SEC Form 4 · accession 0001225208-18-013796
Barings BDC, Inc. · BBDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
BARINGS LLC
10% Owner · Other
Period of report
Sep 24, 2018
Accepted (ET)
Sep 28, 2018 · 3:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001379785
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock ("Shares")F2 | Sep 24, 2018 | P | 20,085 | $10.1006 | A | 8,550,002 | D | |
| Common Stock ("Shares")F3 | Sep 25, 2018 | P | 77,500 | $10.1033 | A | 8,627,502 | D | |
| Common Stock ("Shares")F4 | Sep 26, 2018 | P | 77,500 | $10.053 | A | 8,705,002 | D | |
| Common Stock ("Shares")F5 | Sep 27, 2018 | P | 77,500 | $10.0223 | A | 8,782,502 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.
- F3The 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.
- F4The 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.
- F5The 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.