Welcome to our dedicated page for LMP Capital & Income SEC filings (Ticker: SCD), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to regulatory and disclosure information for LMP Capital and Income Fund Inc. (NYSE: SCD), a non-diversified, closed-end management investment company with an objective of total return and an emphasis on income. While specific SEC filings are not listed here, the Fund’s public communications describe how it reports distribution sources and capital actions within the framework of the Investment Company Act of 1940 and registration statements filed with the Securities and Exchange Commission.
The Fund issues Section 19(a) notices that estimate the sources of its monthly distributions. These notices break out net investment income, net realized short-term capital gains, net realized long-term capital gains and return of capital, both on a per-share basis and as percentages of total distributions. They also present cumulative fiscal year-to-date allocations. The Fund emphasizes that these figures are estimates, not tax reporting data, and that final tax characterizations are provided to shareholders on Form 1099-DIV.
In connection with transferable rights offerings, the Fund refers to an effective registration statement and prospectus supplement filed with the SEC. These documents describe the terms of the offering, including record dates, subscription formulas, pricing relative to net asset value and the rights of stockholders to subscribe for additional shares. Public announcements also remind investors that shares of closed-end investment companies often trade at a discount to net asset value and that market prices are influenced by factors beyond the Fund’s control.
On Stock Titan, AI-powered tools can help users interpret the information contained in SCD’s regulatory disclosures. When filings such as annual and semi-annual reports or offering documents are available, AI summaries can highlight key points about distribution policies, performance metrics, rights offerings and risk disclosures, allowing investors to review lengthy documents more efficiently while still referring to the original SEC materials for full detail.
LMP Capital and Income Fund Inc. (SCD) reported a challenging year for the 12 months ended November 30, 2025. The Fund returned -3.59% based on net asset value and -9.23% based on its NYSE market price, well behind its blended Composite Index at 11.82% and the S&P 500 at 15.00%.
The Fund maintained its managed distribution policy, paying $1.42 per share over the year via a fixed $0.1200 monthly distribution, which can include net investment income, capital gains and return of capital. Net investment income was $3.9 million, while realized gains of $46.5 million were offset by $51.2 million of unrealized losses, producing a small operating loss.
To support asset growth and liquidity, the Fund completed a sizable transferable rights offering, issuing 5,714,415 new common shares and raising about $86.9 million of gross proceeds, and also sold additional shares via an equity shelf program. At year-end, net assets were $378.1 million with a $16.51 NAV, supported by $80 million of borrowings under a margin loan facility. The portfolio remained diversified, tilted toward information technology, financials, industrials, MLPs and health care, with top holdings including Marvell Technology, Apple, Broadcom, Alphabet and NextEra Energy.
LMP Capital & Income Fund Inc. insider filing shows no holdings. Manager/Investment Manager Brian Eakes filed an initial ownership report stating that no securities of LMP Capital & Income Fund Inc. (SCD) are beneficially owned. This Form 3 indicates that, as of the event date of January 1, 2026, there are no non-derivative or derivative securities of the fund reported under his beneficial ownership.
LMP Capital & Income Fund Inc. (SCD) received an amended Schedule 13G from Bank of Montreal and affiliates reporting 0 shares of the fund’s Transferable Rights, representing 0% of the class. The reported event date is 09/30/2025.
The filing lists 0 for sole and shared voting power and 0 for sole and shared dispositive power across Bank of Montreal, Bank of Montreal Holding Inc., and BMO Nesbitt Burns Inc. It states the securities were held in the ordinary course of business, not to change or influence control.
Raymond James Financial Services Advisors, Inc. filed Amendment No. 3 to Schedule 13G reporting beneficial ownership in LMP Capital & Income Fund Inc. (SCD).
The firm reports 725,860.33 shares beneficially owned, representing 4.2% of the class, as of September 30, 2025. It has sole dispositive power over 725,860.33 shares and no voting power. The filing states the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.
The position is disclosed under the institutional categories of broker-dealer and investment adviser and reflects ownership of 5 percent or less of the class.
Jeffrey Masom filed an initial Form 3 reporting his relationship to LMP Capital & Income Fund Inc. (Ticker: SCD) as an Officer with the role noted as "Director- Subadviser." The report, relating to an event dated 04/29/2025, states no securities are beneficially owned. The form was signed by Mitchell O'Brien by power of attorney on 08/27/2025.
Sit Investment Associates, Inc. (SIA) and its subsidiary Sit Fixed Income Advisors II, LLC (SFI) have filed a Schedule 13G reporting a 13.6 % passive stake in LMP Capital and Income Fund Inc. (CUSIP 50208A102, symbol SCD). As of 31 July 2025, the advisers jointly hold 3,115,773 common shares on behalf of client accounts, giving them shared voting and dispositive power over the entire position; they possess no sole voting or dispositive authority. The ownership percentage is based on 22,906,340 shares outstanding (including shares issued via the 11 July 2025 rights offering).
SIA and SFI, both registered under the Investment Advisers Act, state that the securities were acquired in the ordinary course of business and not for the purpose of influencing control of the closed-end fund. They expressly disclaim beneficial ownership under Rule 13d-4. The certification is signed by Vice President Paul E. Rasmussen on 5 Aug 2025, and the filing is made pursuant to Rule 13d-1(b) for investment advisers.
The disclosure introduces a sizable institutional holder to SCD’s register, signaling external confidence but also concentrating over 5 % of outstanding shares in managed accounts that could be reallocated at the advisers’ discretion.
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