Welcome to our dedicated page for LMP CAPITAL & INCOME FUND 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.
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LMP CAPITAL & INCOME FUND INC. (SCD) reports that Brett Michael Mossman has become a reporting person on an initial Form 3. He is identified as "Senior Vice President/Inv. Mgr" and is not marked as a director, officer of the issuer, or ten percent owner. The Form 3 does not list any reportable transactions or holdings for him at this time.
LMP CAPITAL & INCOME FUND INC. (SCD) filed an initial insider ownership report for Ann Elizabeth Doyle, identified as a Senior Vice President. The Form 3 does not list any transactions or report any current holdings or derivative positions for her in the fund’s securities.
LMP Capital and Income Fund, Inc. filed a prospectus/SAI supplement updating its portfolio management disclosures. Effective May 1, 2026, the Prospectus replaces the "Investment Management Team" section to list ClearBridge and Western Asset portfolio managers and their roles. The SAI updates account counts and assets managed as of November 30, 2025. A second update, effective September 30, 2026, deletes the information relating to Christopher Kilpatrick from both the Prospectus and the SAI.
LMP CAPITAL & INCOME FUND INC. submitted an initial insider ownership report for Kim Stout, identified as CCO/Subadviser. This Form 3 filing lists Stout as a reporting person but does not show any stock purchases, sales, or derivative transactions. It functions as a baseline disclosure of insider status rather than a record of trading activity.
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.
LMP Capital and Income Fund Inc. is asking stockholders to vote at its annual meeting on April 17, 2026 in New York. Stockholders will elect three Class III directors—Robert D. Agdern, Eileen A. Kamerick and Peter Mason—to serve until the 2029 annual meeting.
Investors are also being asked to ratify PricewaterhouseCoopers LLP as independent registered public accountants for the fiscal year ending November 30, 2026. The Board, which is majority independent and led by Chair Eileen Kamerick, unanimously recommends voting “FOR” all director nominees and “FOR” ratifying PwC.
The record date is February 6, 2026, with 22,906,336 common shares outstanding. Stockholders may vote by mail, telephone or Internet, and proxies returned without instructions will be voted for both proposals.
LMP Capital and Income Fund Inc. updated its prospectus and Statement of Additional Information to reflect that it is now classified as a diversified closed-end management investment company under the Investment Company Act of 1940. The fund was previously classified as non-diversified.
As a diversified fund, at least 75% of total assets must be invested so that no more than 5% is in any one issuer and the fund may not own more than 10% of an issuer’s voting securities, excluding cash, U.S. government securities and other investment companies. The fund also removed the "Non-Diversification Risk" disclosure and states it cannot resume operating in a non-diversified manner without shareholder approval.
SCD filed an N-CEN annual report as a registered investment company, detailing its operational and trading relationships rather than performance results. The report lists multiple unaffiliated brokers and shows aggregate brokerage commissions paid by the fund of 135,415.19000000 during the reporting period.
It also discloses principal trading activity with several dealers, including total purchases and sales of 32,683,871.37000000 with one dealer and 9,753,552000 with another. The filing further identifies key service providers such as investment advisers, transfer agents, custodians, pricing services, and shareholder servicing agents.
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.