Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Adviser Board Member | March 20, 2026 | March 24, 2026 |
| BARINGS GLOBAL SHORT DURATION HIGH YIELD FUNDBGH · Entity 8993 | Adviser Board Member | November 29, 2021 | November 30, 2021 |
| Barings BDC, Inc.BBDC · Entity 4971 | Adviser Board Member | August 10, 2021 | August 11, 2021 |
| Barings Capital Investment CorpNONE · Entity 70260 | Adviser Board Member | August 24, 2020 | August 24, 2020 |
| Barings Private Credit CorpBPCC · Entity 70480 | Adviser Board Member | January 06, 2022 | January 06, 2022 |
| Cascade Private Capital Fund(NONE) · Entity 10278 | Adviser Board Member | September 27, 2022 | September 27, 2022 |
| Constellation Energy CorpCEG · Entity 2918 | Director | September 30, 2026 | October 03, 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.
BARINGS CORPORATE INVESTORS
Report date March 20, 2026 · Filed March 24, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Barings Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 345,425.1801 |
Reported balance
Holding disclosure · report date 2026-03-20 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 345,425.1801 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.
BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND
Report date November 29, 2021 · Filed November 30, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 3,431.43 |
Reported balance
After 2021-11-29 transaction · row 1
1 source rowRow 1 · 2021-11-29 · Sale · Disposed 9,220 · Balance 3,431.43 F1: The price reported represents the average sale price on the Transaction Date. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported represents the average sale price on the Transaction Date. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
Barings BDC, Inc.
Report date August 10, 2021 · Filed August 11, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Direct | 18,250 |
Reported balance
After 2021-08-10 transaction · row 1
1 source rowRow 1 · 2021-08-10 · Purchase · Acquired 3,000 · Balance 18,250 |
Barings Capital Investment Corp
Report date August 24, 2020 · Filed August 24, 2020
This filing explicitly reported no securities owned.
Barings Private Credit Corp
Report date January 06, 2022 · Filed January 06, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
This filing explicitly reported no securities owned.
Cascade Private Capital Fund
Report date September 27, 2022 · Filed September 27, 2022
This filing explicitly reported no securities owned.
Constellation Energy Corp
Report date September 30, 2026 · Filed October 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Compensation - Phantom Share EquivalentsSEC Table II · derivative / convertible security | Direct | 82 |
Reported balance
After 2026-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-30 · Grant · Acquired 82 · Balance 82 F1: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. |
Filing footnotes · ownership attribution and instrument terms
F1: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition.
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 |
|---|---|---|---|---|---|---|
| September 30, 2026 Filed Oct 3, 2026 00:05 UTC | Constellation Energy Corp CEG · Entity 2918 | GrantDeferred Compensation - Phantom Share Equivalents · Derivative | 82 | $254.02 | $20,829.64 |
DisclosureSEC source: 0000905148-26-004333 · form4.xml · derivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82 Underlying: Common Stock · 82 shares Expires not disclosed F1 · derivative.exercise_price: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. F1 · derivative.exercise_date: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. F1 · derivative.expiration_date: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. F1 · balance_after: Phantom share equivalents acquired in the reporting person's Constellation Energy Corporation stock fund account that is part of a multi-fund, non-qualified deferred compensation plan and will be settled in cash on a 1-for-1 basis upon termination of the reporting person's service. The balance of phantom share equivalents may fluctuate due to periodic changes in the fund composition. Read SEC document |
| August 11, 2026 Filed Aug 13, 2026 21:23 UTC | Constellation Energy Corp CEG · Entity 2918 | PurchaseCommon Stock | 1,500 | $278.62 | $417,930.90 |
DisclosureSEC source: 0000905148-26-003642 · form4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,693 F1 · price: This transaction was executed in multiple trades at prices ranging from $278.405 to $279.00, inclusive. The price reported reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| August 04, 2026 Filed Aug 6, 2026 20:17 UTC | Constellation Energy Corp CEG · Entity 2918 | GrantCommon Stock (Deferred Stock Units) | 462 | $267.25 | $123,469.50 |
DisclosureSEC source: 0000905148-26-003498 · form4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 462 Read SEC document |
| March 20, 2026 Filed Mar 24, 2026 17:40 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 4,193.7829 | $19.30 | $80,940.01 |
DisclosureSEC source: 0001225208-26-003949 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 226,283.5753 Underlying: Common Shares ("Shares of Beneficial Interest") · 4,193.7829 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 29, 2021 Filed Nov 30, 2021 13:26 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | SaleCommon Shares | 9,220 | $16.74 | $154,348.33 |
DisclosureSEC source: 0001225208-21-014197 · doc4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,431.43 F1 · price: The price reported represents the average sale price on the Transaction Date. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 10, 2021 Filed Aug 11, 2021 20:04 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 3,000 | $10.95 | $32,850.00 |
DisclosureSEC source: 0001225208-21-011381 · doc4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,250 Read SEC document |
| May 14, 2020 Filed May 15, 2020 12:24 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 15,250 | $6.68 | $101,813.58 |
DisclosureSEC source: 0001225208-20-007733 · doc4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,250 F1 · price: The price reported represents the average purchase price on the Transaction Date. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 14, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.44 | $6,440.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 20 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,250 Read SEC document |
| May 14, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.34 | $6,340.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 19 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,250 Read SEC document |
| May 13, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.61 | $6,610.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 18 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,250 Read SEC document |
| May 13, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.59 | $6,590.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 17 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,250 Read SEC document |
| May 12, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 2,000 | $6.68 | $13,360.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 16 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,250 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 500 | $6.76 | $3,380.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 15 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,250 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,500 | $6.75 | $10,125.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 14 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,750 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,500 | $6.75 | $10,122.75 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 13 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,250 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 200 | $6.75 | $1,349.38 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 12 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,750 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 500 | $6.75 | $3,372.50 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 11 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,550 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.74 | $6,740.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 10 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,050 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 1,000 | $6.74 | $6,739.90 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 9 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,050 Read SEC document |
| May 08, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 300 | $6.73 | $2,019.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 8 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,050 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 500 | $6.84 | $3,421.70 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 7 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 800 | $6.78 | $5,424.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 6 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,250 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 450 | $6.78 | $3,048.75 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 5 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,450 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 500 | $6.76 | $3,377.50 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 4 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 100 | $6.74 | $673.50 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 3 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 100 | $6.73 | $673.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Read SEC document |
| May 06, 2020 Filed May 27, 2020 23:27 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Shares | 300 | $6.69 | $2,007.00 |
DisclosureSEC source: 0000009015-20-000017 · primary_doc.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 100 | $6.73 | $673.00 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 9 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 100 | $6.74 | $673.50 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 8 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,650 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 200 | $6.78 | $1,355.00 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 7 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,550 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 250 | $6.78 | $1,693.75 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 6 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 300 | $6.69 | $2,007.00 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 5 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 300 | $6.78 | $2,034.00 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 4 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,800 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 500 | $6.76 | $3,377.50 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 3 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 500 | $6.78 | $3,390.00 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| May 06, 2020 Filed May 27, 2020 21:52 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 500 | $6.84 | $3,421.70 |
DisclosureSEC source: 0001225208-20-008273 · doc4a.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 22:45 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan - TA · Derivative | 3,192.9517 | $52.60 | $167,938.08 |
DisclosureSEC source: 0001225208-19-013198 · doc4.xml · derivative · entry 3 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares ("Shares of Beneficial Interest") · 3,192.9517 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F3 · shares: The specific transaction(s) itemized herein represents a reallocation within the Reporting Person's non-qualified compensation deferral plan. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 22:45 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 9,943.0609 | $16.89 | $167,938.30 |
DisclosureSEC source: 0001225208-19-013198 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,257.1037 Underlying: Common Shares ("Shares of Beneficial Interest") · 9,943.0609 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F3 · shares: The specific transaction(s) itemized herein represents a reallocation within the Reporting Person's non-qualified compensation deferral plan. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. Read SEC document |
| October 04, 2017 Filed Oct 10, 2017 22:49 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 11.2156 | $16.03 | $179.81 |
DisclosureSEC source: 0001225208-17-016175 · doc4.xml · derivative · entry 3 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,294.5286 Underlying: Common Shares ("Shares of Beneficial Interest") · 11.2156 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 04, 2017 Filed Oct 10, 2017 22:49 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBabson Capital Non Qualified Thrift Plan · Derivative | 111.2349 | $16.03 | $1,783.33 |
DisclosureSEC source: 0001225208-17-016175 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,801.5395 Underlying: Common Shares ("Shares of Beneficial Interest") · 111.2349 shares Expires not disclosed F1 · derivative.exercise_price: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2 · kind: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. F1 · derivative.exercise_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F1 · derivative.expiration_date: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F3 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:48 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | PurchaseCommon Shares ("Shares of Beneficial Interest") | 3,000 | $14.62 | $43,860.00 |
DisclosureSEC source: 0001225208-17-003917 · doc4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,425.48 Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 18:51 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | PurchaseCommon Shares ("Shares of Beneficial Interest") | 3,000 | $14.62 | $43,860.00 |
DisclosureSEC source: 0001225208-17-003113 · doc4.xml · nonDerivative · entry 1 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,694 Read SEC document |
| October 27, 2016 Filed Oct 28, 2016 17:03 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 47.0005 | $17.18 | $807.70 |
DisclosureSEC source: 0001225208-16-040804 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,840.8859 Underlying: Common Shares ("Shares of Beneficial Interest") · 47.0005 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 13, 2016 Filed Oct 17, 2016 20:05 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 46.0587 | $17.54 | $807.70 |
DisclosureSEC source: 0001225208-16-040508 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,793.8854 Underlying: Common Shares ("Shares of Beneficial Interest") · 46.0587 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 29, 2016 Filed Sep 30, 2016 16:41 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 46.7689 | $17.27 | $807.70 |
DisclosureSEC source: 0001225208-16-039761 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,747.8266 Underlying: Common Shares ("Shares of Beneficial Interest") · 46.7689 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 15, 2016 Filed Sep 19, 2016 14:33 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 45.8399 | $17.62 | $807.70 |
DisclosureSEC source: 0001225208-16-039467 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,701.0576 Underlying: Common Shares ("Shares of Beneficial Interest") · 45.8399 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 01, 2016 Filed Sep 6, 2016 23:56 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherMassMutual Non-Qualified Thrift Plan · Derivative | 41.8714 | $19.29 | $807.70 |
DisclosureSEC source: 0001225208-16-038892 · doc4.xml · derivative · entry 2 CRANDALL ROGER W · CIK 0001194961 · Adviser Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,655.2177 Underlying: Common Shares ("Shares of Beneficial Interest") · 41.8714 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: 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 Babson Capital 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 Babson Capital Corporate Investors represented by the value of the Babson Capital 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.