Salient Midstream & MLP Fund SMM
Trading inactive
| Name of reporting person | Citizenship or organization | Sole voting power | Shared voting power | Sole dispositive power | Shared dispositive power | Amount beneficially owned | Percent of class | Accepted date |
|---|---|---|---|---|---|---|---|---|
| CSS, LLC | Illinois, United States | 0 | 0 | 0 | 0 | 0 | 0 % | 31/10/2022 |
| CSS, LLC | Illinois, United States | 0 | 0 | 0 | 0 | 0 | 0 % | 31/10/2022 |
| CSS, LLC | Illinois, United States | 1105148 | 0 | 1105148 | 0 | 1105148 | 6.24 % | 09/09/2022 |
| CSS, LLC | Illinois, United States | 1105148 | 0 | 1105148 | 0 | 1105148 | 6.24 % | 09/09/2022 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1738598 | 1810139 | 10.21 % | 06/07/2022 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1738598 | 1810139 | 10.21 % | 06/07/2022 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2891329 | 2892543 | 16.32 % | 26/01/2022 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2891329 | 2892543 | 16.32 % | 26/01/2022 |
| Saba Capital Management GP, LLC | Delaware | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| Boaz R. Weinstein | United States | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| Saba Capital Management GP, LLC | Delaware | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| Saba Capital Management, L.P. | Delaware | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| Boaz R. Weinstein | United States | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| Saba Capital Management, L.P. | Delaware | 0 | 1184002 | 0 | 1184002 | 1184002 | 6.7 % | 23/09/2021 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 3402086 | 3402086 | 19.2 % | 05/02/2021 | |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 3402086 | 3402086 | 19.2 % | 05/02/2021 | |
| Morgan Stanley | Delaware. | 0 | 0 | 0 | 311052 | 311052 | 1.8 % | 09/10/2020 |
| Morgan Stanley Smith Barney LLC | Delaware. | 0 | 0 | 0 | 311052 | 311052 | 1.8 % | 09/10/2020 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 3230716 | 3230716 | 18.23 % | 10/09/2020 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 3230716 | 3230716 | 18.23 % | 10/09/2020 |
| Morgan Stanley | Delaware. | 0 | 0 | 0 | 1532151 | 1532151 | 8.6 % | 13/02/2020 |
| Morgan Stanley Smith Barney LLC | Delaware. | 0 | 0 | 0 | 1532151 | 1532151 | 8.6 % | 13/02/2020 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2317978 | 2317978 | 13.08 % | 05/02/2020 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2317978 | 2317978 | 13.08 % | 05/02/2020 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 1981003 | 1981003 | 11.18 % | 04/02/2019 | |
| Guggenheim Funds Services, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Capital, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Partners, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| GI Holdco II LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| GI Holdco LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| GI Holdco II LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Funds Services, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Partners, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Guggenheim Capital, LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| GI Holdco LLC | Delaware | 0 | 834479 | 0 | 834479 | 0 | 4.71 % | 14/02/2018 |
| Morgan Stanley | Delaware. | 0 | 1090601 | 0 | 880588 | 1113157 | 6.2 % | 12/02/2018 |
| Morgan Stanley Smith Barney LLC | Delaware. | 0 | 1090601 | 0 | 880588 | 1113157 | 6.2 % | 12/02/2018 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2555113 | 2555113 | 14.42 % | 16/01/2018 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2555113 | 2555113 | 14.42 % | 16/01/2018 |
| GI Holdco LLC | Delaware | 0 | 996345 | 0 | 996345 | 0 | 5.62 % | 14/02/2017 |
| Guggenheim Capital, LLC | Delaware | 0 | 996345 | 0 | 996345 | 0 | 5.62 % | 14/02/2017 |
| Guggenheim Partners, LLC | Delaware | 0 | 996345 | 0 | 996345 | 0 | 5.62 % | 14/02/2017 |
| GI Holdco II LLC | Delaware | 0 | 996345 | 0 | 996345 | 0 | 5.62 % | 14/02/2017 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 996345 | 0 | 996345 | 0 | 5.62 % | 14/02/2017 |
| Guggenheim Funds Services, LLC | Delaware | 0 | 995275 | 0 | 995275 | 0 | 5.61 % | 14/02/2017 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 995275 | 0 | 995275 | 0 | 5.61 % | 14/02/2017 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2178349 | 2178349 | 12.29 % | 17/01/2017 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2178349 | 2178349 | 12.29 % | 17/01/2017 |
| Guggenheim Funds Services, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Capital, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Partners, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| GI Holdco II LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| GI Holdco LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Funds Services Holdings, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Funds Services, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Capital, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Partners, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| GI Holdco II LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| GI Holdco LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Funds Services Holdings, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 1181482 | 0 | 1181482 | 0 | 6.67 % | 16/02/2016 |
| Advisors Asset Management, Inc. | Delaware USA | 782690 | 0 | 782690 | 0 | 782690 | 4.416 % | 10/02/2016 |
| Advisors Asset Management, Inc. | Delaware USA | 969617 | 0 | 969617 | 0 | 969617 | 5.471 % | 10/02/2016 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1916937 | 1916937 | 10.82 % | 21/01/2016 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1916937 | 1916937 | 10.82 % | 21/01/2016 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1825983 | 1825983 | 10.3 % | 10/12/2015 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1825983 | 1825983 | 10.3 % | 10/12/2015 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1721751 | 1721751 | 9.73 % | 10/06/2015 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1721751 | 1721751 | 9.73 % | 10/06/2015 |
| GI Holdco II, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Capital, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Partners, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| GI Holdco, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Partners Investment Management Holdings, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Funds Services Holdings, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Funds Services, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Guggenheim Funds Distributors, LLC | Delaware | 0 | 1360739 | 0 | 1360739 | 0 | 7.69 % | 17/02/2015 |
| Advisors Asset Management, Inc. | Delaware USA | 1471848 | 0 | 1471848 | 0 | 1471848 | 8.316 % | 11/02/2015 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2766048 | 2766048 | 15.63 % | 06/02/2015 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 2766048 | 2766048 | 15.63 % | 06/02/2015 |
| Advisors Asset Management, Inc. | Delaware USA | 953265 | 0 | 953265 | 0 | 953265 | 10.035 % | 12/11/2014 |
| Advisors Asset Management, Inc. | Delaware USA | 953265 | 0 | 953265 | 0 | 953265 | 10.035 % | 12/11/2014 |
| Advisors Asset Management, Inc. | Delaware USA | 487872 | 0 | 487872 | 0 | 487872 | 5.151 % | 12/02/2014 |
| Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: | Illinois USA | 0 | 0 | 0 | 1955085 | 1955085 | 20.64 % | 12/02/2014 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1943791 | 1943791 | 20.52 % | 10/06/2013 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1943791 | 1943791 | 20.52 % | 10/06/2013 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1162776 | 1162776 | 12.28 % | 10/04/2013 |
| First Trust Advisors L.P. The Charger Corporation | Illinois, U.S.A. | 0 | 0 | 0 | 1162776 | 1162776 | 12.28 % | 10/04/2013 |