0001225208-19-010069.txt : 20190705 0001225208-19-010069.hdr.sgml : 20190705 20190705100601 ACCESSION NUMBER: 0001225208-19-010069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190703 FILED AS OF DATE: 20190705 DATE AS OF CHANGE: 20190705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shettle Robert Mark CENTRAL INDEX KEY: 0001385522 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02183 FILM NUMBER: 19943305 MAIL ADDRESS: STREET 1: BARINGS LLC STREET 2: 1500 MAIN STREET PO BOX 15189 CITY: SPRINGFIELD STATE: MA ZIP: 01115-5189 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BARINGS CORPORATE INVESTORS CENTRAL INDEX KEY: 0000275694 IRS NUMBER: 042483041 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1500 MAIN STREET STREET 2: SUITE 600 CITY: SPRINGFIELD STATE: MA ZIP: 01115 BUSINESS PHONE: 4132261000 MAIL ADDRESS: STREET 1: 1500 MAIN STREET STREET 2: SUITE 600 CITY: SPRINGFIELD STATE: MA ZIP: 01115 FORMER COMPANY: FORMER CONFORMED NAME: BABSON CAPITAL CORPORATE INVESTORS DATE OF NAME CHANGE: 20111230 FORMER COMPANY: FORMER CONFORMED NAME: MASSMUTUAL CORPORATE INVESTORS DATE OF NAME CHANGE: 19920717 4 1 doc4.xml X0306 4 2019-07-03 0000275694 BARINGS CORPORATE INVESTORS MCI 0001385522 Shettle Robert Mark C/O BARINGS LLC 300 SOUTH TRYON STREET, SUITE 2500 CHARLOTTE NC 28202 1 President Barings Non-Qualified Thrift Plan 2019-07-03 4 J 0 16.3542 15.6100 A Common Shares ("Shares of Beneficial Interest") 16.3542 6289.4936 D 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. 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. Ann Malloy as Attorney-in-fact 2019-07-05