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John Haller (SCD) submits Form 3 as Dir./COO-Subadviser with no trades

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

LMP CAPITAL & INCOME FUND INC. insider John Haller filed an initial Form 3 reporting his status as a director/COO of a subadviser to the fund. The filing lists no common stock or derivative transactions, making this a routine ownership disclosure without reported trades.

Positive

  • None.

Negative

  • None.
Form 3 regulatory
"INSIDER FILING DATA (Form 3): {"
Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.
Dir./COO-Subadviser financial
""other": "Dir./COO-Subadviser""
is_ten_percent_owner regulatory
""is_ten_percent_owner": 0,"
Understanding Insider Trading Forms →
SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Haller John
(Last)(First)(Middle)
CLEARBRIDGE INVESTMENTS
ONE MADISON AVENUE
(Street)
NEW YORK NEW YORK 10010
(City)(State)(Zip)
UNITED STATES
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2026		3. Issuer Name and Ticker or Trading Symbol
LMP CAPITAL & INCOME FUND INC. [ SCD ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
Officer (give title below)XOther (specify below)
Dir./COO-Subadviser
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
Remarks:
No securities are beneficially owned.
/s/Marc A. De Oliveira by Power of Attorney on behalf of John Haller04/02/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What does John Haller's Form 3 filing for SCD show?

John Haller’s Form 3 for SCD reports his status as a director/COO of a subadviser to LMP Capital & Income Fund Inc. The filing lists no reported transactions in common stock or derivatives, serving as a baseline ownership disclosure.

Does the SCD Form 3 for John Haller report any share purchases or sales?

The Form 3 for John Haller reports no share purchases or sales. Transaction counts for buys, sells, exercises, gifts, tax withholding, and restructurings are all zero, indicating no trading activity is being disclosed in this filing.

What is John Haller’s reported role in relation to LMP Capital & Income Fund Inc. (SCD)?

John Haller is identified as “Dir./COO-Subadviser” in relation to LMP Capital & Income Fund Inc. This indicates he is a director and chief operating officer of a subadviser connected to the fund, rather than an officer or ten percent owner of the fund itself.

Are there any derivative securities reported in John Haller’s SCD Form 3?

No derivative securities are reported in John Haller’s Form 3 for SCD. The derivative summary is empty and derivativeTransactionCount is zero, meaning the filing does not disclose options, warrants, or other derivative positions for this reporting person.

Does the SCD Form 3 indicate that John Haller is a ten percent owner?

The Form 3 indicates John Haller is not a ten percent owner of LMP Capital & Income Fund Inc. The is_ten_percent_owner field is set to zero, while his relationship is instead described through his Dir./COO-Subadviser role.
LMP Capital & Income

NYSE:SCD

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SCD Rankings

#3874 Ranked by Market Cap
#174 Ranked by Dividends
#1349 52-Week Gainer
#933 YTD Gainer
#1826 Monthly Gainer

SCD Latest News

Dec 31, 2025
LMP Capital and Income Fund Inc. (SCD or “the Fund”; CUSIP: 50208A102) Announces Notification of Sources of Distributions
Dec 1, 2025
LMP Capital and Income Fund Inc. (SCD or “the Fund”; CUSIP: 50208A102) Announces Notification of Sources of Distributions
Nov 20, 2025
Franklin Templeton Fund Adviser, LLC Announces Distributions for Certain Closed End Funds Pursuant to their Managed Distribution Policy for the Months of December 2025, January and February 2026
Nov 3, 2025
LMP Capital and Income Fund Inc. (SCD or “the Fund”; CUSIP: 50208A102) Announces Notification of Sources of Distributions
Oct 1, 2025
LMP Capital and Income Fund Inc. (SCD or “the Fund”; CUSIP: 50208A102) Announces Notification of Sources of Distributions

SCD Latest SEC Filings

Mar 9, 2026
[DEF 14A] LMP CAPITAL & INCOME FUND INC. Definitive Proxy Statement
Feb 13, 2026
[424B3] LMP CAPITAL & INCOME FUND INC. Prospectus Filed Pursuant to Rule 424(b)(3)
Feb 11, 2026
[N-CEN] LMP CAPITAL & INCOME FUND INC. SEC Filing
Jan 28, 2026
[N-CSR] LMP CAPITAL & INCOME FUND INC. SEC Filing
Jan 12, 2026
[Form 3] LMP CAPITAL & INCOME FUND INC. Initial Statement of Beneficial Ownership

SCD Stock Data

341.99M
22.91M
Asset Management
Financial Services
Link
United States
New York