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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AMERICAN INTERNATIONAL GROUP INC 175 WATER STREET NEW YORK, NY 10038 |
See Remarks | |||
AMERICAN GENERAL LIFE INSURANCE CO 2727-A ALLEN PARKWAY HOUSTON, TX 77019 |
See Remarks |
/s/ Geoffrey N. Cornell, Authorized Signatory of American International Group, Inc. | 03/01/2019 | |
**Signature of Reporting Person | Date | |
/s/ Julie A. Cotton-Hearne, Authorized Signatory of American General Life Insurance Co. | 03/01/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Mandatory redemption by the Issuer of Floating Rate Mandatory Redeemable Preferred Shares, Series A, of the Issuer (the "Series A Preferred Shares"). |
(2) | American General Life Insurance Company ("AGL") and American Home Assurance Company, each an indirect wholly owned subsidiary of American International Group, Inc. ("AIG"), held 675 shares and 325 shares, respectively, of the Series A Preferred Shares. As set forth in a notice of redemption dated January 30, 2019, the Issuer redeemed all outstanding Series A Preferred Shares on March 1, 2019. |
(3) | AGL, The United States Life Insurance Company in the City of New York and The Variable Annuity Life Insurance Company, each an indirect wholly owned subsidiary of AIG, directly hold 640 shares, 10 shares and 10 shares, respectively, of the 4.63% Mandatory Redeemable Preferred Shares, Series E, of the Issuer (the "Series E Preferred Shares" and together with the Series A Preferred Shares, the "Preferred Shares"). |
Remarks: Filed pursuant to Section 30(h) of the Investment Company Act of 1940. The Reporting Persons are informed that the referenced Preferred Shares represent, in the aggregate, in excess of 10% of this class of preferred equity securities of the Issuer. |