Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALLIANCE ENTERTAINMENT HOLDING CORPAENT · Entity 6110 | Director | June 30, 2023 | July 05, 2023 |
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Officer of Adviser | November 05, 2020 | November 06, 2020 |
| Barings BDC, Inc.BBDC · Entity 4971 | Director · Officer of Adviser | May 05, 2020 | May 06, 2020 |
| Barings Capital Investment CorpNONE · Entity 70260 | Officer of the Adviser | August 24, 2020 | August 24, 2020 |
| Invesco Ltd.IVZ · Entity 125 | Director | May 15, 2026 | May 19, 2026 |
| Venu Holding CorpVENU · Entity 1049 | Director | September 29, 2026 | October 02, 2026 |
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.
ALLIANCE ENTERTAINMENT HOLDING CORP
Report date June 30, 2023 · Filed July 05, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 247,164 |
Reported balance
After 2023-06-30 transaction · row 1
1 source rowRow 1 · 2023-06-30 · Purchase · Acquired 83,300 · Balance 247,164 |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 73,864 |
Reported balance
Holding disclosure · report date 2023-06-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 73,864 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
BARINGS CORPORATE INVESTORS
Report date November 05, 2020 · Filed November 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Barings Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 46,993.3816 |
Reported balance
After 2020-11-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-11-05 · Other · Acquired 29.7745 · Balance 46,993.3816 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. |
| MassMutual Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 9,638.6909 |
Reported balance
Holding disclosure · report date 2020-11-05 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 9,638.6909 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. 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. |
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 May 05, 2020 · Filed May 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Direct | 25,000 |
Reported balance
After 2020-05-05 transaction · row 1
1 source rowRow 1 · 2020-05-05 · Purchase · Acquired 15,000 · Balance 25,000 |
Barings Capital Investment Corp
Report date August 24, 2020 · Filed August 24, 2020
This filing explicitly reported no securities owned.
Invesco Ltd.
Report date May 15, 2026 · Filed May 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 64,238 |
Reported balance
After 2026-05-15 transaction · row 1
1 source rowRow 1 · 2026-05-15 · Grant · Acquired 8,112 · Balance 64,238 |
Venu Holding Corp
Report date September 29, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 379,605 |
Reported balance
After 2026-09-29 transaction · row 1
1 source rowRow 1 · 2026-09-29 · Purchase · Acquired 50,000 · Balance 379,605 |
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 |
|---|---|---|---|---|---|---|
| March 26, 2020 Filed Mar 27, 2020 17:28 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 28.4601 | $12.67 | $360.59 |
DisclosureSEC source: 0001225208-20-005629 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,999.9423 Underlying: Common Shares ("Shares of Beneficial Interest") · 28.4601 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 12, 2020 Filed Mar 13, 2020 18:11 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 25.0409 | $14.40 | $360.59 |
DisclosureSEC source: 0001225208-20-005009 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,971.4822 Underlying: Common Shares ("Shares of Beneficial Interest") · 25.0409 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 27, 2020 Filed Mar 4, 2020 14:05 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 2,986.7397 | $16.75 | $50,027.89 |
DisclosureSEC source: 0001225208-20-004268 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,946.4412 Underlying: Common Shares ("Shares of Beneficial Interest") · 2,986.7397 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 16:26 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.7825 | $16.55 | $360.59 |
DisclosureSEC source: 0001225208-19-016034 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,243.8314 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.7825 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| December 05, 2019 Filed Dec 6, 2019 22:17 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.9871 | $16.40 | $360.59 |
DisclosureSEC source: 0001225208-19-015399 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,222.0489 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.9871 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 19:38 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.2737 | $16.95 | $360.59 |
DisclosureSEC source: 0001225208-19-014791 · doc4.xml · derivative · entry 1 Finke Thomas M · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,200.0617 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.2737 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 16:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 8,000 | $10.30 | $82,400.00 |
DisclosureSEC source: 0001225208-19-014730 · doc4.xml · nonDerivative · entry 1 Finke Thomas F · CIK 0001363651 · Director · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 22:21 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.4101 | $16.84 | $360.59 |
DisclosureSEC source: 0001225208-19-014320 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,178.7879 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.4101 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 |
| October 24, 2019 Filed Oct 25, 2019 21:42 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.6142 | $16.68 | $360.59 |
DisclosureSEC source: 0001225208-19-013850 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,449.5506 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.6142 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 |
| October 10, 2019 Filed Oct 11, 2019 20:04 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.5663 | $16.72 | $360.59 |
DisclosureSEC source: 0001225208-19-013323 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,427.9364 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.5663 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 |
| September 26, 2019 Filed Sep 27, 2019 21:20 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.7484 | $16.58 | $360.59 |
DisclosureSEC source: 0001225208-19-012800 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,406.37 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.7484 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 |
| September 12, 2019 Filed Sep 13, 2019 22:13 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.8035 | $16.54 | $360.59 |
DisclosureSEC source: 0001225208-19-012436 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,384.6215 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.8035 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| August 29, 2019 Filed Aug 30, 2019 19:57 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.3691 | $16.12 | $360.59 |
DisclosureSEC source: 0001225208-19-011991 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,362.8179 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.3691 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 20:05 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.9871 | $16.40 | $360.59 |
DisclosureSEC source: 0001225208-19-011542 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,340.4488 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.9871 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 21:21 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.2586 | $16.20 | $360.59 |
DisclosureSEC source: 0001225208-19-010857 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,589.8921 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.2586 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 18, 2019 Filed Jul 19, 2019 21:31 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.88 | $15.76 | $360.59 |
DisclosureSEC source: 0001225208-19-010384 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,567.6334 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.88 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 03, 2019 Filed Jul 5, 2019 14:05 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.0999 | $15.61 | $360.59 |
DisclosureSEC source: 0001225208-19-010067 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,544.7533 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.0999 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 20, 2019 Filed Jun 21, 2019 15:31 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.1295 | $15.59 | $360.59 |
DisclosureSEC source: 0001225208-19-009494 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,521.6534 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.1295 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 06, 2019 Filed Jun 7, 2019 20:59 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.0114 | $15.67 | $360.59 |
DisclosureSEC source: 0001225208-19-009027 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,498.5238 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.0114 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 23, 2019 Filed May 24, 2019 19:21 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.4806 | $16.04 | $360.59 |
DisclosureSEC source: 0001225208-19-008519 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,475.5124 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.4806 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| May 09, 2019 Filed May 13, 2019 16:29 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.5227 | $16.01 | $360.59 |
DisclosureSEC source: 0001225208-19-007796 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,453.0317 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.5227 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| April 25, 2019 Filed Apr 29, 2019 16:48 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.8946 | $15.75 | $360.59 |
DisclosureSEC source: 0001225208-19-007260 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,714.8569 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.8946 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 14:27 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.4606 | $15.37 | $360.59 |
DisclosureSEC source: 0001225208-19-006680 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,691.9623 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.4606 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 18:13 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.5218 | $15.33 | $360.59 |
DisclosureSEC source: 0001225208-19-005892 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,668.5017 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.5218 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 19:50 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.2586 | $16.20 | $360.59 |
DisclosureSEC source: 0001225208-19-005325 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,644.9799 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.2586 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 17:36 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 3,573.1831 | $15.89 | $56,777.88 |
DisclosureSEC source: 0001225208-19-004060 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,622.7212 Underlying: Common Shares ("Shares of Beneficial Interest") · 3,573.1831 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 18:02 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 24.0393 | $15.00 | $360.59 |
DisclosureSEC source: 0001225208-18-016988 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,368.5476 Underlying: Common Shares ("Shares of Beneficial Interest") · 24.0393 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 22:28 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 2,000 | $9.92 | $19,837.80 |
DisclosureSEC source: 0001225208-18-016489 · doc4.xml · nonDerivative · entry 1 Finke Thomas F · CIK 0001363651 · Director · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 19:01 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.7903 | $15.16 | $360.59 |
DisclosureSEC source: 0001225208-18-016321 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,344.5083 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.7903 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 01:21 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 24.1844 | $14.91 | $360.59 |
DisclosureSEC source: 0001225208-18-015846 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,320.7179 Underlying: Common Shares ("Shares of Beneficial Interest") · 24.1844 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 23:18 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.6607 | $15.24 | $360.59 |
DisclosureSEC source: 0001225208-18-015474 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,296.5335 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.6607 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 |
| October 25, 2018 Filed Oct 26, 2018 21:58 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.8327 | $15.13 | $360.59 |
DisclosureSEC source: 0001225208-18-014915 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,630.9521 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.8327 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 |
| October 11, 2018 Filed Oct 12, 2018 15:39 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 24.0553 | $14.99 | $360.59 |
DisclosureSEC source: 0001225208-18-014569 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,607.1193 Underlying: Common Shares ("Shares of Beneficial Interest") · 24.0553 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 |
| September 27, 2018 Filed Sep 28, 2018 16:45 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.5988 | $15.28 | $360.59 |
DisclosureSEC source: 0001225208-18-013791 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,583.0639 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.5988 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 |
| September 13, 2018 Filed Sep 17, 2018 23:17 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.6142 | $15.27 | $360.59 |
DisclosureSEC source: 0001225208-18-013506 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,559.4651 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.6142 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 16:53 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.3542 | $15.44 | $360.59 |
DisclosureSEC source: 0001225208-18-012993 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,535.8508 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.3542 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| August 16, 2018 Filed Aug 17, 2018 21:23 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.3391 | $15.45 | $360.59 |
DisclosureSEC source: 0001225208-18-012729 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,512.4966 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.3391 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 19:31 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.324 | $15.46 | $360.59 |
DisclosureSEC source: 0001225208-18-012251 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,861.0402 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.324 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 19:47 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.7386 | $15.19 | $360.59 |
DisclosureSEC source: 0001225208-18-011890 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,837.7162 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.7386 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| July 05, 2018 Filed Jul 6, 2018 21:29 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.7542 | $15.18 | $360.59 |
DisclosureSEC source: 0001225208-18-011525 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,813.9775 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.7542 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 21, 2018 Filed Jun 26, 2018 10:41 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.4606 | $15.37 | $360.59 |
DisclosureSEC source: 0001225208-18-010899 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,790.2233 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.4606 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 21:41 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.6161 | $15.27 | $360.59 |
DisclosureSEC source: 0001225208-18-010426 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,766.7626 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.6161 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 24, 2018 Filed May 25, 2018 19:02 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.4563 | $15.37 | $360.59 |
DisclosureSEC source: 0001225208-18-009867 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,743.1465 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.4563 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 10, 2018 Filed May 14, 2018 23:02 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.9276 | $15.07 | $360.59 |
DisclosureSEC source: 0001225208-18-009270 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,719.6901 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.9276 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 26, 2018 Filed Apr 30, 2018 23:20 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.8801 | $15.10 | $360.59 |
DisclosureSEC source: 0001225208-18-008266 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,078.3128 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.8801 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 12, 2018 Filed Apr 13, 2018 21:47 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.0973 | $15.30 | $353.39 |
DisclosureSEC source: 0001225208-18-007735 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,054.4326 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.0973 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 29, 2018 Filed Apr 2, 2018 17:33 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 22.9245 | $15.10 | $346.16 |
DisclosureSEC source: 0001225208-18-006880 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,031.3353 Underlying: Common Shares ("Shares of Beneficial Interest") · 22.9245 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 15, 2018 Filed Mar 19, 2018 21:10 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 23.1855 | $14.93 | $346.16 |
DisclosureSEC source: 0001225208-18-006408 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,008.4108 Underlying: Common Shares ("Shares of Beneficial Interest") · 23.1855 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 01, 2018 Filed Mar 5, 2018 21:38 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 3,357.9739 | $14.94 | $50,165.78 |
DisclosureSEC source: 0001225208-18-005278 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,985.2252 Underlying: Common Shares ("Shares of Beneficial Interest") · 3,357.9739 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 |
| December 21, 2017 Filed Dec 22, 2017 19:52 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 21.9784 | $15.75 | $346.16 |
DisclosureSEC source: 0001225208-17-019018 · doc4.xml · derivative · entry 1 Finke Thomas F · CIK 0001363651 · Officer & Board Member of Advi 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,094.5919 Underlying: Common Shares ("Shares of Beneficial Interest") · 21.9784 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.