Filing Details

Accession Number:
0001225208-17-011075
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-09 13:24:07
Reporting Period:
2017-06-07
Filing Date:
2017-06-09
Accepted Time:
2017-06-09 13:24:07
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
1385515 David Robert Erwin 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") Disposition 2017-06-07 1,500 $15.16 1,093 No 4 S Direct
Common Shares ("Shares Of Beneficial Interest") Disposition 2017-06-08 1,093 $15.12 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S 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 8,787 8,787 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
8,787 8,787 Direct
Footnotes
  1. 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.
  2. 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.