BARINGS GLOBAL SHORT DURATIO BGH
COM · Closed-End Fund · CUSIP 06760L100
51
institutional holders
-7 vs Q1 2023
5.6m
shares reported held*
$73.2mreported value*
4 new
14 added
20 reduced
11 sold out
net sold ≈ $4.8m (-404.7k shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $13.13.
Trends to Q2 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 62 |
| Q4 2022 | 57 |
| Q1 2023 | 58 |
| Q2 2023 | 51 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 25 | 31 |
| Q1 2023 | 25 | 29 |
| Q2 2023 | 18 | 31 |
Biggest buyers
| RFG Advisory, LLC | New | +104.9k |
| LAZARD ASSET MANAGEMENT LLC | Added | +36.5k |
| Capital Investment Advisors, LLC | Added | +31.9k |
| GUGGENHEIM CAPITAL LLC | Added | +25.3k |
| TSP Capital Management Group, LLC | Added | +20.0k |
| Cetera Advisor Networks LLC | New | +12.7k |
| INTEGRATED CAPITAL MANAGEMENT, INC. | New | +12.2k |
| Camelot Portfolios, LLC | Added | +10.0k |
| AQR Arbitrage LLC | Added | +7.0k |
| ROYAL BANK OF CANADA | Added | +2.7k |
Biggest sellers
| Shaker Financial Services, LLC | Sold out | -104.2k |
| Thomas J. Herzfeld Advisors, Inc. | Sold out | -77.1k |
| Saba Capital Management, L.P. | Sold out | -76.3k |
| Invesco Ltd. | Reduced | -58.4k |
| SIT INVESTMENT ASSOCIATES INC | Reduced | -56.0k |
| MORGAN STANLEY | Reduced | -45.5k |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | Sold out | -39.5k |
| ENVESTNET ASSET MANAGEMENT INC | Reduced | -29.1k |
| FIRST TRUST ADVISORS LP | Reduced | -22.1k |
| RIVERNORTH CAPITAL MANAGEMENT, LLC | Reduced | -20.7k |
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
| FIRST TRUST PORTFOLIOS LP 13G · institution -2.5 pts · filed 2026-10-19 | 18.1% |
Insider purchases and sales in Q2 2023
Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.
Officers and directors buying vs selling
Number of people, by quarter (10% owners not included)
BuyingSelling
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q3 2021 | 0 | — | 0 | — | — |
| Q4 2021 | 0 | — | 0 | — | — |
| Q1 2022 | 0 | — | 0 | — | — |
| Q2 2022 | 0 | — | 0 | — | — |
| Q3 2022 | 0 | — | 0 | — | — |
| Q4 2022 | 0 | — | 0 | — | — |
| Q1 2023 | 0 | — | 1 | $62.2k | — |
| Q2 2023 | 0 | — | 0 | — | — |
None reported in Q2 2023.
Holders, Q2 2023
| Manager | Shares | Change |
|---|---|---|
| SIT INVESTMENT ASSOCIATES INC 0.24% of their portfolio | 700.7k $9.1m | Reduced -56.0k |
| MORGAN STANLEY 0.00% of their portfolio | 598.3k $7.8m | Reduced -45.5k |
| RIVERNORTH CAPITAL MANAGEMENT, LLC 0.37% of their portfolio | 564.6k $7.4m | Reduced -20.7k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 492.2k $6.4m | Reduced -3.9k |
| TSP Capital Management Group, LLC 1.86% of their portfolio | 396.2k $5.2m | Added +20.0k |
| Invesco Ltd. 0.00% of their portfolio | 353.9k $4.6m | Reduced -58.4k |
| Hennion & Walsh Asset Management, Inc. 0.25% of their portfolio | 318.0k $4.1m | Reduced -2.4k |
| GUGGENHEIM CAPITAL LLC 0.03% of their portfolio | 307.2k $4.0m | Added +25.3k |
| COHEN & STEERS, INC. 0.01% of their portfolio | 261.5k $3.4m | Reduced -10.0k |
| DEBUSSY CAPITAL MANAGEMENT LP 1.05% of their portfolio | 261.4k $3.4m | Reduced -2.3k |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 157.0k $2.0m | Reduced -5.5k |
| Capital Investment Advisors, LLC 0.06% of their portfolio | 152.2k $2.0m | Added +31.9k |
| RFG Advisory, LLC 0.06% of their portfolio | 104.9k $1.4m | New |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 82.6k $1.1m | Reduced -29.1k |
| Camelot Portfolios, LLC 0.67% of their portfolio | 82.4k $1.1m | Added +10.0k |
| PARK AVENUE SECURITIES LLC 0.01% of their portfolio | 70.1k $913.0k | Reduced -2.8k |
| NewEdge Advisors, LLC 0.01% of their portfolio | 60.6k $789.7k | Added +1.1k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 56.9k $742.1k | Reduced -4.6k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 52.4k $683.1k | Reduced -740 |
| Thrivent Financial for Lutherans 0.00% of their portfolio | 52.0k $679.0k | Reduced -9.4k |
| Cetera Investment Advisers 0.00% of their portfolio | 44.1k $574.5k | Reduced -2.0k |
| LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio | 38.5k $502.0k | Added +36.5k |
| FIRST TRUST ADVISORS LP 0.00% of their portfolio | 35.8k $467.0k | Reduced -22.1k |
| Jefferies Financial Group Inc. 0.01% of their portfolio | 32.6k $425.6k | Added +130 |
| AQR Arbitrage LLC 0.02% of their portfolio | 30.9k $403.5k | Added +7.0k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 25.5k $332.7k | Added +776 |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 24.5k $319.0k | Added +2.7k |
| Clear Harbor Asset Management, LLC 0.03% of their portfolio | 22.6k $294.9k | Unchanged |
| Baird Financial Group, Inc. 0.00% of their portfolio | 21.7k $282.9k | Unchanged |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 21.2k $276.3k | Reduced -225 |
| UBS Group AG 0.00% of their portfolio | 20.1k $262.1k | Reduced -2.5k |
| MCRAE CAPITAL MANAGEMENT INC 0.07% of their portfolio | 19.5k $253.9k | Added +219 |
| CALDWELL SUTTER CAPITAL, INC. 0.13% of their portfolio | 18.5k $241.2k | Unchanged |
| MML INVESTORS SERVICES, LLC 0.00% of their portfolio | 15.7k $204.0k | Added +1.8k |
| IFG Advisory, LLC 0.02% of their portfolio | 14.7k $192.2k | Unchanged |
| Cetera Advisor Networks LLC 0.00% of their portfolio | 12.7k $165.6k | New |
| INTEGRATED CAPITAL MANAGEMENT, INC. 0.14% of their portfolio | 12.2k $158.7k | New |
| BARINGS LLC 0.01% of their portfolio | 11.8k $154.3k | Added +283 |
| Advisory Services Network, LLC 0.00% of their portfolio | 10.9k $142.6k | Reduced -439 |
| MGO ONE SEVEN LLC 0.01% of their portfolio | 10.9k $142.6k | Added +6 |
| TRANSCEND CAPITAL ADVISORS, LLC 0.01% of their portfolio | 10.0k $130.4k | Unchanged |
| Rockefeller Capital Management L.P. 0.00% of their portfolio | 7.8k $101.7k | First filing |
| EMFO, LLC 0.09% of their portfolio | 7.3k $95.8k | Unchanged |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 6.3k $82.7k | Unchanged |
| CAROLINAS WEALTH CONSULTING LLC 0.01% of their portfolio | 4.3k $55.9k | Unchanged |
| SOA Wealth Advisors, LLC. 0.01% of their portfolio | 2.2k $29.2k | Unchanged |
| Glen Eagle Advisors, LLC 0.01% of their portfolio | 1.7k $22.2k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 1.1k $13.9k | Reduced -1.3k |
| CWM, LLC 0.00% of their portfolio | 971 $13.0k | New |
| FNY Investment Advisers, LLC 0.01% of their portfolio | 800 $10.0k | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |