0001225208-17-003255.txt : 20170214 0001225208-17-003255.hdr.sgml : 20170214 20170214174225 ACCESSION NUMBER: 0001225208-17-003255 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BARINGS PARTICIPATION INVESTORS CENTRAL INDEX KEY: 0000831655 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 043025730 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 PARTICIPATION INVESTORS DATE OF NAME CHANGE: 20111230 FORMER COMPANY: FORMER CONFORMED NAME: MASSMUTUAL PARTICIPATION INVESTORS DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MASSMUTUAL CORPORATE INVESTORS II DATE OF NAME CHANGE: 19880417 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Barings LLC CENTRAL INDEX KEY: 0000009015 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05531 FILM NUMBER: 17611218 BUSINESS ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-761-6662 MAIL ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02210 FORMER NAME: FORMER CONFORMED NAME: BABSON CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 20040707 FORMER NAME: FORMER CONFORMED NAME: BABSON DAVID L & CO INC DATE OF NAME CHANGE: 19920929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MASSACHUSETTS MUTUAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000225602 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05531 FILM NUMBER: 17611219 BUSINESS ADDRESS: STREET 1: 1295 STATE STREET CITY: SPRINGFIELD STATE: MA ZIP: 01111 BUSINESS PHONE: 4137448411 MAIL ADDRESS: STREET 1: 1295 STATE STREET CITY: SPRINGFIELD STATE: MA ZIP: 01111 5 1 doc5.xml X0306 5 2016-12-31 0 0 0000831655 BARINGS PARTICIPATION INVESTORS MPV 0000225602 MASSACHUSETTS MUTUAL LIFE INSURANCE CO 1295 STATE STREET SPRINGFIELD MA 01111 1 Sec 30(h) 10% Debt Holder 0000009015 Barings LLC 1500 MAIN S SPRINGFIELD MA 01115 1 Investment Advisor Shares of Beneficial Interest ("Common Shares") 67414.0000 D Shares of Beneficial Interest ("Common Shares") 143406.0000 I By Barings LLC Senior Fixed Rate Convertible Note due 12/13/23 Shares of Beneficial Interest ("Common Shares") 15000000.0000 15000000.0000 D Balance includes shares acquired through dividend reinvestment plan not previously reported since the last filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended. The inclusion of the Barings held securities of the Issuer shall not be construed as an admission that MassMutual is for the purpose of Section 16 of the Securities Exchange Act of 1934, the direct or indirect beneficial owner of any of the securities of the Issuer beneficially owned by Barings. Effective 09/12/2016, Babson Capital Management LLC became Barings LLC. Note held by MassMutual that is convertible based on average price of Issuer's common shares ten days prior to exercise. This a joint filing made on behalf of Massachusetts Mutual Life Insurance Company ("MassMutual") and Barings LLC ("Barings"). MassMutual owns 100% of the Issuer's sole convertible debt security. Barings is investment adviser to the Issuer and a wholly-owned subsidiary of MassMutual. /s/ Donald Griffith, Vice President 2017-02-14 /s/ Melissa LaGrant, Managing Director 2017-02-14