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U.S. Securities and Exchange Commission


Finke Thomas M (0001363651)
formerly: Finke Thomas F (until 2019-11-21)
Mailing Address
INVESCO LTD.
1333 SPRING ST. NW, SUITE 2500
ATLANTA X1 30309
Ownership Reports for Issuers: (Click on issuer name to see other owners for the issuer, or CIK for issuer filings.)

Issuer Filings Transaction Date Type of Owner
Adara Acquisition Corp.
Current Name:ALLIANCE ENTERTAINMENT HOLDING CORP		 0001823584 2021-02-08 director
Invesco Ltd. 0000914208 2020-12-01 director
Barings Capital Investment Corp 0001811972 2020-08-24 other: Officer of the Adviser
Barings BDC, Inc. 0001379785 2018-08-02 director, other: Adviser Board Member
BABSON CAPITAL GLOBAL SHORT DURATION HIGH YIELD FUND
Current Name:BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND		 0001521404 2012-10-25 other: Chairman & CEO of Adviser
SCOTTISH RE GROUP LTD 0001064122 2007-05-07 director
Special Value Continuation Fund, LLC
Current Name:BlackRock TCP Capital Corp.		 0001370755 2007-01-26 other: Investment Co-Mgr Board Member
Tennenbaum Opportunities Fund V, LLC 0001377269 2007-01-26 other: Investment Co-Mgr Board Member
Special Value Continuation Partners, LP
Current Name:Special Value Continuation Partners, LLC		 0001370754 2007-01-26 other: Investment Co-Mgr Board Member
SPECIAL VALUE OPPORTUNITIES FUND LLC 0001280948 2007-01-26 officer: Investment Co-Mgr Board Member, other: Investment Co-Mgr Board Member
Tennenbaum Opportunities Partners V, LP 0001383812 2006-12-15 other: Investment Co-Mgr Board Member
MASSMUTUAL CORPORATE INVESTORS
Current Name:BARINGS CORPORATE INVESTORS		 0000275694 2006-05-12 director
MASSMUTUAL PARTICIPATION INVESTORS
Current Name:BARINGS PARTICIPATION INVESTORS		 0000831655 2006-05-12 director


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Issuer Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Issuer CIK Security Name
A 2024-05-15   Invesco Ltd. 4 A-Award --D 11955.0000 43398.0000 1 0000914208 Common Shares
A 2023-06-30   ALLIANCE ENTERTAINMENT HOLDING CORP 4 P-Purchase --D 83300.0000 247164.0000 1 0001823584 Class A Common Stock
A 2023-05-15   Invesco Ltd. 4 A-Award --D 12820.0000 31443.0000 1 0000914208 Common Shares
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 M-Exempt --I 1200000.0000 1200000.0000 1 0001823584 Class A Common Stock
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 M-Exempt --D 50000.0000 50000.0000 2 0001823584 Class A Common Stock
D 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --I 1200000.0000 0.0000 3 0001823584 Class A Common Stock
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --I 73864.0000 73864.0000 4 0001823584 Class A Common Stock
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --D 113864.0000 163864.0000 5 0001823584 Class A Common Stock
D 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 D-Return --I 1375000.0000 1200000.0000 6 0001823584 Class B Common Stock
D 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 M-Exempt --I 1200000.0000 0.0000 7 0001823584 Class B Common Stock
D 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 M-Exempt --D 50000.0000 0.0000 8 0001823584 Class B Common Stock
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --I 4120000.0000 4120000.0000 9 0001823584 Warrant
D 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --I 4120000.0000 0.0000 10 0001823584 Warrant
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --I 250000.0000 250000.0000 11 0001823584 Warrant
A 2023-02-10   ALLIANCE ENTERTAINMENT HOLDING CORP 4 J-Other --D 387333.0000 387333.0000 12 0001823584 Warrant
A 2022-05-15   Invesco Ltd. 4 A-Award --D 10930.0000 18623.0000 1 0000914208 Common Shares
A 2021-05-15   Invesco Ltd. 4 A-Award --D 5807.0000 7693.0000 1 0000914208 Common Shares
A 2021-04-29   Invesco Ltd. 4 A-Award --D 1311.0000 1886.0000 1 0000914208 Common Shares
A 2021-01-27   Invesco Ltd. 4 A-Award --D 575.0000 575.0000 1 0000914208 Common Shares
A 2020-11-05   BARINGS CORPORATE INVESTORS 4 J-Other --D 29.7745 46993.3816 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-10-22   BARINGS CORPORATE INVESTORS 4 J-Other --D 29.9493 46032.0977 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-10-08   BARINGS CORPORATE INVESTORS 4 J-Other --D 28.9949 46002.1484 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-09-24   BARINGS CORPORATE INVESTORS 4 J-Other --D 28.7322 45973.1534 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-09-10   BARINGS CORPORATE INVESTORS 4 J-Other --D 28.1931 45944.4212 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-08-27   BARINGS CORPORATE INVESTORS 4 J-Other --D 27.6950 45916.2281 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-08-13   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.7301 45888.5330 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-07-30   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.8096 45044.6660 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-07-16   BARINGS CORPORATE INVESTORS 4 J-Other --D 27.0510 45017.8563 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-07-02   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.7698 44990.8053 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-06-18   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.8996 44964.0355 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-06-04   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.4362 44937.1358 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-05-21   BARINGS CORPORATE INVESTORS 4 J-Other --D 25.9604 44910.6996 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-05-07   BARINGS CORPORATE INVESTORS 4 J-Other --D 29.8008 44884.7392 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-05-05   Barings BDC, Inc. 4 P-Purchase --D 15000.0000 25000.0000 1 0001379785 Common Stock ("Shares")
A 2020-04-23   BARINGS CORPORATE INVESTORS 4 J-Other --D 26.1486 44053.9573 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-04-09   BARINGS CORPORATE INVESTORS 4 J-Other --D 27.8663 44027.8086 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-03-26   BARINGS CORPORATE INVESTORS 4 J-Other --D 28.4601 43999.9423 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-03-12   BARINGS CORPORATE INVESTORS 4 J-Other --D 25.0409 43971.4822 1 0000275694 Barings Non-Qualified Thrift Plan
A 2020-02-27   BARINGS CORPORATE INVESTORS 4 J-Other --D 2986.7397 43946.4412 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-12-19   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.7825 40243.8314 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-12-05   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.9871 40222.0489 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-11-21   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.2737 40200.0617 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-11-20   Barings BDC, Inc. 4 P-Purchase --D 8000.0000 10000.0000 1 0001379785 Common Stock ("Shares")
A 2019-11-07   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.4101 40178.7879 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-10-24   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.6142 39449.5506 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-10-10   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.5663 39427.9364 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-09-26   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.7484 39406.3700 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-09-12   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.8035 39384.6215 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-08-29   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.3691 39362.8179 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-08-15   BARINGS CORPORATE INVESTORS 4 J-Other --D 21.9871 39340.4488 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-08-01   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.2586 38589.8921 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-07-18   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.8800 38567.6334 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-07-03   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.0999 38544.7533 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-06-20   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.1295 38521.6534 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-06-06   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.0114 38498.5238 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-05-23   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.4806 38475.5124 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-05-09   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.5227 38453.0317 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-04-25   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.8946 37714.8569 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-04-11   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.4606 37691.9623 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-03-28   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.5218 37668.5017 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-03-14   BARINGS CORPORATE INVESTORS 4 J-Other --D 22.2586 37644.9799 1 0000275694 Barings Non-Qualified Thrift Plan
A 2019-02-28   BARINGS CORPORATE INVESTORS 4 J-Other --D 3573.1831 37622.7212 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-12-20   BARINGS CORPORATE INVESTORS 4 J-Other --D 24.0393 33368.5476 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-12-10   Barings BDC, Inc. 4 P-Purchase --D 2000.0000 2000.0000 1 0001379785 Common Stock ("Shares")
A 2018-12-06   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.7903 33344.5083 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-11-21   BARINGS CORPORATE INVESTORS 4 J-Other --D 24.1844 33320.7179 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-11-08   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.6607 33296.5335 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-10-25   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.8327 32630.9521 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-10-11   BARINGS CORPORATE INVESTORS 4 J-Other --D 24.0553 32607.1193 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-09-27   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.5988 32583.0639 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-09-13   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.6142 32559.4651 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-08-30   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.3542 32535.8508 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-08-16   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.3391 32512.4966 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-08-02   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.3240 31861.0402 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-07-19   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.7386 31837.7162 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-07-05   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.7542 31813.9775 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-06-21   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.4606 31790.2233 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-06-07   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.6161 31766.7626 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-05-24   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.4563 31743.1465 1 0000275694 Barings Non-Qualified Thrift Plan
A 2018-05-10   BARINGS CORPORATE INVESTORS 4 J-Other --D 23.9276 31719.6901 1 0000275694 Barings Non-Qualified Thrift Plan

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Modified: 04/22/2016