Nine Masts Capital’s ClearBridge MLP and Midstream Fund Inc. CEM Stock Holding History

Nine Masts Capital’s Portfolio CEM Stock Details CEM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-17,400	Closed	-$1.26M	–	340
2018 Q3	$1.26M	Buy	17,400 +7,340	+73%	+$538K	0.34%	75
2018 Q2	$711K	Sell	10,060 -11,780	-54%	-$828K	0.14%	91
2018 Q1	$1.38M	Buy	+21,840	New	+$1.68M	0.21%	54
2017 Q3	–	Sell	-8,400	Closed	-$641K	–	270
2017 Q2	$641K	Buy	8,400 +5,580	+198%	+$449K	0.08%	71
2017 Q1	$236K	Buy	+2,820	New	+$236K	0.04%	54
2015 Q3	–	Sell	-2,543	Closed	-$296K	–	92
2015 Q2	$296K	Buy	+2,543	New	+$321K	0.1%	54

Other funds holding CEM

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

MGAM

McGowan Group Asset Management Dallas, Texas $785M AUM 15.71% 1-Year Est. Return

NorthRock Partners Minneapolis, Minnesota $6.2B AUM 15.8% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Terril Brothers St. Louis, Missouri $366M AUM 29.25% 1-Year Est. Return

SEIA

Signature Estate & Investment Advisors Los Angeles, California $5.56B AUM 26.66% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

SIA

Sit Investment Associates Minneapolis, Minnesota $4.93B AUM 12.22% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

Nine Masts Capital's CEM Position: Q4 2018 in Review

Nine Masts Capital sold out of ClearBridge MLP and Midstream Fund Inc. (CEM) in Q4 2018, closing a stake of 17,400 shares — an estimated $1.26M sold.

Nine Masts Capital first reported a position in CEM in Q2 2015 and held it in 6 quarters. The position peaked at $1.38M in Q1 2018. 98 funds tracked by Wall St. Rank hold CEM as of Q4 2018.

Nine Masts Capital reported no remaining ClearBridge MLP and Midstream Fund Inc. position as of Q4 2018 after selling out during the quarter.
Nine Masts Capital sold 17,400 ClearBridge MLP and Midstream Fund Inc. shares in Q4 2018, an estimated $1.26M.
Nine Masts Capital first reported a position in ClearBridge MLP and Midstream Fund Inc. in Q2 2015 and held it in 6 quarters.
Nine Masts Capital's ClearBridge MLP and Midstream Fund Inc. position peaked at $1.38M in Q1 2018.
98 funds tracked by Wall St. Rank held ClearBridge MLP and Midstream Fund Inc. as of Q4 2018.

Based on Nine Masts Capital's 13F filing for Q4 2018, filed 14 Feb 2019.