0001225208-18-013796.txt : 20180928 0001225208-18-013796.hdr.sgml : 20180928 20180928151424 ACCESSION NUMBER: 0001225208-18-013796 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180924 FILED AS OF DATE: 20180928 DATE AS OF CHANGE: 20180928 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: 814-00733 FILM NUMBER: 181093904 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Barings BDC, Inc. CENTRAL INDEX KEY: 0001379785 IRS NUMBER: 061798488 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 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 COMPANY: FORMER CONFORMED NAME: Triangle Capital CORP DATE OF NAME CHANGE: 20061101 4 1 doc4.xml X0306 4 2018-09-24 0001379785 Barings BDC, Inc. BBDC 0000009015 BARINGS LLC 300 SOUTH TRYON STREET SUITE 2500 CHARLOTTE NC 28202 1 1 Investment Adviser Common Stock ("Shares") 2018-09-24 4 P 0 20085.0000 10.1006 A 8550002.0000 D Common Stock ("Shares") 2018-09-25 4 P 0 77500.0000 10.1033 A 8627502.0000 D Common Stock ("Shares") 2018-09-26 4 P 0 77500.0000 10.0530 A 8705002.0000 D Common Stock ("Shares") 2018-09-27 4 P 0 77500.0000 10.0223 A 8782502.0000 D The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.085 to $10.12. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.07 to $10.20. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $10.015 to $10.08. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. The price reported represents the average purchase price on the Transaction Date. Actual purchase prices ranged from $9.98 to $10.10. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Ann Malloy as Attorney-in-fact 2018-09-28