Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARINGS CORPORATE INVESTORSMCI · Entity 2765 | Investment Adviser | November 15, 2017 | November 16, 2017 |
| BARINGS PARTICIPATION INVESTORSMPV · Entity 6389 | Investment Advisor | December 31, 2016 | February 14, 2017 |
| Barings BDC, Inc.BBDC · Entity 4971 | 10% owner · Investment Adviser | February 11, 2019 | February 11, 2019 |
| Barings Capital Investment CorpNONE · Entity 70260 | Investment Adviser | August 24, 2020 | August 24, 2020 |
| Barings Private Credit CorpBPCC · Entity 70480 | Investment Adviser to Fund | July 09, 2021 | July 09, 2021 |
| Cascade Private Capital Fund(NONE) · Entity 10278 | Investment Adviser to Fund | 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 November 15, 2017 · Filed November 16, 2017
Jointly reported with MASSACHUSETTS MUTUAL LIFE INSURANCE CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Senior Fixed Rate Convertible Note Due 11/15/2027SEC Table II · derivative / convertible security | Direct | 30,000,000 |
Reported balance
After 2017-11-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-11-15 · Purchase · Acquired 30,000,000 · Balance 30,000,000 F2: The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion. F3: On November 15, 2017, Barings Corporate Investors (the "Issuer") issued to MassMutual an amended and restated Senior Fixed Rate Convertible Note (the "Note") in the principal amount of $30,000,000, due on November 15, 2027. MassMutual, at its option, can convert the principal amount of the Note into the Issuer's common shares. F4: The inclusion of MassMutual held securities of the Issuer shall not be construed as an admission that Barings is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by MassMutual. |
| Common Shares ("Shares of Beneficial Interest")SEC Table I · non-derivative | IndirectBy Barings LLC | 219,664 |
Reported balance
Holding disclosure · report date 2017-11-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 219,664 F1: The inclusion of the Barings held securities of the Issuer shall not be construed as an admission that MassMutual is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by Barings. |
Filing footnotes · ownership attribution and instrument terms
F1: The inclusion of the Barings held securities of the Issuer shall not be construed as an admission that MassMutual is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by Barings.
F2: The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion.
F3: On November 15, 2017, Barings Corporate Investors (the "Issuer") issued to MassMutual an amended and restated Senior Fixed Rate Convertible Note (the "Note") in the principal amount of $30,000,000, due on November 15, 2027. MassMutual, at its option, can convert the principal amount of the Note into the Issuer's common shares.
F4: The inclusion of MassMutual held securities of the Issuer shall not be construed as an admission that Barings is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by MassMutual.
BARINGS PARTICIPATION INVESTORS
Report date December 31, 2016 · Filed February 14, 2017
Jointly reported with MASSACHUSETTS MUTUAL LIFE INSURANCE CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial Interest ("Common Shares")SEC Table I · non-derivative | Direct | 67,414 |
Reported balance
Holding disclosure · report date 2016-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 67,414 F1: Balance includes shares acquired through dividend reinvestment plan not previously reported since the last filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. |
| Shares of Beneficial Interest ("Common Shares")SEC Table I · non-derivative | IndirectBy Barings LLC | 143,406 |
Reported balance
Holding disclosure · report date 2016-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 143,406 F2: The inclusion of the Barings held securities of the Issuer shall not be construed as an admission that MassMutual is for the purpose of Section 16 of the Securities Exchange Act of 1934, the direct or indirect beneficial owner of any of the securities of the Issuer beneficially owned by Barings. F3: Effective 09/12/2016, Babson Capital Management LLC became Barings LLC. |
| Senior Fixed Rate Convertible Note due 12/13/23SEC Table II · derivative / convertible security | Direct | 15,000,000 |
Reported balance
Holding disclosure · report date 2016-12-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 15,000,000 F4: Note held by MassMutual that is convertible based on average price of Issuer's common shares ten days prior to exercise. |
Filing footnotes · ownership attribution and instrument terms
F1: Balance includes shares acquired through dividend reinvestment plan not previously reported since the last filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended.
F2: The inclusion of the Barings held securities of the Issuer shall not be construed as an admission that MassMutual is for the purpose of Section 16 of the Securities Exchange Act of 1934, the direct or indirect beneficial owner of any of the securities of the Issuer beneficially owned by Barings.
F3: Effective 09/12/2016, Babson Capital Management LLC became Barings LLC.
F4: Note held by MassMutual that is convertible based on average price of Issuer's common shares ten days prior to exercise.
Barings BDC, Inc.
Report date February 11, 2019 · Filed February 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Direct | 13,639,681.185 |
Reported balance
After 2019-02-11 transaction · row 1
1 source rowRow 1 · 2019-02-11 · Purchase · Acquired 1 · Balance 13,639,681.185 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of 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.
Barings Private Credit Corp
Report date July 09, 2021 · Filed July 09, 2021
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 |
|---|---|---|---|---|---|---|
| November 28, 2018 Filed Nov 28, 2018 22:19 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 72,700 | $9.99 | $726,396.59 |
DisclosureSEC source: 0001225208-18-015938 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,216,284.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.90 to $10.05. 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 |
| November 27, 2018 Filed Nov 28, 2018 13:28 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 48,012 | $9.93 | $476,595.92 |
DisclosureSEC source: 0001225208-18-015920 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,143,584.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.88 to $9.95. 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 |
| November 26, 2018 Filed Nov 27, 2018 16:03 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 72,700 | $9.94 | $722,623.46 |
DisclosureSEC source: 0001225208-18-015882 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,095,572.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.905 to $9.96. 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 |
| November 23, 2018 Filed Nov 24, 2018 01:15 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 12,000 | $9.96 | $119,553.60 |
DisclosureSEC source: 0001225208-18-015844 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,022,872.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.91 to $10.00. 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 |
| November 21, 2018 Filed Nov 21, 2018 21:29 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 69,000 | $9.91 | $683,969.40 |
DisclosureSEC source: 0001225208-18-015818 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,010,872.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.86 to $9.98. 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 |
| November 20, 2018 Filed Nov 21, 2018 14:04 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 69,000 | $10.01 | $691,000.50 |
DisclosureSEC source: 0001225208-18-015782 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,941,872.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.975 to $10.05. 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 |
| November 19, 2018 Filed Nov 20, 2018 15:18 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 69,000 | $10.08 | $695,533.80 |
DisclosureSEC source: 0001225208-18-015693 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,872,872.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.02 to $10.09. 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 |
| November 16, 2018 Filed Nov 16, 2018 22:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 65,600 | $10.04 | $658,669.92 |
DisclosureSEC source: 0001225208-18-015633 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,803,872.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.97 to $10.05. 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 |
| November 15, 2018 Filed Nov 15, 2018 22:24 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 65,600 | $10.06 | $659,752.32 |
DisclosureSEC source: 0001225208-18-015565 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,738,272.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.01 to $10.11. 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 |
| November 14, 2018 Filed Nov 14, 2018 23:22 UTC | Barings BDC, Inc. BBDC · Entity 4971 | OtherCommon Stock ("Shares") | 45,650 | $10.12 | $461,877.57 |
DisclosureSEC source: 0001225208-18-015529 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,672,672.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.08 to $10.18. 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 |
| November 13, 2018 Filed Nov 13, 2018 22:41 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,600 | $10.13 | $502,507.52 |
DisclosureSEC source: 0001225208-18-015471 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,627,022.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.105 to $10.19. 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 |
| November 12, 2018 Filed Nov 13, 2018 14:35 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 45,180 | $10.22 | $461,622.13 |
DisclosureSEC source: 0001225208-18-015405 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,577,422.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.18 to $10.26. 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 |
| November 09, 2018 Filed Nov 13, 2018 14:27 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 33,400 | $10.10 | $337,340.00 |
DisclosureSEC source: 0001225208-18-015404 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,532,242.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.00 to $10.21. 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 |
| November 08, 2018 Filed Nov 8, 2018 21:34 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 41,700 | $10.11 | $421,566.15 |
DisclosureSEC source: 0001225208-18-015320 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,498,842.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.07 to $10.15. 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 |
| November 07, 2018 Filed Nov 8, 2018 21:05 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 41,600 | $10.11 | $420,380.48 |
DisclosureSEC source: 0001225208-18-015311 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,457,142.185 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.06 to $10.15. 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 |
| November 06, 2018 Filed Nov 6, 2018 23:12 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 45,400 | $10.08 | $457,409.54 |
DisclosureSEC source: 0001225208-18-015236 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,390,080 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.00 to $10.1275. 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 |
| November 05, 2018 Filed Nov 6, 2018 14:30 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 25,500 | $10.01 | $255,341.70 |
DisclosureSEC source: 0001225208-18-015195 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,344,680 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.985 to $10.04. 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 |
| November 02, 2018 Filed Nov 2, 2018 20:48 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 48,200 | $10.05 | $484,193.10 |
DisclosureSEC source: 0001225208-18-015140 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,319,180 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.95 to $10.14. 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 |
| November 01, 2018 Filed Nov 1, 2018 23:26 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 48,100 | $10.12 | $486,935.54 |
DisclosureSEC source: 0001225208-18-015083 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,270,980 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.04 to $10.18. 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 |
| October 31, 2018 Filed Oct 31, 2018 20:33 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,200 | $10.08 | $496,059.00 |
DisclosureSEC source: 0001225208-18-015009 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,222,880 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.03 to $10.11. 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 |
| October 30, 2018 Filed Oct 30, 2018 22:00 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 44,200 | $10.00 | $442,026.52 |
DisclosureSEC source: 0001225208-18-014989 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,173,680 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.96 to $10.02. 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 |
| October 29, 2018 Filed Oct 29, 2018 20:25 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,200 | $10.01 | $492,334.56 |
DisclosureSEC source: 0001225208-18-014922 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,129,480 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.98 to $10.06. 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 |
| October 26, 2018 Filed Oct 26, 2018 21:49 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,969 | $10.00 | $499,510.11 |
DisclosureSEC source: 0001225208-18-014913 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,080,280 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.98 to $10.02. 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 |
| October 25, 2018 Filed Oct 25, 2018 20:34 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 55,400 | $10.04 | $556,321.26 |
DisclosureSEC source: 0001225208-18-014863 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,030,311 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.02 to $10.08. 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 |
| October 24, 2018 Filed Oct 24, 2018 20:40 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 47,528 | $10.03 | $476,625.04 |
DisclosureSEC source: 0001225208-18-014852 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,974,911 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.00 to $10.05. 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 |
| October 23, 2018 Filed Oct 24, 2018 14:41 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 35,000 | $10.04 | $351,386.00 |
DisclosureSEC source: 0001225208-18-014849 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,927,383 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · shares: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.02 to $10.06. 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 |
| October 22, 2018 Filed Oct 22, 2018 20:29 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 41,110 | $10.06 | $413,689.93 |
DisclosureSEC source: 0001225208-18-014769 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,892,383 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.04 to $10.09. 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 |
| October 19, 2018 Filed Oct 22, 2018 14:38 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,700 | $10.78 | $535,964.80 |
DisclosureSEC source: 0001225208-18-014761 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,851,273 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.045 to $10.11. 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 |
| October 18, 2018 Filed Oct 19, 2018 12:27 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 56,042 | $15.06 | $843,975.71 |
DisclosureSEC source: 0001225208-18-014731 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,801,573 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.03 to $10.12. 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 |
| October 17, 2018 Filed Oct 17, 2018 23:33 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 49,023 | $10.10 | $495,107.79 |
DisclosureSEC source: 0001225208-18-014722 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,745,531 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.08 to $10.13. 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 |
| October 16, 2018 Filed Oct 17, 2018 00:00 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 38,200 | $10.13 | $387,023.30 |
DisclosureSEC source: 0001225208-18-014663 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,696,508 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.10 to $10.15. 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 |
| October 15, 2018 Filed Oct 15, 2018 23:44 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 66,700 | $10.13 | $675,524.26 |
DisclosureSEC source: 0001225208-18-014599 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,658,308 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.08 to $10.16. 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 |
| October 12, 2018 Filed Oct 12, 2018 20:24 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 71,700 | $10.09 | $723,409.98 |
DisclosureSEC source: 0001225208-18-014580 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,591,608 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.05 to $10.16. 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 |
| October 11, 2018 Filed Oct 11, 2018 20:37 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 71,700 | $10.03 | $719,473.65 |
DisclosureSEC source: 0001225208-18-014553 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,519,908 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.99 to $10.07. 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 |
| October 10, 2018 Filed Oct 10, 2018 20:50 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 71,700 | $10.12 | $725,331.54 |
DisclosureSEC source: 0001225208-18-014527 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,448,208 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.02 to $10.21. 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 |
| October 09, 2018 Filed Oct 9, 2018 23:08 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 61,027 | $10.18 | $621,102.29 |
DisclosureSEC source: 0001225208-18-014504 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,376,508 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.14 to $10.20. 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 |
| October 08, 2018 Filed Oct 9, 2018 15:36 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 61,900 | $10.17 | $629,764.41 |
DisclosureSEC source: 0001225208-18-014483 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,315,481 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.12 to $10.20. 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 |
| October 05, 2018 Filed Oct 5, 2018 21:34 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.18 | $805,867.92 |
DisclosureSEC source: 0001225208-18-014463 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,253,581 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.12 to $10.20. 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 |
| October 04, 2018 Filed Oct 5, 2018 15:06 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.18 | $806,501.52 |
DisclosureSEC source: 0001225208-18-014443 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,174,381 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.15 to $10.22. 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 |
| October 03, 2018 Filed Oct 5, 2018 15:13 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.20 | $807,847.92 |
DisclosureSEC source: 0001225208-18-014444 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,095,181 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.05 to $10.26. 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 |
| October 02, 2018 Filed Oct 2, 2018 20:53 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.08 | $798,470.64 |
DisclosureSEC source: 0001225208-18-014150 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,015,981 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.05 to $10.13. 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 |
| October 01, 2018 Filed Oct 1, 2018 21:44 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.08 | $798,280.56 |
DisclosureSEC source: 0001225208-18-013943 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,936,781 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.00 to $10.10. 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 |
| October 01, 2018 Filed Nov 8, 2018 20:54 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 25,462.185 | $10.05 | $255,897.51 |
DisclosureSEC source: 0001225208-18-015310 · doc4a.xml · nonDerivative · entry 2 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,962,243.185 F4 · shares: Purchased pursuant to a dividend reinvestment plan. Read SEC document |
| October 01, 2018 Filed Nov 8, 2018 20:54 UTC Amendment | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 79,200 | $10.08 | $798,280.56 |
DisclosureSEC source: 0001225208-18-015310 · doc4a.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,936,781 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.00 to $10.10. 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. F3 · balance_after: Amending Form 4 filed on 10/01/18 via Accession number 0001225208-18-013943 to reflect dividends reinvested. Read SEC document |
| September 28, 2018 Filed Sep 28, 2018 21:10 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 75,079 | $10.02 | $751,998.77 |
DisclosureSEC source: 0001225208-18-013804 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,857,581 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.95 to $10.07. 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 |
| September 27, 2018 Filed Sep 28, 2018 19:14 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 77,500 | $10.02 | $776,728.25 |
DisclosureSEC source: 0001225208-18-013796 · doc4.xml · nonDerivative · entry 4 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,782,502 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.98 to $10.10. 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 |
| September 26, 2018 Filed Sep 28, 2018 19:14 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 77,500 | $10.05 | $779,107.50 |
DisclosureSEC source: 0001225208-18-013796 · doc4.xml · nonDerivative · entry 3 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,705,002 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.015 to $10.08. 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 |
| September 25, 2018 Filed Sep 28, 2018 19:14 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 77,500 | $10.10 | $783,005.75 |
DisclosureSEC source: 0001225208-18-013796 · doc4.xml · nonDerivative · entry 2 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,627,502 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.07 to $10.20. 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 |
| September 24, 2018 Filed Sep 28, 2018 19:14 UTC | Barings BDC, Inc. BBDC · Entity 4971 | PurchaseCommon Stock ("Shares") | 20,085 | $10.10 | $202,870.55 |
DisclosureSEC source: 0001225208-18-013796 · doc4.xml · nonDerivative · entry 1 BARINGS LLC · CIK 0000009015 · 10% owner · Investment Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,550,002 F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.085 to $10.12. 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 |
| November 15, 2017 Filed Nov 16, 2017 21:39 UTC | BARINGS CORPORATE INVESTORS MCI · Entity 2765 | PurchaseSenior Fixed Rate Convertible Note Due 11/15/2027 · Derivative | 30,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017405 · doc4.xml · derivative · entry 2 MASSACHUSETTS MUTUAL LIFE INSURANCE CO · CIK 0000225602 · 10% owner BARINGS LLC · CIK 0000009015 · Investment Adviser Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000,000 Underlying: Common Shares ("Shares of Beneficial Interest") · 30,000,000 shares Expires not disclosed F2 · derivative.exercise_price: The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion. F3 · price: On November 15, 2017, Barings Corporate Investors (the "Issuer") issued to MassMutual an amended and restated Senior Fixed Rate Convertible Note (the "Note") in the principal amount of $30,000,000, due on November 15, 2027. MassMutual, at its option, can convert the principal amount of the Note into the Issuer's common shares. F2 · derivative.exercise_date: The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion. F2 · derivative.expiration_date: The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion. F4 · ownership.direct: The inclusion of MassMutual held securities of the Issuer shall not be construed as an admission that Barings is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by MassMutual. 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.