SEC Form 4 · accession 0001225208-15-021393
BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND · BGH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin A. Sumichrast
Other
Period of report
Nov 24, 2015
Accepted (ET)
Nov 24, 2015 · 3:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001521404
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Nov 24, 2015 | P | 2,500 | $16.81 | A | 2,500 | I | By Siskey Capital, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is a member/Vice Chairman of Siskey Capital, LLC ("the firm"), and therefore is in a position to determine the investment and voting decisions made by the firm. Accordingly, the Reporting Person may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the firm. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The Reporting Person is a trustee of the Issuer.