BARINGS PARTICIPATION INVESTORS 5
5 · BARINGS PARTICIPATION INVESTORS · Filed Feb 14, 2017
Insider Transaction Report
Form 5
Holdings
- 67,414
Shares of Beneficial Interest ("Common Shares")
- 143,406(indirect: By LLC)
Shares of Beneficial Interest ("Common Shares")
- 15,000,000
Senior Fixed Rate Convertible Note due 12/13/23
→ Shares of Beneficial Interest ("Common Shares") (15,000,000 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]Effective 09/12/2016, Babson Capital Management LLC became Barings LLC.
- [F4]Note held by MassMutual that is convertible based on average price of Issuer's common shares ten days prior to exercise.