0001225208-17-017405.txt : 20171116
0001225208-17-017405.hdr.sgml : 20171116
20171116163955
ACCESSION NUMBER: 0001225208-17-017405
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171115
FILED AS OF DATE: 20171116
DATE AS OF CHANGE: 20171116
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-02183
FILM NUMBER: 171208431
BUSINESS ADDRESS:
STREET 1: 300 SOUTH TRYON STREET
STREET 2: SUITE 2500
CITY: CHARLOTTE
STATE: NC
ZIP: 28202
BUSINESS PHONE: 704-805-7200
MAIL ADDRESS:
STREET 1: 300 SOUTH TRYON STREET
STREET 2: SUITE 2500
CITY: CHARLOTTE
STATE: NC
ZIP: 28202
FORMER NAME:
FORMER CONFORMED NAME: Barings LLC
DATE OF NAME CHANGE: 20160915
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-02183
FILM NUMBER: 171208430
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
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
2017-11-15
0000275694
BARINGS CORPORATE INVESTORS
MCI
0000225602
MASSACHUSETTS MUTUAL LIFE INSURANCE CO
1295 STATE STREET
SPRINGFIELD
MA
01111
1
0000009015
BARINGS LLC
1500 MAIN S
SPRINGFIELD
MA
01115
1
Investment Adviser
Common Shares ("Shares of Beneficial Interest")
219664.0000
I
By Barings LLC
Senior Fixed Rate Convertible Note Due 11/15/2027
2017-11-15
4
P
0
30000000.0000
0.0000
A
Common Shares ("Shares of Beneficial Interest")
30000000.0000
30000000.0000
D
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 Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by Barings.
The dollar amount of principal of the note is convertible into an equivalent dollar amount of the Issuer's common shares based upon the average price of the common shares for ten business days prior to MassMutual's notice of conversion.
On November 15, 2017, Barings Corporate Investors (the "Issuer") issued to MassMutual an amended and restated Senior Fixed Rate Convertible Note (the "Note") in the principal amount of $30,000,000, due on November 15, 2027. MassMutual, at its option, can convert the principal amount of the Note into the Issuer's common shares.
The inclusion of MassMutual held securities of the Issuer shall not be construed as an admission that Barings is for the purpose of Section 16 of the Exchange Act, the direct or indirect beneficial owner of the securities of the Issuer beneficially owned by MassMutual.
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
2017-11-16
/s/ Ann Malloy, Compliance
2017-11-16