Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Officer of Adviser | October 31, 2017 | November 03, 2017 |
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 October 31, 2017 · Filed November 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Barings Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-10-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-10-31 · Other · Disposed 9,127.1019 · Balance 0 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. F3: 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. |
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.
F3: 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.
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 |
|---|---|---|---|---|---|---|
| October 31, 2017 Filed Nov 3, 2017 00:26 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 9,127.1019 | $16.00 | $146,033.63 |
DisclosureSEC source: 0001225208-17-016847 · doc4.xml · derivative · entry 1 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares ("Shares of Beneficial Interest") · 9,127.1019 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: 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. 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 08, 2017 Filed Jun 9, 2017 17:24 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 1,093.045 | $15.12 | $16,530.12 |
DisclosureSEC source: 0001225208-17-011075 · doc4.xml · nonDerivative · entry 2 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 17:24 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 1,500 | $15.16 | $22,741.35 |
DisclosureSEC source: 0001225208-17-011075 · doc4.xml · nonDerivative · entry 1 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,093.045 Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 18:11 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 2,000 | $15.18 | $30,350.00 |
DisclosureSEC source: 0001225208-17-010984 · doc4.xml · nonDerivative · entry 2 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,593.045 Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 18:11 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 1,000 | $15.16 | $15,156.30 |
DisclosureSEC source: 0001225208-17-010984 · doc4.xml · nonDerivative · entry 1 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,593.045 Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 21:46 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 1,000 | $15.16 | $15,159.00 |
DisclosureSEC source: 0001225208-17-010906 · doc4.xml · nonDerivative · entry 1 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,593.045 Read SEC document |
| May 30, 2017 Filed May 31, 2017 17:56 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | SaleCommon Shares ("Shares of Beneficial Interest") | 50 | $15.15 | $757.55 |
DisclosureSEC source: 0001225208-17-010588 · doc4.xml · nonDerivative · entry 1 Erwin Robert David · CIK 0001385515 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,593.045 F1 · 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.