Spencer Richard E II

Officer of Investment Co-Mgr at Tennenbaum Opportunities Partners V, LP · on record since Dec 22, 2006
Officer of Adviser at BARINGS PARTICIPATION INVESTORS · on record since Feb 5, 2007
Officer of Advisor at BlackRock TCP Capital Corp. · on record since Feb 5, 2007
Officer of Adviser at BARINGS CORPORATE INVESTORS · on record since Feb 5, 2007
Officer of Investment Co-Mgr at Special Value Continuation Partners, LLC · on record since Feb 5, 2007
VP, Officer of Adviser at BARINGS PARTICIPATION INVESTORS · on record since Aug 12, 2009
Officer of Adviser at AMSTAR FINANCIAL SERVICES INC · on record since Jul 23, 2004

Insider trading activity of Spencer Richard E II

Figures computed from official regulatory filings — .

Statistical track record

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This page republishes public regulatory disclosures.

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	500	25.01	$12.5K	conv 42Unusual size	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	18.28	11.35	$207.5	conv 34Cluster	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	19.73	10.75	$212.1	conv 31Cluster	SEC
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	300	25.05	$7.5K	conv 43Unusual size	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Sell	-886.45	11.44	$10.1K		SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	18.44	11.77	$217	conv 19	SEC
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	100	24.98	$2.5K	conv 11	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	323	11.48	$3.7K	conv 64ClusterFirst in 12mo	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	500	11.50	$5.8K	conv 61ClusterFirst in 12mo	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	7	11.40	$79.8	conv 44ClusterFirst in 12mo	SEC

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	500	25.01	$12.5K	conv 42Unusual size	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	18.28	11.35	$207.5	conv 34Cluster	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	19.73	10.75	$212.1	conv 31Cluster	SEC
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	300	25.05	$7.5K	conv 43Unusual size	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Sell	-886.45	11.44	$10.1K		SEC
BARINGS PARTICIPATION INVESTORSListing on record	Aug 12, 2009	Buy	18.44	11.77	$217	conv 19	SEC
BARINGS CORPORATE INVESTORSListing on record	Aug 12, 2009	Buy	100	24.98	$2.5K	conv 11	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	323	11.48	$3.7K	conv 64ClusterFirst in 12mo	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	500	11.50	$5.8K	conv 61ClusterFirst in 12mo	SEC
BARINGS PARTICIPATION INVESTORSListing on record	Oct 23, 2008	Buy	7	11.40	$79.8	conv 44ClusterFirst in 12mo	SEC