SEC Form 4 · accession 0001225208-17-010906
BARINGS CORPORATE INVESTORS · MCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert David Erwin
Other
Period of report
Jun 2, 2017
Accepted (ET)
Jun 5, 2017 · 5:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000275694
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares ("Shares of Beneficial Interest") | Jun 2, 2017 | S | 1,000 | $15.159 | D | 5,593 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Babson Capital Non Qualified Thrift PlanF1 | — | holding | — | — | — | — | — | Common Shares ("Shares of Beneficial Interest") | 8,787 | 8,787 | D |
Explanation of responses
- F1Exercisable 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.