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 |
|---|---|---|---|---|---|---|
| May 23, 2019 Filed May 24, 2019 19:21 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 33.0903 | $16.04 | $530.77 |
DisclosureSEC source: 0001225208-19-008518 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,916.4397 Underlying: Common Shares ("Shares of Beneficial Interest") · 33.0903 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 09, 2019 Filed May 13, 2019 16:29 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 22.5227 | $16.01 | $360.59 |
DisclosureSEC source: 0001225208-19-007796 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,453.0317 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.5227 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 09, 2019 Filed May 13, 2019 16:29 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.351 | $16.01 | $181.73 |
DisclosureSEC source: 0001225208-19-007794 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114.4992 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.351 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 09, 2019 Filed May 13, 2019 16:29 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 106.3041 | $16.01 | $1,701.93 |
DisclosureSEC source: 0001225208-19-007795 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,616.4254 Underlying: Common Shares ("Shares of Beneficial Interest") · 106.3041 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 09, 2019 Filed May 13, 2019 16:29 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 33.1524 | $16.01 | $530.77 |
DisclosureSEC source: 0001225208-19-007793 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,883.3493 Underlying: Common Shares ("Shares of Beneficial Interest") · 33.1524 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 06, 2019 Filed May 13, 2019 16:29 UTC |
NOREEN CLIFFORD MChairman of Fund
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 3,852.5041 | $15.81 | $60,908.09 |
DisclosureSEC source: 0001225208-19-007797 · doc4.xml · derivative · entry 2 NOREEN CLIFFORD M · CIK 0001194963 · Chairman of Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,879.4618 Underlying: Common Shares ("Shares of Beneficial Interest") · 3,852.5041 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: Purchased pursuant to a dividend reinvestment plan. Read SEC document |
| April 25, 2019 Filed Apr 29, 2019 16:48 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 108.059 | $15.75 | $1,701.93 |
DisclosureSEC source: 0001225208-19-007262 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,258.5361 Underlying: Common Shares ("Shares of Beneficial Interest") · 108.059 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 25, 2019 Filed Apr 29, 2019 16:48 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 22.8946 | $15.75 | $360.59 |
DisclosureSEC source: 0001225208-19-007260 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,714.8569 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.8946 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 25, 2019 Filed Apr 29, 2019 16:48 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.5384 | $15.75 | $181.73 |
DisclosureSEC source: 0001225208-19-007261 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101.2273 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.5384 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 25, 2019 Filed Apr 29, 2019 16:48 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 33.6996 | $15.75 | $530.77 |
DisclosureSEC source: 0001225208-19-007259 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,629.5226 Underlying: Common Shares ("Shares of Beneficial Interest") · 33.6996 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 11, 2019 Filed Apr 15, 2019 14:27 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.5426 | $15.37 | $177.41 |
DisclosureSEC source: 0001225208-19-006681 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89.6889 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.5426 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 11, 2019 Filed Apr 15, 2019 14:28 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 108.8536 | $15.37 | $1,673.08 |
DisclosureSEC source: 0001225208-19-006682 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,150.4771 Underlying: Common Shares ("Shares of Beneficial Interest") · 108.8536 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 11, 2019 Filed Apr 15, 2019 14:27 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 23.4606 | $15.37 | $360.59 |
DisclosureSEC source: 0001225208-19-006680 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,691.9623 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.4606 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 11, 2019 Filed Apr 15, 2019 14:27 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.2329 | $15.37 | $526.16 |
DisclosureSEC source: 0001225208-19-006679 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,595.8229 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.2329 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 28, 2019 Filed Mar 29, 2019 18:13 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 107.2563 | $15.33 | $1,644.24 |
DisclosureSEC source: 0001225208-19-005894 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,041.6235 Underlying: Common Shares ("Shares of Beneficial Interest") · 107.2563 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. 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 28, 2019 Filed Mar 29, 2019 18:13 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 23.5218 | $15.33 | $360.59 |
DisclosureSEC source: 0001225208-19-005892 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,668.5017 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.5218 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 28, 2019 Filed Mar 29, 2019 18:13 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.2902 | $15.33 | $173.08 |
DisclosureSEC source: 0001225208-19-005893 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78.1462 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.2902 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 28, 2019 Filed Mar 29, 2019 18:13 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.0208 | $15.33 | $521.54 |
DisclosureSEC source: 0001225208-19-005891 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,561.59 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.0208 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 14, 2019 Filed Mar 15, 2019 19:50 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 101.4962 | $16.20 | $1,644.24 |
DisclosureSEC source: 0001225208-19-005327 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,934.3671 Underlying: Common Shares ("Shares of Beneficial Interest") · 101.4962 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 14, 2019 Filed Mar 15, 2019 19:50 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 10.6839 | $16.20 | $173.08 |
DisclosureSEC source: 0001225208-19-005326 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66.856 Underlying: Common Shares ("Shares of Beneficial Interest") · 10.6839 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 14, 2019 Filed Mar 15, 2019 19:50 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 22.2586 | $16.20 | $360.59 |
DisclosureSEC source: 0001225208-19-005325 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,644.9799 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.2586 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 14, 2019 Filed Mar 18, 2019 12:57 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 32.1938 | $16.20 | $521.54 |
DisclosureSEC source: 0001225208-19-005380 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,527.5691 Underlying: Common Shares ("Shares of Beneficial Interest") · 32.1938 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 |
| February 28, 2019 Filed Mar 1, 2019 17:37 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 4,823.426 | $15.89 | $76,644.24 |
DisclosureSEC source: 0001225208-19-004063 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,832.8708 Underlying: Common Shares ("Shares of Beneficial Interest") · 4,823.426 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 |
| February 28, 2019 Filed Mar 1, 2019 17:36 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 10.8923 | $15.89 | $173.08 |
DisclosureSEC source: 0001225208-19-004062 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56.172 Underlying: Common Shares ("Shares of Beneficial Interest") · 10.8923 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 |
| February 28, 2019 Filed Mar 1, 2019 17:36 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 693.6148 | $15.89 | $11,021.54 |
DisclosureSEC source: 0001225208-19-004061 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,495.3753 Underlying: Common Shares ("Shares of Beneficial Interest") · 693.6148 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 |
| February 28, 2019 Filed Mar 1, 2019 17:36 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 3,573.1831 | $15.89 | $56,777.88 |
DisclosureSEC source: 0001225208-19-004060 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,622.7212 Underlying: Common Shares ("Shares of Beneficial Interest") · 3,573.1831 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 |
| February 14, 2019 Filed Feb 19, 2019 11:01 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 105.4 | $15.60 | $1,644.24 |
DisclosureSEC source: 0001225208-19-002817 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,009.4448 Underlying: Common Shares ("Shares of Beneficial Interest") · 105.4 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 |
| February 14, 2019 Filed Feb 19, 2019 11:01 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 33.432 | $15.60 | $521.54 |
DisclosureSEC source: 0001225208-19-002815 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,801.7605 Underlying: Common Shares ("Shares of Beneficial Interest") · 33.432 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 |
| February 14, 2019 Filed Feb 19, 2019 11:01 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.0948 | $15.60 | $173.08 |
DisclosureSEC source: 0001225208-19-002816 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45.2796 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.0948 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 |
| January 31, 2019 Filed Feb 1, 2019 22:24 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.3198 | $15.29 | $173.08 |
DisclosureSEC source: 0001225208-19-001682 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34.1847 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.3198 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 |
| January 31, 2019 Filed Feb 1, 2019 22:24 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 107.5369 | $15.29 | $1,644.24 |
DisclosureSEC source: 0001225208-19-001681 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,904.0448 Underlying: Common Shares ("Shares of Beneficial Interest") · 107.5369 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 |
| January 31, 2019 Filed Feb 1, 2019 22:21 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.1098 | $15.29 | $521.54 |
DisclosureSEC source: 0001225208-19-001679 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,768.3284 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.1098 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 |
| January 17, 2019 Filed Jan 22, 2019 19:46 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 107.1864 | $15.34 | $1,644.24 |
DisclosureSEC source: 0001225208-19-001065 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,796.5078 Underlying: Common Shares ("Shares of Beneficial Interest") · 107.1864 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 |
| January 17, 2019 Filed Jan 22, 2019 19:45 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.2829 | $15.34 | $173.08 |
DisclosureSEC source: 0001225208-19-001064 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22.8649 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.2829 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 |
| January 17, 2019 Filed Jan 22, 2019 19:45 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 33.9986 | $15.34 | $521.54 |
DisclosureSEC source: 0001225208-19-001063 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,734.2185 Underlying: Common Shares ("Shares of Beneficial Interest") · 33.9986 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 |
| January 03, 2019 Filed Jan 7, 2019 21:58 UTC |
Jarvis StephenOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 11.582 | $14.94 | $173.08 |
DisclosureSEC source: 0001225208-19-000694 · doc4.xml · derivative · entry 1 Jarvis Stephen · CIK 0001441795 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11.582 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.582 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 |
| January 03, 2019 Filed Jan 7, 2019 21:31 UTC Amendment |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 110.0282 | $14.94 | $1,644.24 |
DisclosureSEC source: 0001225208-19-000674 · doc4a.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,689.3214 Underlying: Common Shares ("Shares of Beneficial Interest") · 110.0282 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 |
| January 03, 2019 Filed Jan 7, 2019 21:24 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 110.0282 | $14.94 | $1,644.24 |
DisclosureSEC source: 0001225208-19-000672 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,689.3214 Underlying: Common Shares ("Shares of Beneficial Interest") · 110.0282 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 |
| December 31, 2018 Filed Jan 7, 2019 22:31 UTC |
NOREEN CLIFFORD MChairman of Fund
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 4,060.5394 | $14.70 | $59,689.93 |
DisclosureSEC source: 0001225208-19-000695 · doc4.xml · derivative · entry 2 NOREEN CLIFFORD M · CIK 0001194963 · Chairman of Fund 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,026.9577 Underlying: Common Shares ("Shares of Beneficial Interest") · 4,060.5394 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 |
| December 20, 2018 Filed Dec 21, 2018 18:02 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 109.616 | $15.00 | $1,644.24 |
DisclosureSEC source: 0001225208-18-016989 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,427.7074 Underlying: Common Shares ("Shares of Beneficial Interest") · 109.616 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 |
| December 20, 2018 Filed Dec 21, 2018 18:02 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 24.0393 | $15.00 | $360.59 |
DisclosureSEC source: 0001225208-18-016988 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,368.5476 Underlying: Common Shares ("Shares of Beneficial Interest") · 24.0393 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 |
| December 20, 2018 Filed Dec 21, 2018 18:02 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.7693 | $15.00 | $521.54 |
DisclosureSEC source: 0001225208-18-016987 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,486.2158 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.7693 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 |
| December 06, 2018 Filed Dec 7, 2018 19:06 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 108.4805 | $15.16 | $1,644.24 |
DisclosureSEC source: 0001225208-18-016323 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,318.0914 Underlying: Common Shares ("Shares of Beneficial Interest") · 108.4805 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 |
| December 06, 2018 Filed Dec 7, 2018 19:01 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 23.7903 | $15.16 | $360.59 |
DisclosureSEC source: 0001225208-18-016321 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,344.5083 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.7903 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 |
| December 06, 2018 Filed Dec 7, 2018 19:03 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.4091 | $15.16 | $521.54 |
DisclosureSEC source: 0001225208-18-016322 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,451.4464 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.4091 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 |
| November 21, 2018 Filed Nov 24, 2018 01:21 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 110.2776 | $14.91 | $1,644.24 |
DisclosureSEC source: 0001225208-18-015847 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,209.6108 Underlying: Common Shares ("Shares of Beneficial Interest") · 110.2776 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 |
| November 21, 2018 Filed Nov 24, 2018 01:21 UTC |
Finke Thomas MOfficer & Board Member of Advi
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 24.1844 | $14.91 | $360.59 |
DisclosureSEC source: 0001225208-18-015846 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,320.7179 Underlying: Common Shares ("Shares of Beneficial Interest") · 24.1844 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 |
| November 21, 2018 Filed Nov 24, 2018 01:20 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.9792 | $14.91 | $521.54 |
DisclosureSEC source: 0001225208-18-015845 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,417.0372 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.9792 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 |
| November 08, 2018 Filed Nov 13, 2018 23:18 UTC |
Shettle Robert MarkOfficer of Adviser
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 107.8897 | $15.24 | $1,644.24 |
DisclosureSEC source: 0001225208-18-015475 · doc4.xml · derivative · entry 1 Shettle Robert Mark · CIK 0001385522 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,099.3332 Underlying: Common Shares ("Shares of Beneficial Interest") · 107.8897 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 |
| November 08, 2018 Filed Nov 13, 2018 23:18 UTC |
Bishop JaniceAsst Secretary
|
OtherBarings Non-Qualified Thrift Plan · Derivative | 34.2217 | $15.24 | $521.54 |
DisclosureSEC source: 0001225208-18-015473 · doc4.xml · derivative · entry 1 Bishop Janice · CIK 0001563224 · Asst Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,382.058 Underlying: Common Shares ("Shares of Beneficial Interest") · 34.2217 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.