Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Vice President | March 19, 2026 | March 20, 2026 |
| BARINGS GLOBAL SHORT DURATION HIGH YIELD FUNDBGH · Entity 8993 | Officer of Adviser | January 21, 2020 | January 31, 2020 |
| BARINGS PARTICIPATION INVESTORSMPV · Entity 6389 | Officer of Adviser | January 21, 2020 | January 31, 2020 |
| Barings BDC, Inc.BBDC · Entity 4971 | Officer of Adviser | January 21, 2020 | January 31, 2020 |
| Barings Capital Investment CorpNONE · Entity 70260 | Officer of the Adviser | August 24, 2020 | August 28, 2020 |
| Equitable Holdings, Inc.EQH · Entity 3405 | SVP, CAO and Controller | June 11, 2018 | June 13, 2018 |
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 19, 2026 · Filed March 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Barings Non-Qualified Thrift PlanSEC Table II · derivative / convertible security | Direct | 412.7623 |
Reported balance
After 2026-03-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-03-19 · Other · Acquired 412.7623 · Balance 412.7623 F1: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional. F2: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant. |
Filing footnotes · ownership attribution and instrument terms
F1: Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.
F2: Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.
BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND
Report date January 21, 2020 · Filed January 31, 2020
This filing explicitly reported no securities owned.
BARINGS PARTICIPATION INVESTORS
Report date January 21, 2020 · Filed January 31, 2020
This filing explicitly reported no securities owned.
Barings BDC, Inc.
Report date January 21, 2020 · Filed January 31, 2020
This filing explicitly reported no securities owned.
Barings Capital Investment Corp
Report date August 24, 2020 · Filed August 28, 2020
This filing explicitly reported no securities owned.
Equitable Holdings, Inc.
Report date June 11, 2018 · Filed June 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buySEC Table II · derivative / convertible security · Conversion / exercise price $21.34 · Expires 2028-03-01 | Direct | 12,745 |
Reported balance
After 2018-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-11 · Grant · Acquired 12,745 · Balance 12,745 F1: Grant of employee stock option under the AXA Equitable Holdings, Inc. 2018 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three equal annual installments beginning on March 1, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of employee stock option under the AXA Equitable Holdings, Inc. 2018 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three equal annual installments beginning on March 1, 2019.
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 19, 2026 Filed Mar 20, 2026 17:30 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | OtherBarings Non-Qualified Thrift Plan · Derivative | 412.7623 | $19.31 | $7,970.44 |
DisclosureSEC source: 0001225208-26-003888 · doc4.xml · derivative · entry 1 Nitzan Andrea · CIK 0001739810 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 412.7623 Underlying: Common Shares ("Shares of Beneficial Interest") · 412.7623 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 11, 2018 Filed Jun 13, 2018 18:53 UTC | Equitable Holdings, Inc. EQH · Entity 3405 | GrantEmployee Stock Option (right to buy · Derivative | 12,745 | $0.00 Strike: $21.34 | $0.00 |
DisclosureSEC source: 0001209191-18-037570 · doc4.xml · derivative · entry 1 Nitzan Andrea · CIK 0001739810 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,745 Underlying: Common Stock · 12,745 shares Expires 2028-03-01 F1 · derivative.exercise_date: Grant of employee stock option under the AXA Equitable Holdings, Inc. 2018 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three equal annual installments beginning on March 1, 2019. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:03 UTC | Equitable Holdings, Inc. EQH · Entity 3405 | GrantCommon Stock | 2,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031454 · doc4.xml · nonDerivative · entry 1 Nitzan Andrea · CIK 0001739810 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,260 F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three equal annual installments beginning on March 1, 2019. Vested shares will be delivered to the reporting person within 30 days following the vesting date. F2 · balance_after: Includes restricted stock units. Read SEC document |
| May 09, 2018 Filed May 11, 2018 16:49 UTC | Equitable Holdings, Inc. EQH · Entity 3405 | GrantPerformance Restricted Stock Units · Derivative | 5,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029605 · doc4.xml · derivative · entry 2 Nitzan Andrea · CIK 0001739810 · EVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,550 Underlying: Common Stock · 5,550 shares Expires not disclosed F2 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. F2 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. F2 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Read SEC document |
| May 09, 2018 Filed May 11, 2018 16:49 UTC | Equitable Holdings, Inc. EQH · Entity 3405 | GrantCommon Stock | 5,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029605 · doc4.xml · nonDerivative · entry 1 Nitzan Andrea · CIK 0001739810 · EVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,550 F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date. 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.