BARINGS LLC

HTTPS://WWW.BARINGS.COM CHARLOTTE, NC Investment Advisor How do I update this listing?

Also known as:

  • BABSON CAPITAL MANAGEMENT LLC
  • BABSON DAVID L & CO INC
  • TRIANGLE CAPITAL CORP

Barings is based out of Charlotte. Barings is a large advisory firm with 303 clients and discretionary assets under management (AUM) of $239,343,345,085 (Form ADV from 2018-08-01). Their last reported 13F filing for Q2 2019 included $4,627,866,000 in managed 13F securities and a top 10 holdings concentration of 29.0%. Barings's largest holding is Alibaba Group Holding Ltd ADR with shares held of 1,630,325. Barings has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 87 13F filings, 15 13D filings, 128 13G filings, and 97 Form 4 filings

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68

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Download 13F Summary to Excel Create Email Alert

06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $4.628 Billion
  • Prior Market Value $4.348 Billion
  • New Purchases104 stocks
  • Additional Purchases229 stocks
  • Sold out of118 stocks
  • Reduced holdings in299 stocks
  • Top 10 Holdings % 29.00 %
  • Turnover % [1]:32.08%
  • Turnover Alt % [2]: 17.06 %
  • Time Held Top20:2.80 quarters
  • Time Held Top10:2.70 quarters
  • Time Held All:20.79 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 1.02%
Performance Last 4 Quarters: 2.2%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
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  • 2012-09-30 - 13F-HR (Subscription required)
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  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
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  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR/A (Subscription required)
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  • 2006-09-30 - 13F-HR (Subscription required)
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  • 2005-12-31 - 13F-HR (Subscription required)
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  • 2004-12-31 - 13F-HR/A (Subscription required)
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  • 2004-09-30 - 13F-HR/A (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
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  • 2003-12-31 - 13F-HR (Subscription required)
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  • 2003-06-30 - 13F-HR/A (Subscription required)
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  • 2001-03-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
BARING ASSET MANAGEMENT (ASIA) Ltd
Baring Asset Management Korea Ltd
BARING ASSET MANAGEMENT Ltd
Baring International Investment Ltd
Baring SICE (Taiwan) Limited
Barings SICE (Taiwan) Limited

View Last Form Adv Compilation Report on Record

BARINGS LLC
Classified as Hedge Fund
300 S. TRYON STREET SUITE 2500
CHARLOTTE NC    28202
Country: United States

Business Phone: 704-805-7200
Fax: 704-805-7302
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 1191
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 8,894,360,000
Total Number of Clients: 303
Amount of client funds and securities by related persons: 36,753,300,000
Total Number of clients from related persons: 11
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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BARINGS LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
FINKE, THOMAS, MICHAEL CHAIRMAN OF THE BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2008-12-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS AND MANAGING DIRECTOR direct 2006-05-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, PRESIDENT AND MANAGING DIRECTOR direct 2006-05-01
BABSON CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHIEF EXECUTIVE OFFICER direct 2008-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGER direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER indirect 2008-12-01
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-03-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED DIRECTOR / CHAIRMAN direct 2012-02-01
MOORE, SUSAN, ANN CHIEF ADMINISTRATIVE OFFICER, HEAD OF GLOBAL HUMAN RESOURCES AND CORPORATE COMMUNICATIONS AND MANAGING DIRECTOR 02/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CHIEF ADMINISTRATIVE OFFICER AND MANAGING DIRECTOR direct 2010-02-01
DEFRANCIS, CHRISTOPHER, ANTHONY CHIEF COMPLIANCE OFFICER, HEAD OF GLOBAL COMPLIANCE, DEPUTY GENERAL COUNSEL AND MANAGING DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL AND SECRETARY direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED COMPANY SECRETARY direct 2011-05-01
FRANCIS, SHELDON, MAURICE CHIEF LEGAL OFFICER, SECRETARY AND MANAGING DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL AND SECRETARY direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF LEGAL OFFICER, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED DIRECTOR direct 2011-05-01
THOMPSON, PAUL, JOHN CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, HEAD OF GLOBAL INVESTMENT SERVICES AND MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR direct 2015-04-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-06-01
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-11-01
BARINGS GLOBAL ADVISERS LIMITED DIRECTOR direct 2017-04-01
MM ASSET MANAGEMENT HOLDING LLC DIRECT OWNER 02/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 1990-10-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-01-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-02-01
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1990-10-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT LLC SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BABSON CAPITAL MANAGEMENT LLC DIRECT OWNER direct 2012-02-01
CORNERSTONE REAL ESTATE ADVISERS LLC SOLE MEMBER indirect 2012-02-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1990-10-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-01-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2012-02-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 1990-10-01
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-01-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 2012-02-01
VTL ASSOCIATES, LLC SHAREHOLDER indirect 1990-10-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2012-02-01
INDEX MANAGEMENT SOLUTIONS, LLC SHAREHOLDER indirect 1990-10-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1990-10-01
BARINGS GLOBAL ADVISERS LIMITED SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2012-02-01
JEFFERIES FINANCE LLC SOLE MEMBER indirect 2004-07-01
OFI STEELPATH, INC. SHAREHOLDER indirect 1990-10-01
SHAREHOLDER FINANCIAL SERVICES, INC. SHAREHOLDER indirect 2012-01-01
OFI STEELPATH, INC. SHAREHOLDER indirect 2012-02-01
BABSON CAPITAL FINANCE, LLC SOLE MEMBER indirect 2012-02-01
CHICARES, ELIZABETH, WARD MEMBER OF THE BOARD OF MANAGERS 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF ENTERPRISE RISK OFFICER direct 2011-10-01
MML INVESTORS SERVICES, LLC DIRECTOR direct 2011-08-01
MSI FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2010-01-01
BARINGS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-07-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-06-01
MML INVESTMENT ADVISERS, LLC DIRECTOR direct 2013-10-01
SOCIETY OF GROWNUPS, LLC MANAGER direct 2014-04-01
SOCIETY OF GROWNUPS, LLC DIRECTOR direct 2014-04-01
CRANDALL, ROGER, WILLIAM MEMBER OF THE BOARD OF MANAGERS 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
S.I. INTERNATIONAL ASSETS DIRECTOR, MANAGING DIRECTOR/ DAVID L. BABSON & COMPANY INC. direct 2003-07-01
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2005-06-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2010-01-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
DAVID L. BABSON & COMPANY INC. MANAGING DIRECTOR direct 2001-10-01 2003-07-24
DAVID L. BABSON & COMPANY INC. DIRECTOR, MANAGING DIRECTOR direct 2001-10-01 2004-03-30
DAVID L. BABSON & COMPANY INC. MEMBER OF THE BOARD OF MANAGERS, MANAGING DIRECTOR direct 2001-10-01 2004-08-02
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, VICE CHAIRMAN AND MANAGING DIRECTOR direct 2001-10-01 2005-03-28
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS AND CHAIRMAN direct 2001-10-01 2005-08-16
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHAIRMAN, PRESIDENT AND CEO direct 2001-10-01 2007-03-27
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2005-06-01 2007-04-20
CORNERSTONE REAL ESTATE ADVISERS LLC DIRECTOR direct 2005-06-01 2007-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGER direct 2005-06-01 2008-03-28
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER direct 2005-06-01 2008-07-02
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND CO-CHIEF OPERATING OFFICER direct 2005-06-01 2008-07-25
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHAIRMAN, AND CEO direct 2001-10-01 2008-09-22
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY PRESIDENT AND CHIEF OPERATING OFFICER AND DIRECTOR direct 2005-06-01 2009-11-12
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2005-06-01 2010-08-24
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER indirect 2010-01-01 2011-03-31
CORBETT, M., TIMOTHY MEMBER OF THE BOARD OF MANAGERS 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2011-05-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2012-10-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
HARTFORD INVESTMENT MANAGEMENT COMPANY MANAGING DIRECTOR direct 2002-05-01
HARTFORD INVESTMENT MANAGEMENT COMPANY MANAGING DIRECTOR AND DIRECTOR direct 2004-12-01
GLAVIN, WILLIAM, FRANCIS MEMBER OF THE BOARD OF MANAGERS 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT direct 2006-03-01
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CO-CHIEF OPERATING OFFICER direct 2006-03-01
MML INVESTORS SERVICES, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2006-03-01
MML INVESTORS SERVICES, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER direct 2007-05-01
OPPENHEIMER REAL ASSET MANAGEMENT INC DIRECTOR direct 2010-03-01
OPPENHEIMERFUNDS INC CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2009-01-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2009-01-01
OPPENHEIMERFUNDS INC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-01-01
S.I. INTERNATIONAL ASSETS DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER/ DAVID L. BABSON & COMPANY INC. direct 2003-04-01
DAVID L. BABSON & COMPANY INC. CHIEF OPERATING OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER, AND PRESIDENT direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, PRESIDENT, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR direct 2003-04-01
DAVID L. BABSON & COMPANY INC. CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
DAVID L. BABSON & COMPANY INC. MEMBER OF THE BOARD OF MANAGERS, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
DAVID L. BABSON & COMPANY INC. DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2003-04-01
BARINGS LLC MEMBER OF THE BOARD OF MANAGERS direct 2014-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2010-03-01
OFI GLOBAL ASSET MANAGEMENT, INC. DIRECTOR, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2013-01-01
OFI GLOBAL ASSET MANAGEMENT, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT direct 2013-01-01
CRADDOCK, GEOFFREY, JAMES MEMBER OF THE BOARD OF MANAGERS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMERFUNDS INC EXECUTIVE VICE PRESIDENT direct 2011-01-01
FRENO, MICHAEL, DAVID HEAD OF GLOBAL MARKETS AND MANAGING DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARINGS LLC HEAD OF GLOBAL MARKETS AND MANAGING DIRECTOR direct 2018-03-01
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY SHAREHOLDER OF MASSMUTUAL HOLDING LLC MASSMUTUAL HOLDING LLC 07/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MMLISI FINANCIAL ALLIANCES, LLC PARENT COMPANY indirect 1982-01-01
OFI STEELPATH, INC. MEMBER indirect 1984-11-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 1984-11-01
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 1984-11-01
OFI PRIVATE INVESTMENTS INC MEMBER indirect 1984-11-01
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 1984-11-01
OPPENHEIMERFUNDS INC MEMBER indirect 1984-11-01
INDEX MANAGEMENT SOLUTIONS, LLC MEMBER indirect 1984-11-01
VTL ASSOCIATES, LLC MEMBER indirect 1984-11-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC MEMBER indirect 1984-11-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER indirect 1994-04-01
MASSMUTUAL TRUST CO FSB PARENT COMPANY direct 2000-01-01
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
MML INVESTORS SERVICES, INC. PARENT COMPANY indirect 2004-07-01
SVAR/MM, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
SVIM / MSM II, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
BABSON CAPITAL FINANCE, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
ROSEMOUNT CAPITAL MANAGEMENT, LLC MEMBER indirect 2005-07-01
MSI FINANCIAL SERVICES, INC. DIRECT OWNER direct 2016-07-01
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF HOLDING COMPANY indirect 1995-06-01 2004-03-30
MML INVESTORS SERVICES, INC. PARENT COMPANY indirect 1982-01-01 2004-05-07
CORNERSTONE REAL ESTATE ADVISERS INC INDIRECT 100% OWNER indirect 1994-04-01 2004-10-05
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2005-03-31
CORNERSTONE REAL ESTATE ADVISERS LLC INDIRECT 100% OWNER indirect 1994-04-01 2007-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC INDIRECT 100% OWNER indirect 1994-04-01 2008-03-28
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECT OWNER direct 2005-08-01 2009-02-03
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECT OWNER & MEMBER direct 2005-08-01 2010-03-18
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2012-06-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2013-06-13
OFI PRIVATE INVESTMENTS INC MEMBER indirect 1994-04-01 2014-03-28
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 1994-04-01 2014-03-28
OFI STEELPATH, INC. MEMBER indirect 1994-04-01 2014-03-28
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 1994-04-01 2014-03-31
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 1994-04-01 2014-07-30
OPPENHEIMERFUNDS INC MEMBER indirect 1994-04-01 2014-12-17
SVOF/MM, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01 2016-03-30
MASSMUTUAL HOLDING LLC SOLE MEMBER MM ASSET MANAGEMENT HOLDING LLC 02/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TREMONT PARTNERS INC SHAREHOLDER indirect 1996-12-01
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1996-12-01
S.I. INTERNATIONAL ASSETS SHAREHOLDER indirect 2001-12-01
SVAR/MM, LLC DIRECT OWNER indirect 2004-07-01
SVIM / MSM II, LLC DIRECT OWNER indirect 2004-07-01
MML INVESTORS SERVICES, LLC MEMBER direct 2004-07-01
OFI STEELPATH, INC. MEMBER indirect 2011-11-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 2011-11-01
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 2011-11-01
OFI PRIVATE INVESTMENTS INC MEMBER indirect 2011-11-01
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 2011-11-01
OPPENHEIMERFUNDS INC MEMBER indirect 2011-11-01
INDEX MANAGEMENT SOLUTIONS, LLC MEMBER indirect 2011-11-01
VTL ASSOCIATES, LLC MEMBER indirect 2011-11-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC MEMBER indirect 2011-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2012-02-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2012-02-01
CORNERSTONE REAL ESTATE ADVISERS LLC SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL FINANCE, LLC SOLE MEMBER indirect 2012-02-01
SOCIETY OF GROWNUPS, LLC MEMBER direct 2014-04-01
MMLISI FINANCIAL ALLIANCES, LLC MEMBER indirect 1985-02-01
OFI GLOBAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1990-10-01
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1999-03-01 2001-01-31
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1999-03-01 2001-01-31
HARBOURVIEW ASSET MANAGEMENT CORP SHAREHOLDER indirect 1999-03-01 2001-01-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-03-01 2001-01-31
OAM INSTITUTIONAL, INC. SHAREHOLDER indirect 1999-03-01 2001-02-12
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1999-03-01 2001-03-30
BABSON STEWART IVORY INTERNATIONAL SHAREHOLDER OF MASSMUTUAL HOLDING TRUST I indirect 1996-12-01 2001-04-11
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF HOLDING TRUST indirect 1996-12-01 2001-12-13
BABSON STEWART IVORY INTERNATIONAL SHAREHOLDER OF DLB ACQUISITION CORPORATION indirect 2001-12-01 2003-04-02
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF DLB ACQUISTION CORPORATION indirect 2001-12-01 2004-03-30
MML INVESTORS SERVICES, INC. STOCKHOLDER direct 1985-02-01 2004-05-07
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1996-12-01 2005-03-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1996-12-01 2005-03-31
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01 2005-03-31
OAM INSTITUTIONAL, INC. SHAREHOLDER indirect 1996-12-01 2005-03-31
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1996-12-01 2005-03-31
HARBOURVIEW ASSET MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01 2005-03-31
TREMONT PARTNERS INC SHAREHOLDER indirect 1996-12-01 2005-04-19
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1996-12-01 2005-06-17
CORNERSTONE REAL ESTATE ADVISERS LLC 100% OWNER direct 1994-04-01 2008-03-28
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER direct 1994-04-01 2010-04-01
MMLISI FINANCIAL ALLIANCES, LLC STOCKHOLDER indirect 1985-02-01 2010-12-16
MML INVESTORS SERVICES, INC. STOCKHOLDER direct 2004-07-01 2011-01-03
WOOD CREEK CAPITAL MANAGEMENT, LLC SHAREHOLDER OF BABSON CAPITAL MANAGEMENT LLC indirect 2004-07-01 2011-03-30
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 1996-12-01 2011-03-31
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1996-12-01 2011-03-31
CORNERSTONE REAL ESTATE ADVISERS LLC DIRECT OWNER indirect 2004-07-01 2011-08-05
DAVID L. BABSON & COMPANY INC. DIRECT OWNER direct 2004-07-01 2011-09-28
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2004-07-01 2012-02-08
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 2012-01-01 2013-06-13
OFI PRIVATE INVESTMENTS INC SOLE MEMBER indirect 2012-02-01 2014-03-28
OFI GLOBAL INSTITUTIONAL, INC. SOLE MEMBER indirect 2012-02-01 2014-03-28
OFI STEELPATH, INC. SOLE MEMBER indirect 2012-02-01 2014-03-28
HARBOURVIEW ASSET MANAGEMENT CORPORATION SOLE MEMBER indirect 2012-02-01 2014-03-31
OFI GLOBAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-02-01 2014-07-30
OFI GLOBAL ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2012-02-01 2014-07-30
OPPENHEIMERFUNDS INC SOLE MEMBER indirect 2012-02-01 2014-12-17
JEFFERIES FINANCE LLC SOLE MEMBER indirect 2012-02-01 2016-03-08
SVOF/MM, LLC DIRECT OWNER indirect 2004-07-01 2016-03-30
MM ASSET MANAGEMENT HOLDING LIMITED SOLE MEMBER MASSMUTUAL HOLDING LLC 02/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 1990-10-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-01-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-02-01
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1990-10-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT LLC SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BABSON CAPITAL MANAGEMENT LLC DIRECT OWNER direct 2012-02-01
CORNERSTONE REAL ESTATE ADVISERS LLC SOLE MEMBER indirect 2012-02-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1990-10-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-01-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2012-02-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 1990-10-01
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-01-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 2012-02-01
VTL ASSOCIATES, LLC SHAREHOLDER indirect 1990-10-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2012-02-01
INDEX MANAGEMENT SOLUTIONS, LLC SHAREHOLDER indirect 1990-10-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1990-10-01
BARINGS GLOBAL ADVISERS LIMITED SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2012-02-01
JEFFERIES FINANCE LLC SOLE MEMBER indirect 2004-07-01
OFI STEELPATH, INC. SHAREHOLDER indirect 1990-10-01
SHAREHOLDER FINANCIAL SERVICES, INC. SHAREHOLDER indirect 2012-01-01
OFI STEELPATH, INC. SHAREHOLDER indirect 2012-02-01
BABSON CAPITAL FINANCE, LLC SOLE MEMBER indirect 2012-02-01
MML DISTRIBUTORS, LLC SOLE MEMBER MM ASSET MANAGEMENT HOLDING LLC 02/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BARINGS LLC SOLE MEMBER indirect 2012-02-01
MML INVESTMENT ADVISERS, LLC SOLE MEMBER MM ASSET MANAGEMENT HOLDING LLC 02/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BARINGS LLC SOLE MEMBER indirect 2012-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BABSON CAPITAL LOAN STRATEGIES MASTER FUND, L.P. Cayman Islands 805-8632982761 Hedge Fund 12,505,152 1,000,000 Master Fund
BABSON CLO LTD. 2016-I Cayman Islands 805-2698574909 Securitized Asset Fund 399,133,043 0
BARINGS CLO INVESTMENT PARTNERS LP United States 805-6582477010 Hedge Fund 51,441,587 5,000,000
BENTON STREET PARTNERS I, L.P. Cayman Islands 805-3411045629 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 132,025 0
BENTON STREET PARTNERS II, L.P. United States 805-6921764234 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 0 0
WHATELY CDO I, LTD. Cayman Islands 805-8816255171 Securitized Asset Fund 4,432,955 0
TOWER SQUARE CAPITAL PARTNERS II-B, L.P. United States 805-5968703709 Private Equity Fund 614,628 5,000,000
TOWER SQUARE CAPITAL PARTNERS II-A, L.P. United States 805-2988783848 Private Equity Fund 4,921,523 5,000,000
BARINGS ASSET-BASED INCOME FUND (US), L.P. United States 805-2031446018 Private Equity Fund 511,500 10,000,000
BARINGS CLO LTD. 2013-I Cayman Islands 805-7471281304 Securitized Asset Fund 547,412,884 0
BABSON CLO LTD. 2014-II Cayman Islands 805-5778581005 Securitized Asset Fund 3,591,840 0
BARINGS SENIOR LOAN TRUST Cayman Islands 805-2584019014 Other Private Fund SENIOR LOAN FUND 93,003,350 887,508
BABSON CLO LTD. 2013-II Cayman Islands 805-3466563999 Securitized Asset Fund 0 0
BABSON CLO LTD. 2014-I Cayman Islands 805-5679523251 Securitized Asset Fund 413,256,138 0
SOMERSET SPECIAL OPPORTUNITIES MASTER FUND L.P. Cayman Islands 805-5963353964 Hedge Fund 9,015,036 1,000,000 Master Fund
TOWER SQUARE CAPITAL PARTNERS II, L.P. United States 805-8022736981 Private Equity Fund 4,825,316 5,000,000
BABSON CLO LTD. 2015-I Cayman Islands 805-6259822953 Securitized Asset Fund 494,306,665 0
BARINGS CLO LTD. 2015-II Cayman Islands 805-1311392665 Securitized Asset Fund 499,555,696 0
TOWER SQUARE CAPITAL PARTNERS III-A, L.P. United States 805-5572298706 Private Equity Fund 106,869,071 5,000,000
GREAT LAKES III MASTER FUND, L.P. Cayman Islands 805-1488758543 Hedge Fund 42,006,813 5,000,000 Master Fund
GREAT LAKES II LLC United States 805-8901581284 Hedge Fund 10,115,425 500,000
DUNHILL ABS CDO, LTD. Cayman Islands 805-6930287767 Securitized Asset Fund 29,370,102 0
BENTON STREET PARTNERS III, L.P. United States 805-8528724942 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 88,325 0
BARINGS GLOBAL INVESTMENT FUNDS 2 PLC Ireland 805-5544246402 Other Private Fund REGISTERED COLLECTIVE INVESTMENT SCHEME 3,609,510,700 113,417
MONROE HARBOR CDO 2005-1 LTD. Cayman Islands 805-6363277305 Securitized Asset Fund 184,915,732 0
LAKESIDE CDO I, LTD. Cayman Islands 805-1451800416 Securitized Asset Fund 56,994,737 0
STREETERVILLE ABS CDO, LTD. Cayman Islands 805-9419408057 Securitized Asset Fund 67,275,148 0
BABSON CLO LTD. 2014-III Cayman Islands 805-8120373245 Securitized Asset Fund 0 0
BARINGS CLO LTD. 2018-II Cayman Islands 805-8683041032 Securitized Asset Fund 500,315,004 0
BARINGS CLO LTD. 2018-III Cayman Islands 805-8185619665 Securitized Asset Fund 701,070,691 0
BARINGS GLOBAL REAL ASSETS FUND, LP United States 805-3870509903 Private Equity Fund 314,652,828 5,000,000 Fund of Funds
BARINGS MIDDLE MARKET CLO LTD. 2018-I Cayman Islands 805-8848799001 Securitized Asset Fund 401,327,541 0
BARINGS CLO LTD. 2018-IV Cayman Islands 805-5911825782 Securitized Asset Fund 501,088,512 0
BARINGS CLO LTD. 2018-I Cayman Islands 805-1812824486 Securitized Asset Fund 549,826,666 0
TOWER SQUARE CAPITAL PARTNERS III, L.P. United States 805-3699597034 Private Equity Fund 99,082,420 5,000,000
BARINGS CLO INVESTMENT PARTNERS (MINI-MASTER) LP Cayman Islands 805-3095409568 Hedge Fund 61,283,328 5,000,000 Master Fund
BABSON CAPITAL FLOATING RATE INCOME MASTER FUND, L.P. Cayman Islands 805-9073350473 Other Private Fund HIGH YIELD LOAN FUND 1,093,826,791 1,000,000 Master Fund
BABSON CLO LTD. 2016-II Cayman Islands 805-8442386188 Securitized Asset Fund 400,715,703 0
BABSON CLO LTD. 2016-III Cayman Islands 805-4938543355 Securitized Asset Fund 501,104,146 0
TOWER SQUARE CAPITAL PARTNERS III-B, L.P. United States 805-1250086277 Private Equity Fund 11,937,248 5,000,000
TOWER SQUARE CAPITAL PARTNERS IV, L.P. United States 805-4525164228 Private Equity Fund 130,898,208 5,000,000
TOWER SQUARE CAPITAL PARTNERS IV-A, L.P. United States 805-2785008566 Private Equity Fund 62,007,620 5,000,000
BARINGS CLO LTD. 2017-I Cayman Islands 805-5490981615 Securitized Asset Fund 500,461,345 0
BARINGS NORTH AMERICAN PRIVATE LOAN FUND, L.P. United States 805-7866128867 Other Private Fund PRIVATE CORPORATE LOAN FUND 61,195,818 10,000,000
BARINGS NORTH AMERICAN PRIVATE LOAN FUND (CAYMAN), L.P. Cayman Islands 805-2137220067 Other Private Fund PRIVATE CORPORATE LOAN FUND 130,417,368 10,000,000
BARINGS NORTH AMERICAN PRIVATE LOAN FUND (CAYMAN)-A, L.P. Cayman Islands 805-2677238288 Other Private Fund PRIVATE CORPORATE LOAN FUND 180,738,503 10,000,000
BARINGS MIDDLE MARKET CLO LTD. 2017-I Cayman Islands 805-2412792114 Securitized Asset Fund 501,742,394 250,000

BARINGS LLC

ownership team - last updated 2017-09-27
Name Title Start Date Direct/Indirect % Ownership
GLAVIN, WILLIAM, FRANCIS MEMBER OF THE BOARD OF MANAGERS 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT direct 2006-03-01
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CO-CHIEF OPERATING OFFICER direct 2006-03-01
MML INVESTORS SERVICES, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2006-03-01
MML INVESTORS SERVICES, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER direct 2007-05-01
OPPENHEIMER REAL ASSET MANAGEMENT INC DIRECTOR direct 2010-03-01
OPPENHEIMERFUNDS INC CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2009-01-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2009-01-01
OPPENHEIMERFUNDS INC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-01-01
S.I. INTERNATIONAL ASSETS DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER/ DAVID L. BABSON & COMPANY INC. direct 2003-04-01
DAVID L. BABSON & COMPANY INC. CHIEF OPERATING OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER, AND PRESIDENT direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, PRESIDENT, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR direct 2003-04-01
DAVID L. BABSON & COMPANY INC. CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
DAVID L. BABSON & COMPANY INC. MEMBER OF THE BOARD OF MANAGERS, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
DAVID L. BABSON & COMPANY INC. DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-04-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2003-04-01
BARINGS LLC MEMBER OF THE BOARD OF MANAGERS direct 2014-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2010-03-01
OFI GLOBAL ASSET MANAGEMENT, INC. DIRECTOR, CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2013-01-01
OFI GLOBAL ASSET MANAGEMENT, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT direct 2013-01-01
CORBETT, M., TIMOTHY MEMBER OF THE BOARD OF MANAGERS 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2011-05-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2012-10-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
HARTFORD INVESTMENT MANAGEMENT COMPANY MANAGING DIRECTOR direct 2002-05-01
HARTFORD INVESTMENT MANAGEMENT COMPANY MANAGING DIRECTOR AND DIRECTOR direct 2004-12-01
CRANDALL, ROGER, WILLIAM MEMBER OF THE BOARD OF MANAGERS 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
S.I. INTERNATIONAL ASSETS DIRECTOR, MANAGING DIRECTOR/ DAVID L. BABSON & COMPANY INC. direct 2003-07-01
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2005-06-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2010-01-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2015-07-01
DAVID L. BABSON & COMPANY INC. MANAGING DIRECTOR direct 2001-10-01 2003-07-24
DAVID L. BABSON & COMPANY INC. DIRECTOR, MANAGING DIRECTOR direct 2001-10-01 2004-03-30
DAVID L. BABSON & COMPANY INC. MEMBER OF THE BOARD OF MANAGERS, MANAGING DIRECTOR direct 2001-10-01 2004-08-02
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, VICE CHAIRMAN AND MANAGING DIRECTOR direct 2001-10-01 2005-03-28
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS AND CHAIRMAN direct 2001-10-01 2005-08-16
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHAIRMAN, PRESIDENT AND CEO direct 2001-10-01 2007-03-27
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2005-06-01 2007-04-20
CORNERSTONE REAL ESTATE ADVISERS LLC DIRECTOR direct 2005-06-01 2007-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGER direct 2005-06-01 2008-03-28
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER direct 2005-06-01 2008-07-02
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND CO-CHIEF OPERATING OFFICER direct 2005-06-01 2008-07-25
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, CHAIRMAN, AND CEO direct 2001-10-01 2008-09-22
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY PRESIDENT AND CHIEF OPERATING OFFICER AND DIRECTOR direct 2005-06-01 2009-11-12
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2005-06-01 2010-08-24
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER indirect 2010-01-01 2011-03-31
CHICARES, ELIZABETH, WARD MEMBER OF THE BOARD OF MANAGERS 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF ENTERPRISE RISK OFFICER direct 2011-10-01
MML INVESTORS SERVICES, LLC DIRECTOR direct 2011-08-01
MSI FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
OPPENHEIMERFUNDS INC DIRECTOR direct 2010-01-01
BARINGS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-07-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-06-01
MML INVESTMENT ADVISERS, LLC DIRECTOR direct 2013-10-01
SOCIETY OF GROWNUPS, LLC MANAGER direct 2014-04-01
SOCIETY OF GROWNUPS, LLC DIRECTOR direct 2014-04-01
MM ASSET MANAGEMENT HOLDING LLC DIRECT OWNER 02/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 1990-10-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-01-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 2012-02-01
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1990-10-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-01-01
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT LLC SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01
BABSON CAPITAL MANAGEMENT LLC DIRECT OWNER direct 2012-02-01
CORNERSTONE REAL ESTATE ADVISERS LLC SOLE MEMBER indirect 2012-02-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1990-10-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-01-01
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2012-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2012-02-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 1990-10-01
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-01-01
OFI GLOBAL INSTITUTIONAL, INC. SHAREHOLDER indirect 2012-02-01
VTL ASSOCIATES, LLC SHAREHOLDER indirect 1990-10-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2012-02-01
INDEX MANAGEMENT SOLUTIONS, LLC SHAREHOLDER indirect 1990-10-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1990-10-01
BARINGS GLOBAL ADVISERS LIMITED SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2012-02-01
JEFFERIES FINANCE LLC SOLE MEMBER indirect 2004-07-01
OFI STEELPATH, INC. SHAREHOLDER indirect 1990-10-01
SHAREHOLDER FINANCIAL SERVICES, INC. SHAREHOLDER indirect 2012-01-01
OFI STEELPATH, INC. SHAREHOLDER indirect 2012-02-01
BABSON CAPITAL FINANCE, LLC SOLE MEMBER indirect 2012-02-01
THOMPSON, PAUL, JOHN CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR direct 2015-04-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-06-01
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-11-01
BARINGS GLOBAL ADVISERS LIMITED DIRECTOR direct 2017-04-01
FRANCIS, SHELDON, MAURICE CHIEF LEGAL OFFICER, SECRETARY AND MANAGING DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL AND SECRETARY direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF LEGAL OFFICER, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED DIRECTOR direct 2011-05-01
DEFRANCIS, CHRISTOPHER, ANTHONY CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL AND MANAGING DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL AND SECRETARY direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BARINGS LLC CHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL MANAGEMENT LLC CO-GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR direct 2010-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED COMPANY SECRETARY direct 2011-05-01
MOORE, SUSAN, ANN CHIEF ADMINISTRATIVE OFFICER AND MANAGING DIRECTOR 02/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BABSON CAPITAL MANAGEMENT LLC CHIEF ADMINISTRATIVE OFFICER AND MANAGING DIRECTOR direct 2010-02-01
FINKE, THOMAS, MICHAEL CHAIRMAN OF THE BOARD OF MANAGERS AND CHIEF EXECUTIVE OFFICER 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2008-12-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS AND MANAGING DIRECTOR direct 2006-05-01
BABSON CAPITAL MANAGEMENT LLC MEMBER OF THE BOARD OF MANAGERS, PRESIDENT AND MANAGING DIRECTOR direct 2006-05-01
BABSON CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHIEF EXECUTIVE OFFICER direct 2008-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER OF THE BOARD OF MANAGERS direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGER direct 2007-12-01
CORNERSTONE REAL ESTATE ADVISERS LLC MANAGING MEMBER indirect 2008-12-01
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-03-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED DIRECTOR / CHAIRMAN direct 2012-02-01
MASSMUTUAL HOLDING LLC SOLE MEMBER MM ASSET MANAGEMENT HOLDING LLC 02/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TREMONT PARTNERS INC SHAREHOLDER indirect 1996-12-01
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1996-12-01
S.I. INTERNATIONAL ASSETS SHAREHOLDER indirect 2001-12-01
SVAR/MM, LLC DIRECT OWNER indirect 2004-07-01
SVIM / MSM II, LLC DIRECT OWNER indirect 2004-07-01
MML INVESTORS SERVICES, LLC MEMBER direct 2004-07-01
OFI STEELPATH, INC. MEMBER indirect 2011-11-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 2011-11-01
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 2011-11-01
OFI PRIVATE INVESTMENTS INC MEMBER indirect 2011-11-01
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 2011-11-01
OPPENHEIMERFUNDS INC MEMBER indirect 2011-11-01
INDEX MANAGEMENT SOLUTIONS, LLC MEMBER indirect 2011-11-01
VTL ASSOCIATES, LLC MEMBER indirect 2011-11-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC MEMBER indirect 2011-11-01
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2012-02-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2012-02-01
CORNERSTONE REAL ESTATE ADVISERS LLC SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-02-01
BABSON CAPITAL FINANCE, LLC SOLE MEMBER indirect 2012-02-01
SOCIETY OF GROWNUPS, LLC MEMBER direct 2014-04-01
MMLISI FINANCIAL ALLIANCES, LLC MEMBER indirect 1985-02-01
OFI GLOBAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1990-10-01
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1999-03-01 2001-01-31
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1999-03-01 2001-01-31
HARBOURVIEW ASSET MANAGEMENT CORP SHAREHOLDER indirect 1999-03-01 2001-01-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-03-01 2001-01-31
OAM INSTITUTIONAL, INC. SHAREHOLDER indirect 1999-03-01 2001-02-12
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1999-03-01 2001-03-30
BABSON STEWART IVORY INTERNATIONAL SHAREHOLDER OF MASSMUTUAL HOLDING TRUST I indirect 1996-12-01 2001-04-11
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF HOLDING TRUST indirect 1996-12-01 2001-12-13
BABSON STEWART IVORY INTERNATIONAL SHAREHOLDER OF DLB ACQUISITION CORPORATION indirect 2001-12-01 2003-04-02
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF DLB ACQUISTION CORPORATION indirect 2001-12-01 2004-03-30
MML INVESTORS SERVICES, INC. STOCKHOLDER direct 1985-02-01 2004-05-07
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1996-12-01 2005-03-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1996-12-01 2005-03-31
TRINITY INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01 2005-03-31
OAM INSTITUTIONAL, INC. SHAREHOLDER indirect 1996-12-01 2005-03-31
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1996-12-01 2005-03-31
HARBOURVIEW ASSET MANAGEMENT CORP SHAREHOLDER indirect 1996-12-01 2005-03-31
TREMONT PARTNERS INC SHAREHOLDER indirect 1996-12-01 2005-04-19
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1996-12-01 2005-06-17
CORNERSTONE REAL ESTATE ADVISERS LLC 100% OWNER direct 1994-04-01 2008-03-28
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER direct 1994-04-01 2010-04-01
MMLISI FINANCIAL ALLIANCES, LLC STOCKHOLDER indirect 1985-02-01 2010-12-16
MML INVESTORS SERVICES, INC. STOCKHOLDER direct 2004-07-01 2011-01-03
WOOD CREEK CAPITAL MANAGEMENT, LLC SHAREHOLDER OF BABSON CAPITAL MANAGEMENT LLC indirect 2004-07-01 2011-03-30
HARBOURVIEW ASSET MANAGEMENT CORPORATION SHAREHOLDER indirect 1996-12-01 2011-03-31
OPPENHEIMERFUNDS INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OPPENHEIMER REAL ASSET MANAGEMENT INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OFI PRIVATE INVESTMENTS INC SHAREHOLDER indirect 1996-12-01 2011-03-31
OFI INSTITUTIONAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1996-12-01 2011-03-31
CORNERSTONE REAL ESTATE ADVISERS LLC DIRECT OWNER indirect 2004-07-01 2011-08-05
DAVID L. BABSON & COMPANY INC. DIRECT OWNER direct 2004-07-01 2011-09-28
BABSON CAPITAL GLOBAL ADVISORS LIMITED SOLE MEMBER indirect 2004-07-01 2012-02-08
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 2012-01-01 2013-06-13
OFI PRIVATE INVESTMENTS INC SOLE MEMBER indirect 2012-02-01 2014-03-28
OFI GLOBAL INSTITUTIONAL, INC. SOLE MEMBER indirect 2012-02-01 2014-03-28
OFI STEELPATH, INC. SOLE MEMBER indirect 2012-02-01 2014-03-28
HARBOURVIEW ASSET MANAGEMENT CORPORATION SOLE MEMBER indirect 2012-02-01 2014-03-31
OFI GLOBAL ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-02-01 2014-07-30
OFI GLOBAL ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2012-02-01 2014-07-30
OPPENHEIMERFUNDS INC SOLE MEMBER indirect 2012-02-01 2014-12-17
JEFFERIES FINANCE LLC SOLE MEMBER indirect 2012-02-01 2016-03-08
SVOF/MM, LLC DIRECT OWNER indirect 2004-07-01 2016-03-30
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY SHAREHOLDER OF MASSMUTUAL HOLDING LLC MASSMUTUAL HOLDING LLC 07/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MMLISI FINANCIAL ALLIANCES, LLC PARENT COMPANY indirect 1982-01-01
OFI STEELPATH, INC. MEMBER indirect 1984-11-01
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 1984-11-01
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 1984-11-01
OFI PRIVATE INVESTMENTS INC MEMBER indirect 1984-11-01
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 1984-11-01
OPPENHEIMERFUNDS INC MEMBER indirect 1984-11-01
INDEX MANAGEMENT SOLUTIONS, LLC MEMBER indirect 1984-11-01
VTL ASSOCIATES, LLC MEMBER indirect 1984-11-01
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC MEMBER indirect 1984-11-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01
CORNERSTONE REAL ESTATE ADVISERS LLC MEMBER indirect 1994-04-01
MASSMUTUAL TRUST CO FSB PARENT COMPANY direct 2000-01-01
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
MML INVESTORS SERVICES, INC. PARENT COMPANY indirect 2004-07-01
SVAR/MM, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
SVIM / MSM II, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
WOOD CREEK CAPITAL MANAGEMENT, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
BABSON CAPITAL FINANCE, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01
ROSEMOUNT CAPITAL MANAGEMENT, LLC MEMBER indirect 2005-07-01
MSI FINANCIAL SERVICES, INC. DIRECT OWNER direct 2016-07-01
DAVID L. BABSON & COMPANY INC. SHAREHOLDER OF HOLDING COMPANY indirect 1995-06-01 2004-03-30
MML INVESTORS SERVICES, INC. PARENT COMPANY indirect 1982-01-01 2004-05-07
CORNERSTONE REAL ESTATE ADVISERS INC INDIRECT 100% OWNER indirect 1994-04-01 2004-10-05
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2005-03-31
CORNERSTONE REAL ESTATE ADVISERS LLC INDIRECT 100% OWNER indirect 1994-04-01 2007-11-01
CORNERSTONE REAL ESTATE ADVISERS LLC INDIRECT 100% OWNER indirect 1994-04-01 2008-03-28
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECT OWNER direct 2005-08-01 2009-02-03
WOOD CREEK CAPITAL MANAGEMENT, LLC DIRECT OWNER & MEMBER direct 2005-08-01 2010-03-18
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2012-06-01
CENTENNIAL ASSET MANAGEMENT CORPORATION INDIRECT SHAREHOLDER indirect 1990-10-01 2013-06-13
OFI PRIVATE INVESTMENTS INC MEMBER indirect 1994-04-01 2014-03-28
OFI GLOBAL INSTITUTIONAL, INC. MEMBER indirect 1994-04-01 2014-03-28
OFI STEELPATH, INC. MEMBER indirect 1994-04-01 2014-03-28
HARBOURVIEW ASSET MANAGEMENT CORPORATION MEMBER indirect 1994-04-01 2014-03-31
OFI GLOBAL ASSET MANAGEMENT, INC. MEMBER indirect 1994-04-01 2014-07-30
OPPENHEIMERFUNDS INC MEMBER indirect 1994-04-01 2014-12-17
SVOF/MM, LLC SHAREHOLDER OF MASSMUTUAL HOLDING LLC indirect 2004-07-01 2016-03-30

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GREAT LAKES III MASTER FUND, L.P. Cayman Islands 805-1488758543 Hedge Fund 99,714,866 5,000,000 Master Fund
BABSON CLO LTD. 2012-I Cayman Islands 805-9245203477 Securitized Asset Fund 186,725,674 0
BABSON CLO LTD. 2012-II Cayman Islands 805-7123497734 Securitized Asset Fund 298,800,343 0
GREAT LAKES II LLC United States 805-8901581284 Hedge Fund 23,791,920 500,000
GREYLOCK SYNTHETIC CDO 2006 Cayman Islands 805-1302325253 Securitized Asset Fund 76,150,000 0
SAPPHIRE VALLEY CDO I, LTD. Cayman Islands 805-3093990577 Securitized Asset Fund 150,000 0
BABSON INVESTMENT GRADE CLO DEBT FUND LP United States 805-6856960817 Securitized Asset Fund 71,426,877 1,000,000
DUNHILL ABS CDO, LTD. Cayman Islands 805-6930287767 Securitized Asset Fund 56,479,448 0
GREAT LAKES LLC United States 805-7622967277 Hedge Fund 8,423,277 500,000
BENTON STREET PARTNERS I, L.P. Cayman Islands 805-3411045629 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 15,584,250 0
BENTON STREET PARTNERS II, L.P. United States 805-6921764234 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 2,181,501 0
ST. JAMES RIVER CLO, LTD. Cayman Islands 805-6422266391 Securitized Asset Fund 814,360 0
WHATELY CDO I, LTD. Cayman Islands 805-8816255171 Securitized Asset Fund 32,566,460 0
TOWER SQUARE CAPITAL PARTNERS II-B, L.P. United States 805-5968703709 Private Equity Fund 3,175,570 5,000,000
TSCP SELECTIVE, L.P. United States 805-2637411112 Private Equity Fund 28,007 5,000,000
TOWER SQUARE CAPITAL PARTNERS II-A, L.P. United States 805-2988783848 Private Equity Fund 28,985,293 5,000,000
SOMERSET SPECIAL OPPORTUNITIES MASTER FUND L.P. Cayman Islands 805-5963353964 Hedge Fund 10,391,350 1,000,000 Master Fund
TOWER SQUARE CAPITAL PARTNERS, L.P. United States 805-9619793057 Private Equity Fund 1,566,597 5,000,000
TOWER SQUARE CAPITAL PARTNERS II, L.P. United States 805-8022736981 Private Equity Fund 29,025,374 5,000,000
BABSON CLO LTD. 2015-I Cayman Islands 805-6259822953 Securitized Asset Fund 497,131,604 0
BABSON CLO LTD. 2015-II Cayman Islands 805-1311392665 Securitized Asset Fund 501,882,424 0
TOWER SQUARE CAPITAL PARTNERS III-A, L.P. United States 805-5572298706 Private Equity Fund 139,098,761 5,000,000
TOWER SQUARE CAPITAL PARTNERS III-B, L.P. United States 805-1250086277 Private Equity Fund 15,819,202 5,000,000
TOWER SQUARE CAPITAL PARTNERS IV, L.P. United States 805-4525164228 Private Equity Fund 135,271,804 5,000,000
TOWER SQUARE CAPITAL PARTNERS IV-A, L.P. United States 805-2785008566 Private Equity Fund 63,950,039 5,000,000
BENTON STREET PARTNERS III, L.P. United States 805-8528724942 Other Private Fund FUND HOLDS SECURITIES OF ACQUIRED COMPANY 6,546,836 0
HIGHGATE ABS CDO, LTD. Cayman Islands 805-7717396511 Securitized Asset Fund 18,879,906 0
BARINGS GLOBAL INVESTMENT FUNDS 2 PLC Ireland 805-5544246402 Other Private Fund REGISTERED COLLECTIVE INVESTMENT SCHEME 1,548,867,850 100,000
BURNHAM HARBOR CDO 2016-1 LTD. Cayman Islands 805-6106267330 Securitized Asset Fund 176,975,976 0
MONROE HARBOR CDO 2005-1 LTD. Cayman Islands 805-6363277305 Securitized Asset Fund 393,223,883 0
LAKESIDE CDO I, LTD. Cayman Islands 805-1451800416 Securitized Asset Fund 75,117,693 0
BABSON CLO LTD. 2007-I Cayman Islands 805-6185792416 Securitized Asset Fund 101,600 0
STREETERVILLE ABS CDO, LTD. Cayman Islands 805-9419408057 Securitized Asset Fund 143,494,245 0
BABSON CLO LTD. 2011-I Cayman Islands 805-1429335357 Securitized Asset Fund 253,255 0
BABSON CLO LTD. 2013-I Cayman Islands 805-7471281304 Securitized Asset Fund 479,980,064 0
BABSON CLO LTD. 2014-II Cayman Islands 805-5778581005 Securitized Asset Fund 539,603,021 0
MAPLE HILL II SYNTHETIC CDO Cayman Islands 805-6261943910 Securitized Asset Fund 50,000,000 0
BARINGS SENIOR LOAN TRUST Cayman Islands 805-2584019014 Other Private Fund SENIOR LOAN FUND 123,261,348 855,615
BABSON CLO LTD. 2013-II Cayman Islands 805-3466563999 Securitized Asset Fund 677,375,191 0
BABSON CLO LTD. 2014-I Cayman Islands 805-5679523251 Securitized Asset Fund 504,092,905 0
BABSON CLO LTD. 2014-III Cayman Islands 805-8120373245 Securitized Asset Fund 701,495,842 0
BABSON CAPITAL LOAN STRATEGIES MASTER FUND, L.P. Cayman Islands 805-8632982761 Hedge Fund 53,391,004 1,000,000 Master Fund
CLEAR LAKE CLO, LTD. Cayman Islands 805-4571697326 Securitized Asset Fund 574,762 0
BABSON CLO LTD. 2016-I Cayman Islands 805-2698574909 Securitized Asset Fund 4,011,417,087 0
BARINGS CLO INVESTMENT PARTNERS LP United States 805-6582477010 Hedge Fund 5,000,000 5,000,000
NORTH STAR INVESTMENT HOLDINGS, LLC - SERIES I United States 805-3545806762 Private Equity Fund 206,337,007 200,000,000 Fund of Funds
LAKEWATER LLC - SERIES I United States 805-7862442774 Private Equity Fund 141,065,645 150,000,000 Fund of Funds
FREESTONE HOLDINGS LLC - SERIES I United States 805-1154394683 Private Equity Fund 49,846,588 100,000,000 Fund of Funds
NORTH STAR INVESTMENT HOLDINGS, LLC - SERIES II United States 805-2272344696 Private Equity Fund 182,540,984 200,000,000 Fund of Funds
LAKEWATER LLC - SERIES V United States 805-6781972671 Private Equity Fund 77,470,770 250,000,000 Fund of Funds
BABSON CAPITAL FLOATING RATE INCOME MASTER FUND, L.P. Cayman Islands 805-9073350473 Other Private Fund HIGH YIELD LOAN FUND 1,166,471,263 1,000,000 Master Fund
TOWER SQUARE CAPITAL PARTNERS III, L.P. United States 805-3699597034 Private Equity Fund 128,975,888 5,000,000
ALPINE LAKES, LLC - SERIES I United States 805-1128274209 Private Equity Fund 46,986,170 50,000,000 Fund of Funds
ALPINE LAKES, LLC - SERIES II United States 805-9665913800 Private Equity Fund 32,254,010 50,000,000 Fund of Funds
BARINGS CLO INVESTMENT PARTNERS (MINI-MASTER) LP Cayman Islands 805-3095409568 Hedge Fund 17,096,574 5,000,000 Master Fund
LAKEWATER LLC - SERIES IV United States 805-8991223932 Private Equity Fund 69,271,300 50,000,000 Fund of Funds
STEELHEAD MIDSTREAM I, LLC United States 805-6589108477 Private Equity Fund 67,602,614 250,000,000 Fund of Funds
WDCRK SIP L.P. Jersey 805-7934885642 Private Equity Fund 78,394,091 300,000,000 Fund of Funds
BABSON CLO LTD. 2016-II Cayman Islands 805-8442386188 Securitized Asset Fund 400,455,590 0
BABSON CLO LTD. 2016-III Cayman Islands 805-4938543355 Securitized Asset Fund 500,665,961 0
BARINGS GLOBAL ENERGY INFRASTRUCTURE FUND I, L.P. Cayman Islands 805-8575698057 Private Equity Fund 101,075,312 100,000,000
ALPINE LAKES, LLC - SERIES III United States 805-6724217577 Private Equity Fund 18,302,194 20,000,000 Fund of Funds
LAKEWATER LLC - SERIES II United States 805-1643584136 Private Equity Fund 323,750,464 300,000,000 Fund of Funds
LAKEWATER LLC - SERIES III United States 805-1296513734 Private Equity Fund 323,750,464 75,000,000

WhaleScore history for BARINGS LLC

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**EXPERIMENTAL** Current Hong Kong Exchange Long Positions

Updated daily

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Barings LLC Wenzhou Kangning Hospital Co., Ltd. - H Shares 2019-08-30 Long 24.857 29,100 2,813,700 13.9% Hong Kong

Position History

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin

**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
BARINGS LLC SEA ASSETS LIMITED RED ORD SHS NPV 2016-07-29 25,870,000 19.9%
BARINGS LLC DAMILLE INVT II GBP 2016-07-29 9,866,316 21.1%
BARINGS LLC JPMorgan Private Equity Ltd 2016-07-29 30,796,545 8.36%
BARINGS LLC Crystal Amber Fund Ltd 2016-07-29 10,255,192 10.42%
BARINGS LLC CHENAVARI CAPITAL SOLUTIONS LIMITED RED ORD NPV 2016-07-29 7,559,337 5.8%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights

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