UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PRUDENTIAL FINANCIAL INC 751 BROAD ST NEWARK, NJ 07102 |
 |  X |  |  |
PRUDENTIAL LEGACY INSURANCE CO OF NEW JERSEY 751 BROAD STREET NEWARK, NJ 07102 |
 |  X |  |  |
Prudential Financial, Inc. By:/s/Hillary Lorenzo, Vice President | 11/21/2018 | |
**Signature of Reporting Person | Date | |
Prudential Legacy Insurance Company of New Jersey By: PGIM, Inc., as Investment Manager By:/s/Christopher Halloran, Vice President | 11/21/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | (1)Share exchange/replacement by EMO due to ClearBridge American Energy MLP Fund Inc. (ticker: CBA)'s merger into EMO on 11/16/2018. |
(2) | (2)As grantor of the PICA Hartford Life & Annuity Comfort Trust. |
(3) | (3)Preferred stock owned directly by Prudential Legacy Insurance Company of New Jersey, a ten percent owner of a class, and indirectly owned by Prudential Financial, Inc., its parent holding company. |