Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Adviser Board Member | March 23, 2023 | March 24, 2023 |
| Barings BDC, Inc.BBDC · Entity 4971 | Adviser Board Member | August 02, 2018 | August 10, 2018 |
| Barings Capital Investment CorpNONE · Entity 70260 | Adviser Board Member | August 24, 2020 | August 24, 2020 |
| Barings Private Credit CorpBPCC · Entity 70480 | Adviser Board Member | January 06, 2022 | January 06, 2022 |
| Cascade Private Capital Fund(NONE) · Entity 10278 | Adviser Board Member | September 27, 2022 | September 27, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BARINGS CORPORATE INVESTORS
Report date March 23, 2023 · Filed March 24, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| MassMutual Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 15,344.2558 |
Reported balance
After 2023-03-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-03-23 · Other · Acquired 52.1958 · Balance 15,344.2558 F1: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and 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: 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.
Barings BDC, Inc.
Report date August 02, 2018 · Filed August 10, 2018
This filing explicitly reported no securities owned.
Barings Capital Investment Corp
Report date August 24, 2020 · Filed August 24, 2020
This filing explicitly reported no securities owned.
Barings Private Credit Corp
Report date January 06, 2022 · Filed January 06, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
This filing explicitly reported no securities owned.
Cascade Private Capital Fund
Report date September 27, 2022 · Filed September 27, 2022
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 20, 2021 Filed May 21, 2021 17:17 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 46.854 | $14.94 | $700.00 |
DisclosureSEC source: 0001225208-21-008396 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,740.8175 Underlying: Common Shares ("Shares of Beneficial Interest") · 46.854 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 06, 2021 Filed May 7, 2021 17:32 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 46.8227 | $14.95 | $700.00 |
DisclosureSEC source: 0001225208-21-007717 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,693.9634 Underlying: Common Shares ("Shares of Beneficial Interest") · 46.8227 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 |
| April 22, 2021 Filed Apr 23, 2021 15:30 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 48.9853 | $14.29 | $700.00 |
DisclosureSEC source: 0001225208-21-006937 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,509.7936 Underlying: Common Shares ("Shares of Beneficial Interest") · 48.9853 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 08, 2021 Filed Apr 9, 2021 15:21 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 48.2758 | $14.50 | $700.00 |
DisclosureSEC source: 0001225208-21-006692 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,460.8083 Underlying: Common Shares ("Shares of Beneficial Interest") · 48.2758 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 25, 2021 Filed Mar 26, 2021 17:14 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 50 | $14.00 | $700.00 |
DisclosureSEC source: 0001225208-21-005896 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,412.5325 Underlying: Common Shares ("Shares of Beneficial Interest") · 50 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 11, 2021 Filed Mar 12, 2021 16:35 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 52.2778 | $13.39 | $700.00 |
DisclosureSEC source: 0001225208-21-005173 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,362.5325 Underlying: Common Shares ("Shares of Beneficial Interest") · 52.2778 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 04, 2021 Filed Mar 5, 2021 21:03 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 1,005.6499 | $13.37 | $13,445.54 |
DisclosureSEC source: 0001225208-21-004797 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,310.2546 Underlying: Common Shares ("Shares of Beneficial Interest") · 1,005.6499 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 25, 2021 Filed Feb 26, 2021 18:47 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 41.3888 | $13.40 | $554.61 |
DisclosureSEC source: 0001225208-21-003909 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,304.6047 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.3888 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 11, 2021 Filed Feb 12, 2021 16:47 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 41.4197 | $13.39 | $554.61 |
DisclosureSEC source: 0001225208-21-002292 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,263.2159 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.4197 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 28, 2021 Filed Jan 29, 2021 16:16 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 41.8889 | $13.24 | $554.61 |
DisclosureSEC source: 0001225208-21-001272 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,221.7962 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.8889 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 14, 2021 Filed Jan 15, 2021 18:43 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 40.4234 | $13.70 | $553.80 |
DisclosureSEC source: 0001225208-21-000831 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,179.9072 Underlying: Common Shares ("Shares of Beneficial Interest") · 40.4234 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 25, 2018 Filed Jun 26, 2018 19:26 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 5,809.1897 | $15.23 | $88,473.96 |
DisclosureSEC source: 0001225208-18-010907 · doc4.xml · derivative · entry 1 Corbett M. Timothy · CIK 0001563277 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,809.1897 Underlying: Common Shares ("Shares of Beneficial Interest") · 5,809.1897 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.