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