Head of Regulatory Solutions

0000009015-21-000009.txt : 20210811 0000009015-21-000009.hdr.sgml : 20210811 20210811171927 ACCESSION NUMBER: 0000009015-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 EFFECTIVENESS DATE: 20210811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARINGS LLC CENTRAL INDEX KEY: 0000009015 IRS NUMBER: 041054788 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00060 FILM NUMBER: 211164623 BUSINESS ADDRESS: STREET 1: 300 SOUTH TRYON STREET STREET 2: SUITE 2500 CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 704-805-7200 MAIL ADDRESS: STREET 1: 300 SOUTH TRYON STREET STREET 2: SUITE 2500 CITY: CHARLOTTE STATE: NC ZIP: 28202 FORMER COMPANY: FORMER CONFORMED NAME: Barings LLC DATE OF NAME CHANGE: 20160915 FORMER COMPANY: FORMER CONFORMED NAME: BABSON CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 20040707 FORMER COMPANY: FORMER CONFORMED NAME: BABSON DAVID L & CO INC DATE OF NAME CHANGE: 19920929 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0000009015 XXXXXXXX 06-30-2021 06-30-2021 BARINGS LLC

300 SOUTH TRYON STREET SUITE 2500 CHARLOTTE NC 28202

13F HOLDINGS REPORT 028-00060 N Christina Coone Head of Regulatory Solutions 0035314869717 Christina Coone Dublin L2 08-11-2021 4 601 4172231 false 1 0001624302 BARING ASSET MANAGEMENT (ASIA) Ltd 2 0001606780 Baring Asset Management Korea Ltd 3 0001606779 028-16289 BARING ASSET MANAGEMENT Ltd 4 0001803230 Baring SICE (Taiwan) LTD INFORMATION TABLE 2 informationtable.xml 21VIANET GROUP INC SPONSORED ADS A 90138A103 3769 164227 SH DFND 1 164227 0 0 21VIANET GROUP INC SPONSORED ADS A 90138A103 760 33096 SH DFND 3 33096 0 0 3M CO COM 88579Y101 362 1821 SH DFND 1 1821 0 0 3M CO COM 88579Y101 3462 17431 SH DFND 3 17431 0 0 ABBOTT LABS COM 002824100 531 4579 SH DFND 1 4579 0 0 ABBOTT LABS COM 002824100 1160 10007 SH DFND 3 10007 0 0 ABBVIE INC COM 00287Y109 366 3253 SH DFND 1 3253 0 0 ABBVIE INC COM 00287Y109 604 5365 SH DFND 3 5365 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 460 1559 SH DFND 1 1559 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1135 3849 SH DFND 3 3849 0 0 ACUTUS MED 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DFND 1 4619 0 0 ISHARES TR CORE S&P500 ETF 464287200 617838 1437100 SH DFND 2 1437100 0 0 ISHARES TR CORE S&P500 ETF 464287200 56835 132199 SH DFND 4 132199 0 0 ISHARES TR CORE US AGGBD ET 464287226 12491 108309 SH DFND 4 108309 0 0 ISHARES TR IBOXX INV CP ETF 464287242 3356 24974 SH DFND 4 24974 0 0 ISHARES TR IBOXX INV CP ETF 464287242 17319 128900 SH SOLE 128900 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 2534 34842 SH DFND 1 34842 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 1003 13792 SH DFND 4 13792 0 0 ISHARES TR GLOBAL ENERG ETF 464287341 13268 498978 SH DFND 4 498978 0 0 ISHARES TR S&P 500 VAL ETF 464287408 31401 212687 SH DFND 4 212687 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 16452 142455 SH DFND 4 142455 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 104 1206 SH DFND 4 1206 0 0 ISHARES TR EXPANDED TECH 464287515 3980 10204 SH DFND 1 10204 0 0 ISHARES TR EXPANDED TECH 464287515 926 2373 SH DFND 3 2373 0 0 ISHARES TR ISHARES SEMICDTR 464287523 17438 38390 SH DFND 1 38390 0 0 ISHARES TR ISHARES SEMICDTR 464287523 7400 16292 SH DFND 3 16292 0 0 ISHARES TR ISHARES SEMICDTR 464287523 11495 25308 SH DFND 4 25308 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 310443 996000 SH DFND 2 996000 0 0 ISHARES TR U.S. FINLS ETF 464287788 13890 171375 SH DFND 1 171375 0 0 ISHARES TR U.S. FINLS ETF 464287788 1878 23177 SH DFND 3 23177 0 0 ISHARES TR U.S. ENERGY ETF 464287796 15171 521518 SH DFND 1 521518 0 0 ISHARES TR U.S. ENERGY ETF 464287796 3840 132000 SH DFND 3 132000 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1828 14026 SH DFND 1 14026 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1310 10051 SH DFND 3 10051 0 0 ISHARES TR EUROPE ETF 464287861 27871 522906 SH DFND 4 522906 0 0 ISHARES TR MSCI ACWI ETF 464288257 1009 9968 SH DFND 4 9968 0 0 ISHARES TR JPMORGAN USD EMG 464288281 1820 16186 SH DFND 3 16186 0 0 ISHARES TR IBOXX HI YD ETF 464288513 883 10032 SH DFND 3 10032 0 0 ISHARES TR MBS ETF 464288588 422 3900 SH SOLE 3900 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 247 4500 SH DFND 3 4500 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 409935 7479200 SH SOLE 7479200 0 0 ISHARES TR GLOBAL MATER ETF 464288695 273 3000 SH DFND 3 3000 0 0 ISHARES TR GLOBAL MATER ETF 464288695 15063 165651 SH DFND 4 165651 0 0 ISHARES TR GLOB INDSTRL ETF 464288729 4591 38445 SH DFND 4 38445 0 0 ISHARES TR A RATE CP BD ETF 46429B291 8975 157880 SH DFND 1 157880 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 52395 1031000 SH SOLE 1031000 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 10421 98023 SH DFND 4 98023 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 1210 9107 SH DFND 4 9107 0 0 ISHARES TR MSCI USA VALUE 46432F388 24950 237482 SH DFND 1 237482 0 0 ISHARES TR MSCI USA VALUE 46432F388 5268 50145 SH DFND 3 50145 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 5095 110624 SH DFND 1 110624 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 392 8510 SH DFND 4 8510 0 0 ISHARES TR CONV BD ETF 46435G102 2926 28693 SH DFND 3 28693 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 7305 74185 SH DFND 4 74185 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 3908 87048 SH DFND 1 87048 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 1632 36357 SH DFND 3 36357 0 0 ISHARES TR US INFRASTRUC 46435U713 12127 343540 SH DFND 1 343540 0 0 ISHARES TR US INFRASTRUC 46435U713 3495 98998 SH DFND 3 98998 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 3259 73092 SH DFND 1 73092 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 11999 1996581 SH DFND 3 1996581 0 0 JD.COM INC SPON ADR CL A 47215P106 13352 167303 SH DFND 3 167303 0 0 JD.COM INC SPON ADR CL A 47215P106 260 3262 SH SOLE 3262 0 0 JOHNSON & JOHNSON COM 478160104 417 2530 SH DFND 1 2530 0 0 JOHNSON & JOHNSON COM 478160104 1095 6648 SH DFND 3 6648 0 0 JPMORGAN CHASE & CO COM 46625H100 930 5979 SH DFND 1 5979 0 0 JPMORGAN CHASE & CO COM 46625H100 2270 14597 SH DFND 3 14597 0 0 KELLOGG CO COM 487836108 245 3816 SH DFND 3 3816 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 275 1784 SH DFND 1 1784 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 252 1629 SH DFND 3 1629 0 0 KIMBERLY-CLARK CORP COM 494368103 290 2170 SH DFND 1 2170 0 0 KIMBERLY-CLARK CORP COM 494368103 242 1810 SH DFND 3 1810 0 0 KRAFT HEINZ CO COM 500754106 305 7482 SH DFND 3 7482 0 0 KROGER CO COM 501044101 282 7365 SH DFND 1 7365 0 0 KROGER CO COM 501044101 581 15168 SH DFND 3 15168 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 238 1102 SH DFND 1 1102 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 201 931 SH DFND 3 931 0 0 LAM RESEARCH CORP COM 512807108 465 715 SH DFND 1 715 0 0 LAM RESEARCH CORP COM 512807108 496 763 SH DFND 3 763 0 0 LAMB WESTON HLDGS INC COM 513272104 1062 13165 SH DFND 3 13165 0 0 LAUDER ESTEE COS INC CL A 518439104 233 731 SH DFND 1 731 0 0 LAUDER ESTEE COS INC CL A 518439104 203 639 SH DFND 3 639 0 0 LEGACY HOUSING CORP COM 52472M101 994 58804 SH SOLE 58804 0 0 LI AUTO INC SPONSORED ADS 50202M102 7756 221970 SH DFND 3 221970 0 0 LI AUTO INC SPONSORED ADS 50202M102 150 4297 SH SOLE 4297 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 443 16381 SH DFND 3 16381 0 0 LILLY ELI & CO COM 532457108 424 1847 SH DFND 1 1847 0 0 LILLY ELI & CO COM 532457108 615 2680 SH DFND 3 2680 0 0 LINCOLN NATL CORP IND COM 534187109 192 3059 SH DFND 1 3059 0 0 LINCOLN NATL CORP IND COM 534187109 483 7681 SH DFND 3 7681 0 0 LINDE PLC SHS G5494J103 202 698 SH DFND 1 698 0 0 LINDE PLC SHS G5494J103 14547 50317 SH DFND 3 50317 0 0 LOCKHEED MARTIN CORP COM 539830109 505 1335 SH DFND 3 1335 0 0 LOWES COS INC COM 548661107 400 2062 SH DFND 1 2062 0 0 LOWES COS INC COM 548661107 550 2834 SH DFND 3 2834 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 5850 56865 SH DFND 3 56865 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1 11 SH SOLE 11 0 0 MARATHON PETE CORP COM 56585A102 148 2456 SH DFND 1 2456 0 0 MARATHON PETE CORP COM 56585A102 157 2601 SH DFND 3 2601 0 0 MARRIOTT INTL INC NEW CL A 571903202 199 1457 SH DFND 1 1457 0 0 MARRIOTT INTL INC NEW CL A 571903202 141 1030 SH DFND 3 1030 0 0 MARTIN MARIETTA MATLS INC COM 573284106 187 531 SH DFND 1 531 0 0 MARTIN MARIETTA MATLS INC COM 573284106 134 380 SH DFND 3 380 0 0 MARVELL TECHNOLOGY INC COM 573874104 181 3108 SH DFND 1 3108 0 0 MARVELL TECHNOLOGY INC COM 573874104 200 3430 SH DFND 3 3430 0 0 MASTERCARD INCORPORATED CL A 57636Q104 698 1912 SH DFND 1 1912 0 0 MASTERCARD INCORPORATED CL A 57636Q104 3323 9102 SH DFND 3 9102 0 0 MCDONALDS CORP COM 580135101 63 272 SH DFND 1 272 0 0 MCDONALDS CORP COM 580135101 2503 10834 SH DFND 3 10834 0 0 MCKESSON CORP COM 58155Q103 203 1061 SH DFND 1 1061 0 0 MCKESSON CORP COM 58155Q103 564 2948 SH DFND 3 2948 0 0 MEDTRONIC PLC SHS G5960L103 438 3532 SH DFND 1 3532 0 0 MEDTRONIC PLC SHS G5960L103 592 4770 SH DFND 3 4770 0 0 MERCK & CO INC COM 58933Y105 341 4386 SH DFND 1 4386 0 0 MERCK & CO INC COM 58933Y105 942 12111 SH DFND 3 12111 0 0 METLIFE INC COM 59156R108 316 5273 SH DFND 1 5273 0 0 METLIFE INC COM 59156R108 532 8886 SH DFND 3 8886 0 0 MFA FINL INC NOTE 6.250% 6/1 55272XAA0 15638 15000000 PRN SOLE 15000000 0 0 MICRON TECHNOLOGY INC COM 595112103 779 9166 SH DFND 1 9166 0 0 MICRON TECHNOLOGY INC COM 595112103 920 10822 SH DFND 3 10822 0 0 MICROSOFT CORP COM 594918104 4778 17638 SH DFND 1 17638 0 0 MICROSOFT CORP COM 594918104 9548 35245 SH DFND 3 35245 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 835 90219 SH DFND 3 90219 0 0 MOLSON COORS BEVERAGE CO CL B 60871R209 428 7969 SH DFND 3 7969 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 214 2339 SH DFND 1 2339 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 147 1610 SH DFND 3 1610 0 0 MORGAN STANLEY COM NEW 617446448 465 5072 SH DFND 1 5072 0 0 MORGAN STANLEY COM NEW 617446448 458 4999 SH DFND 3 4999 0 0 MOSAIC CO NEW COM 61945C103 9261 290216 SH DFND 3 290216 0 0 NATURA &CO HLDG S A ADS 63884N108 6557 288982 SH DFND 3 288982 0 0 NETAPP INC COM 64110D104 242 2960 SH DFND 1 2960 0 0 NETAPP INC COM 64110D104 170 2077 SH DFND 3 2077 0 0 NETEASE INC SPONSORED ADS 64110W102 9473 82191 SH DFND 3 82191 0 0 NETEASE INC SPONSORED ADS 64110W102 176 1528 SH SOLE 1528 0 0 NETFLIX INC COM 64110L106 1083 2051 SH DFND 1 2051 0 0 NETFLIX INC COM 64110L106 1033 1955 SH DFND 3 1955 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 6711 819453 SH DFND 1 819453 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 2210 269858 SH DFND 3 269858 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 40 4831 SH SOLE 4831 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 17447 17063000 PRN SOLE 17063000 0 0 NEXTERA ENERGY INC COM 65339F101 176 2399 SH DFND 1 2399 0 0 NEXTERA ENERGY INC COM 65339F101 405 5530 SH DFND 3 5530 0 0 NIKE INC CL B 654106103 183 1183 SH DFND 1 1183 0 0 NIKE INC CL B 654106103 1585 10260 SH DFND 3 10260 0 0 NIO INC SPON ADS 62914V106 30696 576997 SH DFND 1 576997 0 0 NIO INC SPON ADS 62914V106 37 704 SH DFND 3 704 0 0 NORFOLK SOUTHN CORP COM 655844108 350 1317 SH DFND 1 1317 0 0 NORFOLK SOUTHN CORP COM 655844108 324 1220 SH DFND 3 1220 0 0 NORTHERN TR CORP COM 665859104 324 2806 SH DFND 3 2806 0 0 NORTHROP GRUMMAN CORP COM 666807102 237 653 SH DFND 1 653 0 0 NORTHROP GRUMMAN CORP COM 666807102 177 486 SH DFND 3 486 0 0 NUCOR CORP COM 670346105 283 2949 SH DFND 1 2949 0 0 NUCOR CORP COM 670346105 247 2577 SH DFND 3 2577 0 0 NUTRIEN LTD COM 67077M108 5900 97338 SH DFND 3 97338 0 0 NUTRIEN LTD COM 67077M108 20595 339803 SH DFND _ 339803 0 0 NVIDIA CORPORATION COM 67066G104 2194 2742 SH DFND 1 2742 0 0 NVIDIA CORPORATION COM 67066G104 1809 2261 SH DFND 3 2261 0 0 NXP SEMICONDUCTORS N V COM N6596X109 114 554 SH DFND 1 554 0 0 NXP SEMICONDUCTORS N V COM N6596X109 150 728 SH DFND 3 728 0 0 OMNICOM GROUP INC COM 681919106 186 2327 SH DFND 1 2327 0 0 OMNICOM GROUP INC COM 681919106 135 1689 SH DFND 3 1689 0 0 ORACLE CORP COM 68389X105 266 3416 SH DFND 1 3416 0 0 ORACLE CORP COM 68389X105 740 9510 SH DFND 3 9510 0 0 OTIS WORLDWIDE CORP COM 68902V107 289 3530 SH DFND 3 3530 0 0 OWENS CORNING NEW COM 690742101 475 4851 SH DFND 3 4851 0 0 PACKAGING CORP AMER COM 695156109 216 1593 SH DFND 1 1593 0 0 PACKAGING CORP AMER COM 695156109 158 1169 SH DFND 3 1169 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 3034 54256 SH DFND 3 54256 0 0 PAYPAL HLDGS INC COM 70450Y103 1592 5461 SH DFND 1 5461 0 0 PAYPAL HLDGS INC COM 70450Y103 3053 10475 SH DFND 3 10475 0 0 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 17352 17000000 PRN SOLE 17000000 0 0 PEPSICO INC COM 713448108 643 4340 SH DFND 1 4340 0 0 PEPSICO INC COM 713448108 1903 12844 SH DFND 3 12844 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 7246 613514 SH DFND 3 613514 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 2078 169939 SH DFND 3 169939 0 0 PFIZER INC COM 717081103 420 10728 SH DFND 1 10728 0 0 PFIZER INC COM 717081103 989 25257 SH DFND 3 25257 0 0 PHILIP MORRIS INTL INC COM 718172109 308 3107 SH DFND 1 3107 0 0 PHILIP MORRIS INTL INC COM 718172109 288 2902 SH DFND 3 2902 0 0 PINDUODUO INC SPONSORED ADS 722304102 78289 616354 SH DFND 1 616354 0 0 PINDUODUO INC SPONSORED ADS 722304102 39 308 SH DFND 3 308 0 0 PPG INDS INC COM 693506107 7395 43556 SH DFND 3 43556 0 0 PRICE T ROWE GROUP INC COM 74144T108 290 1464 SH DFND 1 1464 0 0 PRICE T ROWE GROUP INC COM 74144T108 256 1293 SH DFND 3 1293 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 400 6334 SH DFND 3 6334 0 0 PROCTER AND GAMBLE CO COM 742718109 526 3898 SH DFND 1 3898 0 0 PROCTER AND GAMBLE CO COM 742718109 736 5455 SH DFND 3 5455 0 0 PRUDENTIAL FINL INC COM 744320102 284 2772 SH DFND 1 2772 0 0 PRUDENTIAL FINL INC COM 744320102 580 5663 SH DFND 3 5663 0 0 QUALCOMM INC COM 747525103 453 3171 SH DFND 1 3171 0 0 QUALCOMM INC COM 747525103 941 6583 SH DFND 3 6583 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 402 4713 SH DFND 1 4713 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 500 5860 SH DFND 3 5860 0 0 REGENERON PHARMACEUTICALS COM 75886F107 190 340 SH DFND 1 340 0 0 REGENERON PHARMACEUTICALS COM 75886F107 161 289 SH DFND 3 289 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 449 22244 SH DFND 3 22244 0 0 REINSURANCE GRP OF AMERICA I COM NEW 759351604 83 727 SH DFND 1 727 0 0 REINSURANCE GRP OF AMERICA I COM NEW 759351604 384 3369 SH DFND 3 3369 0 0 REPUBLIC SVCS INC COM 760759100 250 2269 SH DFND 3 2269 0 0 ROBERT HALF INTL INC COM 770323103 391 4394 SH DFND 3 4394 0 0 ROPER TECHNOLOGIES INC COM 776696106 329 699 SH DFND 1 699 0 0 ROPER TECHNOLOGIES INC COM 776696106 214 455 SH DFND 3 455 0 0 ROSS STORES INC COM 778296103 257 2075 SH DFND 1 2075 0 0 ROSS STORES INC COM 778296103 194 1567 SH DFND 3 1567 0 0 SALESFORCE COM INC COM 79466L302 1189 4867 SH DFND 1 4867 0 0 SALESFORCE COM INC COM 79466L302 959 3924 SH DFND 3 3924 0 0 SCHWAB CHARLES CORP COM 808513105 316 4342 SH DFND 1 4342 0 0 SCHWAB CHARLES CORP COM 808513105 288 3954 SH DFND 3 3954 0 0 SEA LTD SPONSORD ADS 81141R100 68186 248311 SH DFND 1 248311 0 0 SEA LTD SPONSORD ADS 81141R100 1473 5364 SH DFND 3 5364 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 380 4317 SH DFND 3 4317 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 2510 415500 SH SOLE 415500 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 6180 657433 SH SOLE 657433 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1667 9336 SH DFND 4 9336 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 2631 71718 SH DFND 4 71718 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 143 971 SH DFND 4 971 0 0 SERVICENOW INC COM 81762P102 295 536 SH DFND 1 536 0 0 SERVICENOW INC COM 81762P102 711 1293 SH DFND 3 1293 0 0 SHERWIN WILLIAMS CO COM 824348106 8239 30239 SH DFND 3 30239 0 0 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 4975 105121 SH DFND 3 105121 0 0 SOUTHWESTERN ENERGY CO COM 845467109 2809 495495 SH SOLE 495495 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 398 929 SH DFND 4 929 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 427 4919 SH DFND 4 4919 0 0 SQUARE INC CL A 852234103 350 1434 SH DFND 1 1434 0 0 SQUARE INC CL A 852234103 409 1676 SH DFND 3 1676 0 0 STANLEY BLACK & DECKER INC COM 854502101 3538 17257 SH DFND 3 17257 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 194 17318 SH SOLE 17318 0 0 STARBUCKS CORP COM 855244109 407 3636 SH DFND 1 3636 0 0 STARBUCKS CORP COM 855244109 833 7446 SH DFND 3 7446 0 0 STATE STR CORP COM 857477103 433 5261 SH DFND 3 5261 0 0 STERIS PLC SHS USD G8473T100 256 1239 SH DFND 3 1239 0 0 STRYKER CORPORATION COM 863667101 316 1216 SH DFND 1 1216 0 0 STRYKER CORPORATION COM 863667101 1526 5875 SH DFND 3 5875 0 0 SUNCOR ENERGY INC NEW COM 867224107 1162 48459 SH DFND 3 48459 0 0 SUNCOR ENERGY INC NEW COM 867224107 17627 735376 SH DFND _ 735376 0 0 SYNCHRONY FINANCIAL COM 87165B103 125 2571 SH DFND 1 2571 0 0 SYNCHRONY FINANCIAL COM 87165B103 657 13543 SH DFND 3 13543 0 0 SYNOPSYS INC COM 871607107 349 1264 SH DFND 1 1264 0 0 SYNOPSYS INC COM 871607107 552 2001 SH DFND 3 2001 0 0 SYSCO CORP COM 871829107 107 1380 SH DFND 1 1380 0 0 SYSCO CORP COM 871829107 110 1417 SH DFND 3 1417 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 58137 483833 SH DFND 3 483833 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1484 8383 SH DFND 3 8383 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 8455 335131 SH DFND 1 335131 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 13 529 SH DFND 3 529 0 0 TARGET CORP COM 87612E106 342 1416 SH DFND 1 1416 0 0 TARGET CORP COM 87612E106 258 1067 SH DFND 3 1067 0 0 TE CONNECTIVITY LTD REG SHS H84989104 322 2380 SH DFND 3 2380 0 0 TESLA INC COM 88160R101 897 1320 SH DFND 1 1320 0 0 TESLA INC COM 88160R101 1716 2524 SH DFND 3 2524 0 0 TEXAS INSTRS INC COM 882508104 421 2188 SH DFND 1 2188 0 0 TEXAS INSTRS INC COM 882508104 823 4280 SH DFND 3 4280 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 436 865 SH DFND 1 865 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 892 1769 SH DFND 3 1769 0 0 TJX COS INC NEW COM 872540109 3977 58987 SH DFND 3 58987 0 0 T-MOBILE US INC COM 872590104 123 851 SH DFND 1 851 0 0 T-MOBILE US INC COM 872590104 148 1024 SH DFND 3 1024 0 0 TPG SPECIALTY LENDING INC NOTE 4.500% 8/0 87265KAD4 17325 15000000 PRN SOLE 15000000 0 0 TRANSDIGM GROUP INC COM 893641100 205 317 SH DFND 1 317 0 0 TRANSDIGM GROUP INC COM 893641100 164 253 SH DFND 3 253 0 0 TRIP COM GROUP LTD ADS 89677Q107 420 11853 SH DFND 1 11853 0 0 TRIP COM GROUP LTD ADS 89677Q107 29 826 SH DFND 3 826 0 0 TRUIST FINL CORP COM 89832Q109 272 4903 SH DFND 1 4903 0 0 TRUIST FINL CORP COM 89832Q109 327 5892 SH DFND 3 5892 0 0 TUYA INC SPONSERED ADS 90114C107 24485 999403 SH DFND 1 999403 0 0 TWILIO INC CL A 90138F102 168 426 SH DFND 1 426 0 0 TWILIO INC CL A 90138F102 142 361 SH DFND 3 361 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 39261 38472000 PRN SOLE 38472000 0 0 TYSON FOODS INC CL A 902494103 1852 25102 SH DFND 3 25102 0 0 UNION PAC CORP COM 907818108 385 1749 SH DFND 1 1749 0 0 UNION PAC CORP COM 907818108 890 4048 SH DFND 3 4048 0 0 UNITED PARCEL SERVICE INC CL B 911312106 370 1780 SH DFND 1 1780 0 0 UNITED PARCEL SERVICE INC CL B 911312106 885 4256 SH DFND 3 4256 0 0 UNITEDHEALTH GROUP INC COM 91324P102 722 1804 SH DFND 1 1804 0 0 UNITEDHEALTH GROUP INC COM 91324P102 6356 15872 SH DFND 3 15872 0 0 US BANCORP DEL COM NEW 902973304 317 5559 SH DFND 1 5559 0 0 US BANCORP DEL COM NEW 902973304 352 6177 SH DFND 3 6177 0 0 VALARIS LIMITED CL A G9460G101 3232 111915 SH SOLE 111915 0 0 VALE S A SPONSORED ADS 91912E105 7082 310475 SH DFND 3 310475 0 0 VALERO ENERGY CORP COM 91913Y100 7712 98766 SH DFND 3 98766 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 949 30240 SH DFND 4 30240 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 20549 149488 SH DFND 4 149488 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3573 53123 SH DFND 4 53123 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 10636 128591 SH DFND 4 128591 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3147 20329 SH DFND 1 20329 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 13950 44426 SH DFND 4 44426 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 15598 172448 SH DFND 4 172448 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 598 1500 SH DFND 3 1500 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 14542 36466 SH DFND 4 36466 0 0 VERISK ANALYTICS INC COM 92345Y106 226 1295 SH DFND 1 1295 0 0 VERISK ANALYTICS INC COM 92345Y106 159 912 SH DFND 3 912 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 611 10900 SH DFND 1 10900 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1146 20445 SH DFND 3 20445 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 176 871 SH DFND 1 871 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 968 4800 SH DFND 3 4800 0 0 VISA INC COM CL A 92826C839 1624 6947 SH DFND 1 6947 0 0 VISA INC COM CL A 92826C839 2715 11611 SH DFND 3 11611 0 0 VIVINT SMART HOME INC COM CL A 928542109 143 10809 SH SOLE 10809 0 0 VULCAN MATLS CO COM 929160109 6223 35748 SH DFND 3 35748 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 275 5236 SH DFND 1 5236 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 491 9326 SH DFND 3 9326 0 0 WALMART INC COM 931142103 443 3144 SH DFND 1 3144 0 0 WALMART INC COM 931142103 406 2879 SH DFND 3 2879 0 0 WASTE CONNECTIONS INC COM 94106B101 230 1923 SH DFND 1 1923 0 0 WASTE CONNECTIONS INC COM 94106B101 193 1612 SH DFND 3 1612 0 0 WASTE MGMT INC DEL COM 94106L109 349 2490 SH DFND 3 2490 0 0 WEATHERFORD INTL PLC ORD SHS G48833118 9790 537900 SH SOLE 537900 0 0 WELLS FARGO CO NEW COM 949746101 370 8163 SH DFND 1 8163 0 0 WELLS FARGO CO NEW COM 949746101 606 13389 SH DFND 3 13389 0 0 WESTROCK CO COM 96145D105 419 7878 SH DFND 3 7878 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 1994 57929 SH DFND 3 57929 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 1897 43043 SH DFND 3 43043 0 0 WORKDAY INC CL A 98138H101 185 774 SH DFND 1 774 0 0 WORKDAY INC CL A 98138H101 149 623 SH DFND 3 623 0 0 XPENG INC ADS 98422D105 29399 661849 SH DFND 1 661849 0 0 YANDEX N V SHS CLASS A N97284108 104560 1477878 SH DFND 3 1477878 0 0 YATSEN HLDG LTD ADS 985194109 8508 908021 SH DFND 1 908021 0 0 YUM CHINA HLDGS INC COM 98850P109 12256 185001 SH DFND 3 185001 0 0 YUM CHINA HLDGS INC COM 98850P109 212 3206 SH SOLE 3206 0 0 ZHIHU INC ADS 98955N108 53608 3953404 SH DFND 1 3953404 0 0 ZOETIS INC CL A 98978V103 1253 6723 SH DFND 3 6723 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 232 600 SH DFND 1 600 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 863 2230 SH DFND 3 2230 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 19820 653050 SH DFND 1 653050 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 26 852 SH DFND 3 852 0 0