Filing Details
- Accession Number:
- 0001225208-17-003917
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-21 15:48:34
- Reporting Period:
- 2017-02-16
- Filing Date:
- 2017-02-21
- Accepted Time:
- 2017-02-21 15:48:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 275694 | Barings Corporate Investors | MCI | () | 042483041 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1194961 | W Roger Crandall | 1500 Main Street P. O. Box 15189 Springfield MA 01115 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares ("Shares Of Beneficial Interest") | Acquisiton | 2017-02-16 | 3,000 | $14.62 | 9,425 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Shares ("Shares Of Beneficial Interest") | Babson Capital Non Qualified Thrift Plan | $0.00 | 164,149 | 164,149 | Direct | ||
| Common Shares ("Shares Of Beneficial Interest") | Babson Capital Non-Qualified Thrift Plan - TA | $0.00 | 3,193 | 3,193 | Direct | ||
| Common Shares ("Shares Of Beneficial Interest") | MassMutual Non-Qualified Thrift Plan | $0.00 | 110,887 | 110,887 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 164,149 | 164,149 | Direct | |
| 3,193 | 3,193 | Direct | |
| 110,887 | 110,887 | Direct |
Footnotes
- 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.
- 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.
Billionaire Hedge Funds
