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CUSIP No. 1846922#7

13G

Page 3 of 6

 

 

Item 1(a).

Name of Issuer:   ClearBridge Energy MLP Fund Inc.

 

Item 2(a).

Name of Person Filing:   Sun Life Financial Inc.

 

Item 2(b).

Address of Principal Business Office or, if none, Residence:   1 York Street Toronto, Ontario, Canada M5J 0B6

 

Item 2(c).

Citizenship:   Canada

 

Item 2(d).

Title of Class of Securities:   Series A Mandatory Redeemable Preferred Stock

 

Item 2(e).

CUSIP Number:   1846922#7

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CUSIP No. 1846922#7

13G

Page 4 of 6

 

 

Item 3.

If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or

240.13d-2(b) or (c), Check Whether the Person Filing Is a(n):

(a)

☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

(b)

☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);

(c)

☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);

(d)

☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

(e)

☐ Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

(f)

☐ Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

(g)

☒ Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);

(h)

☐ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

☐ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)

☒ A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

(k)

☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).    If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ .

 

Item 4.

Ownership.   Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.   The percentages used herein are calculated based upon the shares issued and outstanding as of November 30, 2018 as reported on the Form N-CSR filed with the Securities and Exchange Commission for the Period ended November 30, 2018.

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CUSIP No. 1846922#7

13G

Page 5 of 6

 

 

Item 5.

Ownership of Five Percent or Less of a Class.

                        If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.

Item 6.

Ownership of More Than Five Percent on Behalf of Another Person.   Not Applicable.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.   Sun Life Assurance Company of Canada; classification: insurance company.

 

Item 8.

Identification and Classification of Members of the Group.   Not Applicable.

 

Item 9.

Notice of Dissolution of Group.   Not Applicable.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

 

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