Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 27, 2020 Filed Aug 28, 2020 18:16 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.9577 | $13.02 | $181.73 |
DisclosureSEC source: 0001225208-20-011072 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555.3974 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.9577 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 15:37 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 30.1074 | $13.49 | $406.15 |
DisclosureSEC source: 0001225208-20-010606 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,603.6861 Underlying: Common Shares ("Shares of Beneficial Interest") · 30.1074 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 15:36 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.4714 | $13.49 | $181.73 |
DisclosureSEC source: 0001225208-20-010605 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541.4396 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.4714 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 15:36 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.7301 | $13.49 | $360.59 |
DisclosureSEC source: 0001225208-20-010603 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,888.533 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.7301 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 15:36 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.9688 | $13.49 | $201.93 |
DisclosureSEC source: 0001225208-20-010604 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 596.7357 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.9688 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 18:47 UTC |
NOREEN CLIFFORD MDirector · Chairman of Fund
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 4,480.6832 | $13.23 | $59,279.44 |
DisclosureSEC source: 0001225208-20-010260 · doc4.xml · derivative · entry 2 NOREEN CLIFFORD M · CIK 0001194963 · Director · Chairman of Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,478.3459 Underlying: Common Shares ("Shares of Beneficial Interest") · 4,480.6832 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F3 · shares: Purchased pursuant to a dividend reinvestment plan. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 30, 2020 Filed Jul 31, 2020 16:29 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.5115 | $13.45 | $181.73 |
DisclosureSEC source: 0001225208-20-010112 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 518.5615 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.5115 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 30, 2020 Filed Jul 31, 2020 16:28 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.8096 | $13.45 | $360.59 |
DisclosureSEC source: 0001225208-20-010111 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,044.666 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.8096 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 30, 2020 Filed Jul 31, 2020 16:24 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 15.0133 | $13.45 | $201.93 |
DisclosureSEC source: 0001225208-20-010110 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 571.401 Underlying: Common Shares ("Shares of Beneficial Interest") · 15.0133 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 30, 2020 Filed Jul 31, 2020 16:20 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 30.197 | $13.45 | $406.15 |
DisclosureSEC source: 0001225208-20-010109 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,527.726 Underlying: Common Shares ("Shares of Beneficial Interest") · 30.197 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 19:26 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 30.4688 | $13.33 | $406.15 |
DisclosureSEC source: 0001225208-20-009837 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,497.529 Underlying: Common Shares ("Shares of Beneficial Interest") · 30.4688 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 19:25 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.6331 | $13.33 | $181.73 |
DisclosureSEC source: 0001225208-20-009836 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 505.05 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.6331 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 19:23 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 15.1485 | $13.33 | $201.93 |
DisclosureSEC source: 0001225208-20-009834 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 556.3876 Underlying: Common Shares ("Shares of Beneficial Interest") · 15.1485 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 19:24 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 27.051 | $13.33 | $360.59 |
DisclosureSEC source: 0001225208-20-009835 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,017.8563 Underlying: Common Shares ("Shares of Beneficial Interest") · 27.051 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 19:21 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 39.8177 | $13.33 | $530.77 |
DisclosureSEC source: 0001225208-20-009833 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,398.5242 Underlying: Common Shares ("Shares of Beneficial Interest") · 39.8177 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 02, 2020 Filed Jul 7, 2020 21:27 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 30.1521 | $13.47 | $406.15 |
DisclosureSEC source: 0001225208-20-009642 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,467.0601 Underlying: Common Shares ("Shares of Beneficial Interest") · 30.1521 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 19:17 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.7698 | $13.47 | $360.59 |
DisclosureSEC source: 0001225208-20-009570 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,990.8053 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.7698 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 19:17 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.991 | $13.47 | $201.93 |
DisclosureSEC source: 0001225208-20-009569 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541.2391 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.991 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 19:17 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.4914 | $13.47 | $181.73 |
DisclosureSEC source: 0001225208-20-009568 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 491.4168 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.4914 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 19:17 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 39.4038 | $13.47 | $530.77 |
DisclosureSEC source: 0001225208-20-009567 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,358.7065 Underlying: Common Shares ("Shares of Beneficial Interest") · 39.4038 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:46 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 30.2983 | $13.05 | $395.24 |
DisclosureSEC source: 0001225208-20-009138 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,436.9079 Underlying: Common Shares ("Shares of Beneficial Interest") · 30.2983 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:46 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.5568 | $13.41 | $181.73 |
DisclosureSEC source: 0001225208-20-009137 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477.9253 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.5568 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:46 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.8996 | $13.41 | $360.59 |
DisclosureSEC source: 0001225208-20-009136 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,964.0355 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.8996 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:46 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 15.0637 | $13.41 | $201.93 |
DisclosureSEC source: 0001225208-20-009135 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 526.248 Underlying: Common Shares ("Shares of Beneficial Interest") · 15.0637 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:46 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 39.5949 | $13.41 | $530.77 |
DisclosureSEC source: 0001225208-20-009134 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,319.3027 Underlying: Common Shares ("Shares of Beneficial Interest") · 39.5949 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 18:14 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 29.7763 | $13.64 | $406.15 |
DisclosureSEC source: 0001225208-20-008662 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,406.6095 Underlying: Common Shares ("Shares of Beneficial Interest") · 29.7763 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 18:14 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.4362 | $13.64 | $360.59 |
DisclosureSEC source: 0001225208-20-008660 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,937.1358 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.4362 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 18:14 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.3233 | $13.64 | $181.73 |
DisclosureSEC source: 0001225208-20-008661 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 464.3685 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.3233 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 18:14 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.8043 | $13.64 | $201.93 |
DisclosureSEC source: 0001225208-20-008659 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511.1842 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.8043 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 18:14 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 38.9127 | $13.64 | $530.77 |
DisclosureSEC source: 0001225208-20-008658 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,279.7078 Underlying: Common Shares ("Shares of Beneficial Interest") · 38.9127 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 21, 2020 Filed May 22, 2020 15:51 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 25.9604 | $13.89 | $360.59 |
DisclosureSEC source: 0001225208-20-008128 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,910.6996 Underlying: Common Shares ("Shares of Beneficial Interest") · 25.9604 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 21, 2020 Filed May 22, 2020 15:51 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.0835 | $13.89 | $181.73 |
DisclosureSEC source: 0001225208-20-008127 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451.0452 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.0835 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 21, 2020 Filed May 22, 2020 15:51 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.5377 | $13.89 | $201.93 |
DisclosureSEC source: 0001225208-20-008126 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496.3799 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.5377 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 21, 2020 Filed May 22, 2020 15:51 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 38.2123 | $13.89 | $530.77 |
DisclosureSEC source: 0001225208-20-008125 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,240.795 Underlying: Common Shares ("Shares of Beneficial Interest") · 38.2123 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 21, 2020 Filed May 22, 2020 15:51 UTC |
Merritt SearsAdviser Board Member
|
OtherMassMutual Non-Qualified Thrift Plan · Derivative | 29.2404 | $13.89 | $406.15 |
DisclosureSEC source: 0001225208-20-008124 · doc4.xml · derivative · entry 1 Merritt Sears · CIK 0001812204 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,376.8331 Underlying: Common Shares ("Shares of Beneficial Interest") · 29.2404 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 07, 2020 Filed May 11, 2020 19:28 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 15.019 | $12.10 | $181.73 |
DisclosureSEC source: 0001225208-20-007373 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437.9617 Underlying: Common Shares ("Shares of Beneficial Interest") · 15.019 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 07, 2020 Filed May 11, 2020 19:28 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 16.6884 | $12.10 | $201.93 |
DisclosureSEC source: 0001225208-20-007371 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 481.8421 Underlying: Common Shares ("Shares of Beneficial Interest") · 16.6884 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 07, 2020 Filed May 11, 2020 19:28 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 29.8008 | $12.10 | $360.59 |
DisclosureSEC source: 0001225208-20-007372 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,884.7392 Underlying: Common Shares ("Shares of Beneficial Interest") · 29.8008 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 07, 2020 Filed May 11, 2020 19:28 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 43.8652 | $12.10 | $530.77 |
DisclosureSEC source: 0001225208-20-007370 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,202.5826 Underlying: Common Shares ("Shares of Beneficial Interest") · 43.8652 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 04, 2020 Filed May 6, 2020 14:22 UTC |
NOREEN CLIFFORD MDirector · Chairman of Fund
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 4,410.6727 | $13.20 | $58,220.88 |
DisclosureSEC source: 0001225208-20-007162 · doc4.xml · derivative · entry 2 NOREEN CLIFFORD M · CIK 0001194963 · Director · Chairman of Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,997.6626 Underlying: Common Shares ("Shares of Beneficial Interest") · 4,410.6727 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F3 · shares: Purchased pursuant to a dividend reinvestment plan. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 23:01 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 13.1783 | $13.79 | $181.73 |
DisclosureSEC source: 0001225208-20-006746 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415.3904 Underlying: Common Shares ("Shares of Beneficial Interest") · 13.1783 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 23:01 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 26.1486 | $13.79 | $360.59 |
DisclosureSEC source: 0001225208-20-006745 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,053.9573 Underlying: Common Shares ("Shares of Beneficial Interest") · 26.1486 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 23:01 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.6432 | $13.79 | $201.93 |
DisclosureSEC source: 0001225208-20-006744 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456.8476 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.6432 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 23:01 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 38.4894 | $13.79 | $530.77 |
DisclosureSEC source: 0001225208-20-006743 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,905.8832 Underlying: Common Shares ("Shares of Beneficial Interest") · 38.4894 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 14:36 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.044 | $12.94 | $181.73 |
DisclosureSEC source: 0001225208-20-006391 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402.212 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.044 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 14:35 UTC |
Finke Thomas MOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 27.8663 | $12.94 | $360.59 |
DisclosureSEC source: 0001225208-20-006390 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,027.8086 Underlying: Common Shares ("Shares of Beneficial Interest") · 27.8663 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 14:35 UTC |
Emery ChristinaPresident
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 15.6051 | $12.94 | $201.93 |
DisclosureSEC source: 0001225208-20-006389 · doc4.xml · derivative · entry 1 Emery Christina · CIK 0001521374 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442.2044 Underlying: Common Shares ("Shares of Beneficial Interest") · 15.6051 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 14:35 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 41.0177 | $12.94 | $530.77 |
DisclosureSEC source: 0001225208-20-006388 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,867.3937 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.0177 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| March 26, 2020 Filed Mar 27, 2020 17:17 UTC |
Bishop JaniceChief Legal Officer/Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 41.8918 | $12.67 | $530.77 |
DisclosureSEC source: 0001225208-20-005625 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Chief Legal Officer/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,826.376 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.8918 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| March 26, 2020 Filed Mar 27, 2020 17:42 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 14.3433 | $12.67 | $181.73 |
DisclosureSEC source: 0001225208-20-005631 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388.1679 Underlying: Common Shares ("Shares of Beneficial Interest") · 14.3433 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.