0001104659-16-096721.txt : 20160212 0001104659-16-096721.hdr.sgml : 20160212 20160212215509 ACCESSION NUMBER: 0001104659-16-096721 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20151230 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CENTRAL INDEX KEY: 0001570318 IRS NUMBER: 462078197 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 620 EIGHTH AVENUE STREET 2: 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: (888) 777-0102 MAIL ADDRESS: STREET 1: 620 EIGHTH AVENUE STREET 2: 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene USA Corp CENTRAL INDEX KEY: 0001051717 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 161422358 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: AMERUS GROUP CO/IA DATE OF NAME CHANGE: 20000921 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL HOLDING CO DATE OF NAME CHANGE: 19971217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Annuity & Life Co CENTRAL INDEX KEY: 0000837332 STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189] STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 161422359 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: Aviva Life & Annuity Co DATE OF NAME CHANGE: 20131023 FORMER NAME: FORMER CONFORMED NAME: AMERUS LIFE INSURANCE CO DATE OF NAME CHANGE: 19960726 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL LIFE INSURANCE CO DATE OF NAME CHANGE: 19950227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ATHENE ANNUITY & LIFE ASSURANCE Co CENTRAL INDEX KEY: 0000059252 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 161422360 BUSINESS ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 BUSINESS PHONE: 1-864-609-1000 MAIL ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 FORMER NAME: FORMER CONFORMED NAME: LIBERTY LIFE INSURANCE CO DATE OF NAME CHANGE: 19960202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STATE OF INCORPORATION: D0 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22805 FILM NUMBER: 161422361 BUSINESS ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 BUSINESS PHONE: 441-279-8400 MAIL ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 4 1 a4.xml 4 X0306 4 2015-12-30 0 0001570318 CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. CBA 0001527469 Athene Holding Ltd 96 PITTS BAY ROAD PEMBROKE D0 HM08 BERMUDA 0 0 1 0 0000059252 ATHENE ANNUITY & LIFE ASSURANCE Co 400 BROOKFIELD PARKWAY GREENVILLE SC 29607 0 0 1 0 0000837332 Athene Annuity & Life Co 7700 MILLS CIVIC PARKWAY WEST DES MOINES IA 50266 0 0 1 0 0001051717 Athene USA Corp 7700 MILLS CIVIC PARWAY WEST DES MOINES IA 50266 0 0 1 0 Senior Secured Notes 2015-12-30 4 J 0 8319002 D 42080998 I See footnote See Exhibit 99.1. [see signatures attached as Exhibit 99.2] 2016-02-12 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

(1)         This Form 4 is being filed to report the redemption by ClearBridge American Energy MLP Fund Inc., a closed-end management investment company registered under the Investment Company Act of 1940 (the “Issuer”), of an aggregate of $8,319,002 principal amount of the Issuer’s senior secured notes (the “Notes”), of which $1,969,697 principal amount of the Notes was redeemed from Athene Annuity & Life Assurance Company (“Athene Annuity”) and $6,349,305 principal amount of the Notes was redeemed from Athene Annuity and Life Company, formerly known as Aviva Life and Annuity Company (“AAIA”).  The Notes were redeemed at a purchase price equal to 102% of the respective principal amounts.  Following the reported transactions, Athene Annuity was the holder of record of $10,030,303 principal amount of the Notes and AAIA was the holder of record of $32,050,695 principal amount of the Notes.

 

Athene Annuity is the sole shareholder of AAIA.  Athene USA Corporation (“AUSA”) is the sole shareholder of Athene Annuity, and Athene Holding Ltd. (“Athene Holding”) is the sole shareholder of AUSA.

 

Athene Annuity disclaims beneficial ownership of the Notes held of record by AAIA, AAIA disclaims beneficial ownership of the Notes held of record by Athene Annuity, and each of Athene Holding and AUSA disclaims beneficial ownership of the Notes held of record by Athene Annuity or AAIA, in each case except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

The address of Athene Annuity, AAIA and AUSA is 7700 Mills Civic Parkway, West Des Moines, Iowa 50266.  The address of Athene Holding is 96 Pitts Bay Road, Pembroke, Bermuda HM08.

 

 EX-99.2 3 ex-99d2.htm EX-99.2

Exhibit 99.2

 

This Statement on Form 4 is filed by: (i) Athene Annuity & Life Assurance Company, (ii) Athene Annuity and Life Company, (iii) Athene USA Corporation, and (iv) Athene Holding Ltd.

 

Name of Designated Filer:  Athene Holding Ltd.

Date of Event Requiring Statement:  December 30, 2015

Issuer Name and Ticker or Trading Symbol: ClearBridge American Energy MLP Fund Inc. [CBA]

 

 

ATHENE ANNUITY & LIFE ASSURANCE COMPANY

 

 

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

 

 

ATHENE ANNUITY AND LIFE COMPANY

 

 

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

 

 

ATHENE USA CORPORATION

 

 

 

 

 

By:

/s/ John Golden

 

Name: John Golden

 

Title: Executive Vice President, Corporate

 

 

 

 

 

ATHENE HOLDING LTD.

 

 

 

 

 

By:

/s/ Tab Shanafelt

 

Name: Tab Shanafelt

 

Title: Senior Vice President, Legal and Secretary