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BGH Barings Global Short Duration High Yield Fund

14.13
0.00 (0.00%)
Pre Market
Last Updated: 12:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Barings Global Short Duration High Yield Fund NYSE:BGH NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 14.13 0 12:00:00

Statement of Changes in Beneficial Ownership (4)

12/03/2020 2:39pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Senkpiel Mark
2. Issuer Name and Ticker or Trading Symbol

BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND [ BGH ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
_____ Officer (give title below)    __X__ Other (specify below)
Investment Personnel
(Last)          (First)          (Middle)

C/O BARINGS LLC, 300 SOUTH TRYON STREET, SUITE 2500
3. Date of Earliest Transaction (MM/DD/YYYY)

3/11/2020
(Street)

CHARLOTTE, NC 28202
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares 3/11/2020  S  100.0000 D$14.5200 5519.8700 (1)D  
Common Shares 3/11/2020  S  700.0000 D$14.5100 4819.8700 (1)D  
Common Shares 3/11/2020  S  1000.0000 D$14.5450 3819.8700 (1)D  
Common Shares 3/11/2020  S  1200.0000 D$14.5300 2619.8700 (1)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Amount includes shares acquired through a dividend reinvestment plan not previously reported since prior filing pursuant to Rule 16a-11 under the Securities Exchange Act of 1934, as amended.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Senkpiel Mark
C/O BARINGS LLC
300 SOUTH TRYON STREET, SUITE 2500
CHARLOTTE, NC 28202



Investment Personnel

Signatures
Ann Malloy as Attorney-in-fact3/12/2020
**Signature of Reporting PersonDate

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