
8/16/10 17:17	8/12/10	CEM	Fund	CEF	Closed-End Funds	Eades Chris	NY	H	Man. Dir	P	20	20.07	5	1	New	1	D					1	2	3	1	-1	-1	1	6	12	12
6/29/10 18:45	6/25/10	CEM	Fund	CEF	Closed-End Funds	Cohen Harry D	NY	H	Man. Dir	P	200	20.00	6	10	New	10	D									0	1	1	0	7	14
6/29/10 18:44	6/25/10	CEM	Fund	CEF	Closed-End Funds	Manning Barbara Brooke	NY	H	Mgr Dir.	P	20	20.08	6	1	New	1	D									0	1	1	0	7	14
6/28/10 21:52	6/25/10	CEM	Fund	CEF	Closed-End Funds	Colman Carol L	NY	D		P	20	20.00	8	1	New	1	D									0	1	1	1	8	15
6/28/10 21:51	6/25/10	CEM	Fund	CEF	Closed-End Funds	Freeman Richard A	NY	H	Portfoli	P	500	20.00	8	25	New	25	D									0	1	1	1	8	15
6/28/10 21:51	6/25/10	CEM	Fund	CEF	Closed-End Funds	Clarfeld Michael `	NY	H	Portfoli	P	20	20.08	8	1	New	1	D									0	1	1	1	8	15
6/28/10 21:50	6/25/10	CEM	Fund	CEF	Closed-End Funds	Murphy Terrence	NY	H	COO of t	P	30	20.05	8	2	New	2	D									0	1	1	1	8	15
6/28/10 21:49	6/25/10	CEM	Fund	CEF	Closed-End Funds	Vanderlee Peter	NY	H	Portfoli	P	50	20.00	8	3	New	3	D									0	1	1	1	8	15
6/25/10 19:00	6/24/10	CEM	Fund	CEF	Closed-End Funds	Hutchinson William R	NY	D		P	120	20.00	0	6	New	6	D
6/25/10 18:50	6/24/10	CEM	Fund	CEF	Closed-End Funds	Cronin Daniel P	NY	D		P	50	20.00	0	3	New	3	D
6/25/10 18:41	6/24/10	CEM	Fund	CEF	Closed-End Funds	Gerken R Jay	NY	DOH	P,CEO,CB	P	20	20.00	0	1	New	1	D

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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