As filed with the Securities and Exchange Commission on June 24, 2024
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE TO
TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934
(Final Amendment)
ClearBridge MLP and Midstream Fund Inc.
(Name of Subject Company (issuer))
ClearBridge MLP and Midstream Fund Inc.
(Name of Filing Person (offeror))
Common Stock
$0.001 Par Value Per Share
(Title of Class of Securities)
184692200
(CUSIP Number of Class of Securities)
MARC A. DE OLIVEIRA, ESQ.
SECRETARY AND CHIEF LEGAL OFFICER
100 FIRST STAMFORD PLACE, 6TH FLOOR
STAMFORD, CONNECTICUT 06902
(203) 703-7026
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications on Behalf of the Person(s) Filing Statement)
Copy to:
David W. Blass, Esq.
Ryan P. Brizek, Esq.
Simpson Thacher & Bartlett LLP
900 G Street, NW
Washington D.C. 20001
(202) 636-5500
☐ Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer.
Check the appropriate boxes below to designate any transactions to which this statement relates:
☐ third party tender offer subject to Rule 14d-1
☒ issuer tender offer subject to Rule 13e-4
☐ going-private transaction subject to Rule 13e-3
☐ amendment to Schedule 13D under Rule 13d-2
Check the following box if the filing is a final amendment reporting the results of the tender offer. ☒
ITEMS 1 THROUGH 9 AND ITEM 11
This Amendment No. 1 amends and supplements the Issuer Tender Offer Statement on Schedule TO (the “Statement”) initially filed by ClearBridge MLP and Midstream Fund Inc., a Maryland corporation (the “Fund”), on May 21, 2024, relating to the Fund’s offer to purchase for cash up to 50% of its issued and outstanding shares of common stock, par value $0.001 per share, at a price per share equal to 100% of the Fund’s net asset value per share as of the close of regular trading on the New York Stock Exchange (“NYSE”) on June 20, 2024 (or if the Offer is extended, on the next trading day after the day to which the Offer is extended), upon the terms and subject to the conditions contained in the Offer to Purchase, dated May 21, 2024 and the related Letter of Transmittal, copies of which were previously filed as Exhibits (a)(1)(i) and (a)(1)(ii) to the Statement filed on May 21, 2024.
Filed herewith as Exhibit (a)(5)(ii) and incorporated by reference is a copy of the press release issued by the Fund dated June 21, 2024, announcing the final results of its Offer.
ITEM 10. FINANCIAL STATEMENTS
(a) The information in the Offer to Purchase in Section 9 (“Selected Financial Information”) is incorporated herein by reference.
(b) Not applicable.
This is the Final Amendment to the Statement and is being filed to report the results of the Offer. Capitalized terms not otherwise defined herein shall have the meanings ascribed to them in the Offer to Purchase.
The following information is furnished pursuant to Rule 13e-4(c)(4):
1. The Offer expired at 5:00 p.m., New York time, on June 20, 2024.
2. 5,807,371 Shares of the Fund were validly tendered and not withdrawn prior to the expiration of the Offer.
3. The Shares were repurchased at a price of $49.60, as of 5:00 p.m., New York City Time, on June 20, 2024.
Except as specifically provided herein, the information contained in the Statement, as amended, and the Letter of Transmittal remains unchanged and this Amendment does not modify any of the information previously reported on the Statement, as amended, or the Letter of Transmittal.
ITEM 12. EXHIBITS
| EXHIBIT NO. |
DESCRIPTION | |
| (a)(5)(ii) |
Press Release issued on June 21, 2024 | |
| (i) |
Calculation of Filing Fee Table | |
ITEM 13. INFORMATION REQUIRED BY SCHEDULE 13E-3
Not applicable.
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SIGNATURE
After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| CLEARBRIDGE MLP AND MIDSTREAM FUND INC. | ||
| By: |
/s/ Jane Trust | |
| Name: Jane Trust | ||
| Title: Chairman, Chief Executive Officer and President | ||
Dated: June 24, 2024
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EXHIBIT INDEX
* Previously filed with Schedule TO-I on May 21, 2024.
(1) Previously filed on Schedule TO-C via EDGAR on December 26, 2023.
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