Finke Thomas M

SEC source: 0001493152-26-045391 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,605

SEC source: 0001493152-26-042742 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 329,605

SEC source: 0001493152-26-040391 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,605

SEC source: 0001493152-26-040045 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,961

SEC source: 0001493152-26-034647 · ownership.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock, par value $0.001 · 200,000 shares

Expires 2029-07-22

F1 · security: The grant of this stock option to the Reporting Person was approved by the board of directors of Venu Holding Corporation (the "Issuer") and is exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3(d)(1) promulgated thereunder.

F2 · derivative.exercise_date: Of the 200,000 shares of the Issuer's common stock underlying this option, 100,000 shares vested immediately when the option was granted on July 22, 2026 (the "Grant Date"), and the remaining 100,000 shares will vest on the first anniversary of the Grant Date.

SEC source: 0001493152-26-029460 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,961

SEC source: 0001363651-26-000002 · wk-form4_1779225203.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,238

SEC source: 0001493152-26-000464 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,961

SEC source: 0001493152-25-029635 · ownership.xml · nonDerivative · entry 3

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,600

SEC source: 0001493152-25-029635 · ownership.xml · nonDerivative · entry 2

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,400

SEC source: 0001493152-25-029635 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,200

SEC source: 0001493152-25-020283 · ownership.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-05-05

F1 · security: This option was approved by the board of directors (the "Board") of Venu Holding Corporation (the "Issuer") and is exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3(d)(1) promulgated thereunder.

F2 · date: This option grant was approved by the Issuer's Board on May 1, 2025, subject to shareholder approval of an amendment to the Issuer's Amended and Restated 2023 Omnibus Incentive Compensation Plan (the "Plan"), which the option was granted under, to increase the number of shares of the Company's common stock (the "Common Stock") reserved for issuance under the Plan. The Issuer's shareholders approved such amendment to the Plan on October 28, 2025 (the "Grant Effective Date").

F3 · derivative.exercise_date: Of the 250,000 shares of Common Stock underlying this option, 50,000 shares vested immediately on the Grant Effective Date. Thereafter, 50,000 shares will vest on each annual anniversary of the effective date of the Reporting Person's appointment to the Board, which occurred on May 5, 2025.

SEC source: 0001641172-25-026243 · ownership.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: Shares acquired by the reporting person in a public offering conducted by the Issuer pursuant to a Registration Statement on Form S-1 (File No. 333-289800) that closed on August 28, 2025.

SEC source: 0001363651-25-000002 · wk-form4_1747678670.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,126

SEC source: 0001363651-24-000004 · wk-form4_1715973358.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,398

SEC source: 0001104659-23-078175 · tm2320471-3_4seq1.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,164

SEC source: 0001209191-23-030194 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,443

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 12

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,333

Underlying: Class A Common Stock · 387,333 shares

Expires not disclosed

F8 · derivative.exercise_price: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

F8 · derivative.exercise_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · derivative.expiration_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 11

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 250,000

Underlying: Class A Common Stock · 250,000 shares

Expires not disclosed

F8 · derivative.exercise_price: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

F8 · derivative.exercise_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · derivative.expiration_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F7 · ownership.nature: The securities are held directly by the Thomas M. Finke Family Trust dtd 12/14/2012, of which the reporting person is the grantor, the reporting person's spouse is the trustee and the reporting person's spouse and children are beneficiaries. The reporting person disclaims beneficial ownership of such securities, and the inclusion of such securities in this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 10

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,120,000 shares

Expires not disclosed

F8 · derivative.exercise_price: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

F8 · derivative.exercise_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · derivative.expiration_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 9

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,120,000

Underlying: Class A Common Stock · 4,120,000 shares

Expires not disclosed

F8 · derivative.exercise_price: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · kind: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · derivative.exercise_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F8 · derivative.expiration_date: Each warrant will become exercisable 30 days after the completion of the issuer's initial business combination. Each warrant will expire five years after the completion of the issuer's initial business combination. Each warrant entitles the holder to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment in the event of certain capital-raising or reorganization transactions.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 8

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F5 · shares: Upon the consummation of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, all issued and outstanding shares of the issuer's Class B common stock automatically converted into an equal number of shares of Class A common stock.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 7

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,200,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · shares: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F5 · shares: Upon the consummation of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, all issued and outstanding shares of the issuer's Class B common stock automatically converted into an equal number of shares of Class A common stock.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · derivative · entry 6

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,200,000

Underlying: Class A Common Stock · 1,375,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · shares: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F4 · shares: Represents the forfeiture of 1,375,000 shares of Class B common stock for no additional consideration in connection with the closing of the issuer's business combination with Alliance Entertainment Holding Corporation.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-250157), as amended (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · balance_after: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · balance_after: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · nonDerivative · entry 5

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,864

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · nonDerivative · entry 4

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 73,864

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

F7 · ownership.nature: The securities are held directly by the Thomas M. Finke Family Trust dtd 12/14/2012, of which the reporting person is the grantor, the reporting person's spouse is the trustee and the reporting person's spouse and children are beneficiaries. The reporting person disclaims beneficial ownership of such securities, and the inclusion of such securities in this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · nonDerivative · entry 3

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F6 · kind: Following the closing of the issuer's business combination with Alliance Entertainment Holding Corporation, the Sponsor distributed all of the issuer's securities held by the Sponsor pro rata to the Sponsor's members.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · nonDerivative · entry 2

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Upon the consummation of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, all issued and outstanding shares of the issuer's Class B common stock automatically converted into an equal number of shares of Class A common stock.

SEC source: 0001104659-23-019918 · tm236506-3_4seq1.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,200,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Upon the consummation of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, all issued and outstanding shares of the issuer's Class B common stock automatically converted into an equal number of shares of Class A common stock.

F2 · ownership.nature: These shares represent Class B common stock held by Adara Sponsor LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer.

F3 · ownership.nature: The reporting person was appointed as the managing member of the Sponsor on June 1, 2022. As the managing member of the Sponsor, the reporting person may be deemed to have beneficial ownership of the shares of Class B common stock held directly by the Sponsor and disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. As of immediately prior to the closing of the issuer's business combination with Alliance Entertainment Holding Corporation on February 10, 2023, the Sponsor held 2,575,000 shares of Class B common stock.

SEC source: 0001209191-22-029683 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,623

SEC source: 0001209191-21-033601 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,693

SEC source: 0001209191-21-029552 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,886

SEC source: 0001209191-21-006185 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575

SEC source: 0001225208-20-013151 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,993.3816

Underlying: Common Shares ("Shares of Beneficial Interest") · 29.7745 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.

SEC source: 0001225208-20-012670 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,032.0977

Underlying: Common Shares ("Shares of Beneficial Interest") · 29.9493 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.

SEC source: 0001225208-20-012368 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,002.1484

Underlying: Common Shares ("Shares of Beneficial Interest") · 28.9949 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.

SEC source: 0001225208-20-011825 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,973.1534

Underlying: Common Shares ("Shares of Beneficial Interest") · 28.7322 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.

SEC source: 0001225208-20-011421 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,944.4212

Underlying: Common Shares ("Shares of Beneficial Interest") · 28.1931 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.

SEC source: 0001225208-20-011074 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,916.2281

Underlying: Common Shares ("Shares of Beneficial Interest") · 27.695 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.

SEC source: 0001225208-20-010603 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,888.533

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.7301 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-20-010111 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,044.666

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.8096 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-009835 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,017.8563

Underlying: Common Shares ("Shares of Beneficial Interest") · 27.051 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-009570 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,990.8053

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.7698 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-009136 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,964.0355

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.8996 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-008660 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,937.1358

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.4362 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-008128 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,910.6996

Underlying: Common Shares ("Shares of Beneficial Interest") · 25.9604 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-007372 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,884.7392

Underlying: Common Shares ("Shares of Beneficial Interest") · 29.8008 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-20-007160 · doc4.xml · nonDerivative · entry 1

Finke Thomas M · CIK 0001363651 · Director · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001225208-20-006745 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,053.9573

Underlying: Common Shares ("Shares of Beneficial Interest") · 26.1486 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

SEC source: 0001225208-20-006390 · doc4.xml · derivative · entry 1

Finke Thomas M · CIK 0001363651 · Officer of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,027.8086

Underlying: Common Shares ("Shares of Beneficial Interest") · 27.8663 shares

Expires not disclosed

F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.