Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Officer of Adviser | March 01, 2020 | March 04, 2020 |
| BARINGS GLOBAL SHORT DURATION HIGH YIELD FUNDBGH · Entity 8993 | CEO & President · Officer of Adviser | April 21, 2023 | April 21, 2023 |
| BARINGS PARTICIPATION INVESTORSMPV · Entity 6389 | Officer of Adviser | March 01, 2020 | March 04, 2020 |
| Barings BDC, Inc.BBDC · Entity 4971 | Officer of Adviser | May 09, 2024 | May 10, 2024 |
| Barings Capital Investment CorpNONE · Entity 70260 | Officer of the Adviser | August 24, 2020 | August 24, 2020 |
| Cascade Private Capital Fund(NONE) · Entity 10278 | Officer of the Adviser | September 27, 2022 | September 27, 2022 |
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 01, 2020 · Filed March 04, 2020
This filing explicitly reported no securities owned.
BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND
Report date April 21, 2023 · Filed April 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 54.1434 |
Ending reported balance
After 2023-04-21 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2023-04-21 · Other · Disposed 2,209 · Balance 9,738.1434 Row 2 · 2023-04-21 · Other · Disposed 2,209 · Balance 7,529.1434 Row 3 · 2023-04-21 · Other · Disposed 2,209 · Balance 5,320.1434 Row 4 · 2023-04-21 · Other · Disposed 5,266 · Balance 54.1434 |
BARINGS PARTICIPATION INVESTORS
Report date March 01, 2020 · Filed March 04, 2020
This filing explicitly reported no securities owned.
Barings BDC, Inc.
Report date May 09, 2024 · Filed May 10, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Direct | 71,145 |
Reported balance
After 2024-05-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-05-09 · Purchase · Acquired 27,500 · Balance 71,145 F1: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Barings Capital Investment Corp
Report date August 24, 2020 · Filed August 24, 2020
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.
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 |
|---|---|---|---|---|---|---|
| May 09, 2024 Filed May 10, 2024 17:20 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 27,500 | $9.73 | $267,492.50 |
DisclosureSEC source: 0001225208-24-005918 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,145 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 09, 2023 Filed May 10, 2023 19:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.18 | $28,720.00 |
DisclosureSEC source: 0001225208-23-005658 · doc4.xml · nonDerivative · entry 4 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,287 Read SEC document |
| May 09, 2023 Filed May 10, 2023 19:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.19 | $28,758.80 |
DisclosureSEC source: 0001225208-23-005658 · doc4.xml · nonDerivative · entry 3 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,287 Read SEC document |
| May 09, 2023 Filed May 10, 2023 19:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.19 | $28,760.00 |
DisclosureSEC source: 0001225208-23-005658 · doc4.xml · nonDerivative · entry 2 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,287 Read SEC document |
| May 09, 2023 Filed May 10, 2023 19:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 14,000 | $7.20 | $100,856.00 |
DisclosureSEC source: 0001225208-23-005658 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,287 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 09, 2023 Filed May 12, 2023 16:33 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.18 | $28,720.00 |
DisclosureSEC source: 0001225208-23-005809 · doc4a.xml · nonDerivative · entry 3 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,645 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 09, 2023 Filed May 12, 2023 16:33 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.19 | $28,758.80 |
DisclosureSEC source: 0001225208-23-005809 · doc4a.xml · nonDerivative · entry 2 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,645 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 09, 2023 Filed May 12, 2023 16:33 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 4,000 | $7.19 | $28,760.00 |
DisclosureSEC source: 0001225208-23-005809 · doc4a.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,645 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 20:08 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | OtherCommon Shares | 5,266 | $13.27 | $69,858.76 |
DisclosureSEC source: 0001225208-23-004937 · doc4.xml · nonDerivative · entry 4 Freno Michael · CIK 0001558474 · CEO & President · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54.1434 Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 20:08 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | OtherCommon Shares | 2,209 | $13.26 | $29,291.34 |
DisclosureSEC source: 0001225208-23-004937 · doc4.xml · nonDerivative · entry 3 Freno Michael · CIK 0001558474 · CEO & President · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,320.1434 Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 20:08 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | OtherCommon Shares | 2,209 | $13.28 | $29,332.87 |
DisclosureSEC source: 0001225208-23-004937 · doc4.xml · nonDerivative · entry 2 Freno Michael · CIK 0001558474 · CEO & President · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,529.1434 Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 20:08 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | OtherCommon Shares | 2,209 | $13.28 | $29,336.85 |
DisclosureSEC source: 0001225208-23-004937 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · CEO & President · Officer of Adviser 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,738.1434 Read SEC document |
| February 14, 2023 Filed Feb 15, 2023 20:41 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | SaleCommon Shares | 4,531 | $13.73 | $62,210.63 |
DisclosureSEC source: 0001225208-23-001965 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · CEO & President · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,760.3534 F1 · shares: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 17:48 UTC | BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND BGH · Entity 8993 | SaleCommon Shares | 14,179 | $14.95 | $211,974.63 |
DisclosureSEC source: 0001225208-20-014840 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Vice President · Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,829.0953 Read SEC document |
| March 13, 2020 Filed Mar 13, 2020 18:33 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 2,750 | $8.13 | $22,362.73 |
DisclosureSEC source: 0001225208-20-005013 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,287 F1 · balance_after: Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| September 28, 2018 Filed Sep 28, 2018 20:40 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 10,000 | $10.01 | $100,127.00 |
DisclosureSEC source: 0001225208-18-013801 · doc4.xml · nonDerivative · entry 1 Freno Michael · CIK 0001558474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 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.