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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Barings Participation Investors
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definit |
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| March 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definit |
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| March 13, 2024 |
CERTIFICATION ITEM 13(a)(2) PRINCIPAL FINANCIAL OFFICER CERTIFICATION I, Christopher Hanscom, certify that: 1. |
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| March 13, 2024 |
EXHIBIT-99.32 ITEM 13(b) To my knowledge, this periodic report containing the financial statements fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 and that the information contained in the periodic report fairly presents, in all material respects, the financial condition and results of operations of the issuer. (Registrant): Barings Participati |
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| March 13, 2024 |
CERTIFICATION ITEM 13(a)(2) PRINCIPAL EXECUTIVE OFFICER CERTIFICATION I, Christina Emery, certify that: 1. |
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| March 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-CSR CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 300 South Tryon Street, Suite 2500, Charlotte, NC 28202 (Address of principal executive offices) (Zip code) Corpor |
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| February 14, 2024 |
MPV / Barings Participation Investors / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment SC 13G/A 1 fp0087161-1sc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)* Barings Participation Investors (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 06761A103 ( |
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| December 1, 2023 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| August 11, 2023 |
Portfolio Composition as of 09/30/21* Barings Participation Investors Report for the Nine Months Ended September 30, 2021 Adviser Barings LLC 300 S Tryon St. |
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| August 11, 2023 |
Portfolio Composition as of 03/31/21* Barings Participation Investors Report for the Three Months Ended March 31, 2021 Adviser Barings LLC 300 S Tryon St. |
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| August 11, 2023 |
Consolidated Schedule of Investments Barings Participation Investors September 30, 2022 (Unaudited) Corporate Restricted Securities - 108. |
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| August 11, 2023 |
For the three months ended 3/31/2020 (Unaudited) Barings Participation Investors Report for the Three Months Ended March 31, 2020 Beginning on January 1, 2021, as permitted by regulations adopted by the U. |
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| August 11, 2023 |
Portfolio Composition as of 03/31/22* Barings Participation Investors Report for the Three Months Ended March 31, 2022 Adviser Barings LLC 300 S Tryon St. |
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| August 11, 2023 |
Portfolio Composition as of 09/30/20* U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| March 29, 2023 |
BARINGS CORPORATE INVESTORS BARINGS PARTICIPATION INVESTORS Notice of Annual Meeting of Shareholders and Proxy Statement TIME Thursday, May 18, 2023 At 8:00 a. |
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| February 14, 2023 |
MPV / Babson Capital Participation Investors / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Barings Participation Investors (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 06761A103 (CUSIP Number) Marcus Collins Rive |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Section 240. |
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| February 14, 2022 |
MPV / Babson Capital Participation Investors / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment SC 13G 1 fp0072837sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 0)* Barings Participation Investors (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 06761A103 (CUSIP |
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| November 29, 2021 |
Portfolio Composition as of 09/30/21* Barings Participation Investors Report for the Nine Months Ended September 30, 2021 Adviser Barings LLC 300 S Tryon St. |
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| May 27, 2021 |
Portfolio Composition as of 03/31/21* Barings Participation Investors Report for the Three Months Ended March 31, 2021 Adviser Barings LLC 300 S Tryon St. |
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| March 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? Preliminary Proxy Statement ?? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ?? Definitive Additional Materials ?? Soliciting Material Pursuant to Section 240. |
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| November 30, 2020 |
Portfolio Composition as of 09/30/20* Barings Participation Investors Report for the Nine Months Ended September 30, 2020 Beginning on January 1, 2021, as permitted by regulations adopted by the U. |
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| October 16, 2020 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM October 15, 2020 Yana Dobkin Guss T +1 617 951 7109 [email protected] Lauren Hamilton Securities and Exchange Commission 3 World Financial Center New York, NY 10281 Re: Barings Corporate Investors (File No. 811-02183), Barings Participation Investors (File No. 811-05531) and Barings Global Short Dur |
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| May 29, 2020 |
For the three months ended 3/31/2020 (Unaudited) Barings Participation Investors Report for the Three Months Ended March 31, 2020 Beginning on January 1, 2021, as permitted by regulations adopted by the U. |
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| April 10, 2020 |
MCI / Babson Capital Corporate Investors DEFA14A - - DEFA14A SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| March 11, 2020 |
MCI / Babson Capital Corporate Investors DEF 14A - - DEF 14A SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| May 30, 2019 |
MPV / Babson Capital Participation Investors NPORT-EX - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice M. Bish |
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| March 15, 2019 |
MCI / Babson Capital Corporate Investors DEF 14A SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| November 29, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice M. Bish |
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| November 29, 2018 |
Date: November 29, 2018 By: /s/ Robert M. Shettle Robert M. Shettle, President EXHIBIT 99.CERT I, Robert M. Shettle, certify that: 1. I have reviewed this report on Form N-Q of Barings Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| May 30, 2018 |
Date: May 30, 2018 By: /s/ Robert M. Shettle Robert M. Shettle, President EXHIBIT 99.CERT I, Robert M. Shettle, certify that: 1. I have reviewed this report on Form N-Q of Barings Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| May 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice M. Bish |
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| March 23, 2018 |
MCI / Babson Capital Corporate Investors DEF 14A SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 20, 2018 |
MCI / Babson Capital Corporate Investors CORRESP March 20, 2018 Yana D. Guss T +1 617 951 7109 [email protected] Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Attn: Valerie Lithotomos Re: Comments on Schedule 14A (File No. 811-02183), filed with the Securities and Exchange Commission (the “Commission”) on March 7, 2018 (the “Proxy Statement”), of Barings Corporate Investors (“M |
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| March 7, 2018 |
Barings Corporate Investors PRE 14A SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 28, 2018 |
Report of Independent Registered Public Accounting Firm ITEM 77B KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Barings Participation Investors: In planning and performing our audits of the financial statements of Barings Participation Investors (the ?Trust?), as of and for the year ended December 31, 2017, in accordance with the standar |
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| February 28, 2018 |
ITEM 77Q-2 The Registrant's Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant's securities with the Securities and Exchange Commission (?SEC?) and the New York Stock Exchange. |
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| November 29, 2017 |
Date: November 29, 2017 By: /s/ Robert M. Shettle Robert M. Shettle, President EXHIBIT 99.CERT I, Robert M. Shettle, certify that: 1. I have reviewed this report on Form N-Q of Barings Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| November 29, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice M. Bish |
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| August 17, 2017 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM August 17, 2017 Yana Dobkin Guss T +1 617 951 7109 [email protected] Megan Miller Securities and Exchange Commission 3 World Financial Center New York, NY 10281 Re: Barings Corporate Investors (File No. 811-02183), Barings Participation Investors (File No. 811-05531) and Barings Global Short Duratio |
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| May 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice M. Bish |
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| May 30, 2017 |
Date: May 30, 2017 By: /s/ Robert M. Shettle Robert M. Shettle, President EXHIBIT 99.CERT I, Robert M. Shettle, certify that: 1. I have reviewed this report on Form N-Q of Barings Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| March 27, 2017 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 28, 2017 |
Report of Independent Registered Public Accounting Firm ITEM 77B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Barings Participation Investors: In planning and performing our audit of the consolidated financial statements of Barings Participation Investors (f/k/a Babson Capital Participation Investors) (the ?Trust?), as of and for the year ended December 31, 2016, in accordance with the standards o |
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| February 28, 2017 |
ITEM 77Q-1 BABSON CAPITAL PARTICIPATION INVESTORS Written Consent of Trustees Amendment to Declaration of Trust July 20, 2016 The undersigned, consisting a majority of the Trustees of Babson Capital Participation Investors (the ?Trust?), a Massachusetts voluntary association established pursuant to a Declaration of Trust, dated April 7, 1988, as amended from time to time (the ?Declaration of Trust?): (a) Pursuant to Sections 9. |
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| November 29, 2016 |
Barings Participation Investors - BARINGS PARTICIPATION INVESTORS - FORM NQ N-Q 1 bpiform-nq18012.htm BARINGS PARTICIPATION INVESTORS - FORM NQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Barings Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 0111 |
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| November 29, 2016 |
Date: November 29, 2016 By: /s/ Robert M. Shettle Robert M. Shettle, President EXHIBIT 99.CERT I, Robert M. Shettle, certify that: 1. I have reviewed this report on Form N-Q of Barings Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| May 27, 2016 |
Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 27, 2016 |
Date: May 27, 2016 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| March 18, 2016 |
Babson Capital Participation Investors BABSON CAPITAL JOINT PROXY DEF 14A 1 def-proxy17918.htm BABSON CAPITAL JOINT PROXY SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: o Preliminary Proxy Statement ¨ Confidential, For Use of the Commission |
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| February 29, 2016 |
Report of Independent Registered Public Accounting Firm Unassociated Document EXHIBIT 77(b) Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Babson Capital Participation Investors: In planning and performing our audit of the consolidated financial statements of Babson Capital Participation Investors (the ?Trust?), as of and for the year ended December 31, 2015, in accordance with the standards of the |
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| November 30, 2015 |
Date: November 30, 2015 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| November 30, 2015 |
Barings Participation Investors - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Janice |
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| May 29, 2015 |
Date: May 29, 2015 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| May 29, 2015 |
Barings Participation Investors - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| March 24, 2015 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 26, 2015 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Babson Capital Participation Investors: In planning and performing our audit of the consolidated financial statements of Babson Capital Participation Investors (the “Trust”), as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Account |
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| February 26, 2015 |
EXHIBIT 77(q2) The Registrant's Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant's securities with the Securities and Exchange Commission ("SEC") and the New York Stock Exchange. |
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| November 25, 2014 |
Barings Participation Investors - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| November 25, 2014 |
Date: November 25, 2014 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| September 24, 2014 |
MPV / Babson Capital Participation Investors CORRESP - - September 19, 2014 VIA EDGAR (as Correspondence) U.S. Securities and Exchange Commission Attn: Jeffrey Long 100 F Street, NE Washington, DC 20549 Re: Babson Capital Funds Trust, on behalf of Babson Global Floating Rate Fund and Babson Global Credit Income Opportunities Fund (File Nos.: 333-188840, 811-22845), Babson Capital Corporate Investors (File No. 811-02183), and Babson Capital Participation |
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| May 30, 2014 |
Quarterly Schedule of Portfolio Holdings - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| May 30, 2014 |
Date: May 30, 2014 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| March 25, 2014 |
DEF 14A 1 def-proxy17630.htm BABSON CAPITAL JOINT PROXY SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: o Preliminary Proxy Statement ¨ Confidential, For Use of the Commission |
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| February 28, 2014 |
EXHIBIT 77(q2) The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| February 28, 2014 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Babson Capital Participation Investors: In planning and performing our audit of the consolidated financial statements of Babson Capital Participation Investors (the “Trust”), as of and for the year ended December 31, 2013, in accordance with the standards of the Public Company Account |
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| November 27, 2013 |
Quarterly Schedule of Portfolio Holdings - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| November 27, 2013 |
Date: November 27, 2013 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| November 26, 2013 |
EXHIBIT 77(c) On Friday, April 19, 2013, the Registrant held its Annual Meeting of Shareholders (the “Meeting”). |
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| November 26, 2013 |
MASSMUTUAL PARTICIPATION INVESTORS Instrument of Trustees Amending Declaration of Trust ITEM 77Q-1 MASSMUTUAL PARTICIPATION INVESTORS Instrument of Trustees Amending Declaration of Trust The undersigned, being Trustees of MassMutual Participation Investors (the “Trust”), a Massachusetts voluntary association established pursuant to a Declaration of Trust, dated April 7, 1988, as amended from time to time (the “Declaration of Trust”): (a) pursuant to Sections 9. |
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| November 26, 2013 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| November 26, 2013 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Report of Independent Registered Public Accounting Firm The Board of Trustees and Shareholders Babson Capital Participation Investors: We have audited the accompanying consolidated statement of assets and liabilities of Babson Capital Participation Investors (the Trust), including the consolidated schedule of investments, as of December 31, 2012, and the related consolidated statements of operations and cash flows for the year then ended, the consolidated statements of changes in net assets for each of the years in the two-year period then ended, and the consolidated selected financial highlights for each of the years in the five-year period then ended. |
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| November 26, 2013 |
ITEM 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| November 26, 2013 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| November 26, 2013 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| November 26, 2013 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Telephone +1 617 988 1000 Fax+1 617 507 8321 Internet www. |
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| November 26, 2013 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Telephone +1 617 988 1000 Fax +1 617 507 8321 Internet www. |
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| August 29, 2013 |
EXHIBIT 77(c) On Friday, April 19, 2013, the Registrant held its Annual Meeting of Shareholders (the “Meeting”). |
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| May 30, 2013 |
Date: May 30, 2013 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| May 30, 2013 |
Quarterly Schedule of Portfolio Holdings - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| March 25, 2013 |
Babson Capital Management LLC 1500 Main Street, P.O. Box 15189, Springfield, Massachusetts 01115-5189 Phone 617-761-3808 March 22, 2013 VIA EDGAR (as Correspondence) United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attn: Mr. Kevin Rupert RE: Preliminary Proxy Statement of Babson Capital Corporate Investors and Babson Capital Participation Investors (the “Tru |
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| March 25, 2013 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: o Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to §240. |
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| March 22, 2013 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 22, 2013 |
Babson Capital Management LLC 1500 Main Street, P.O. Box 15189, Springfield, Massachusetts 01115-5189 Phone 617-761-3808 March 22, 2013 VIA EDGAR (as Correspondence) United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attn: Mr. Kevin Rupert RE: Preliminary Proxy Statement of Babson Capital Corporate Investors and Babson Capital Participation Investors (the “Tru |
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| March 1, 2013 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| March 1, 2013 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Report of Independent Registered Public Accounting Firm The Board of Trustees and Shareholders Babson Capital Participation Investors: We have audited the accompanying consolidated statement of assets and liabilities of Babson Capital Participation Investors (the Trust), including the consolidated schedule of investments, as of December 31, 2012, and the related consolidated statements of operations and cash flows for the year then ended, the consolidated statements of changes in net assets for each of the years in the two-year period then ended, and the consolidated selected financial highlights for each of the years in the five-year period then ended. |
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| February 22, 2013 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 29, 2012 |
Date: November 29, 2012 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| November 29, 2012 |
Quarterly Schedule of Portfolio Holdings - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| May 30, 2012 |
Date: May 30, 2012 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of Babson Capital Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - BABSON CAPITAL PARTICIPATION INVESTORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 Babson Capital Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christo |
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| March 14, 2012 |
SCHEDULE 14A Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 29, 2012 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| February 29, 2012 |
MASSMUTUAL PARTICIPATION INVESTORS Instrument of Trustees Amending Declaration of Trust ITEM 77Q-1 MASSMUTUAL PARTICIPATION INVESTORS Instrument of Trustees Amending Declaration of Trust The undersigned, being Trustees of MassMutual Participation Investors (the “Trust”), a Massachusetts voluntary association established pursuant to a Declaration of Trust, dated April 7, 1988, as amended from time to time (the “Declaration of Trust”): (a) pursuant to Sections 9. |
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| February 29, 2012 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Telephone +1 617 988 1000 Fax +1 617 507 8321 Internet www. |
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| November 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 MassMutual Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christopher |
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| November 29, 2011 |
Date: November 29, 2011 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of MassMutual Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to |
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| August 29, 2011 |
Item 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
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| May 31, 2011 |
Date: May 31, 2011 By: /s/ Michael L. Klofas Michael L. Klofas, President EXHIBIT 99.CERT I, Michael L. Klofas, certify that: 1. I have reviewed this report on Form N-Q of MassMutual Participation Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to |
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| May 31, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number 811-05531 MassMutual Participation Investors (Exact name of registrant as specified in charter) 1500 Main Street, Springfield, MA 01115 (Address of principal executive offices) (Zip code) Christopher |
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| March 1, 2011 |
Report of Independent Registered Public Accounting Firm EXHIBIT 77(b) KPMG LLP Two Financial Center 60 South Street Boston, MA 02111 Telephone +1 617 988 1000 Fax+1 617 507 8321 Internet www. |
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| March 1, 2011 |
ITEM 77Q-2 The Registrant’s Trustees and certain officers, investment advisers, certain affiliated persons of the investment advisers and persons who own more than 10% of any class of outstanding securities of the Registrant are required to file forms reporting their affiliation with the Registrant and reports of ownership and changes in ownership of the Registrant’s securities with the Securities and Exchange Commission (“SEC”) and the New York Stock Exchange. |
