Head of Regulatory Solutions

0000009015-21-000016.txt : 20211112 0000009015-21-000016.hdr.sgml : 20211112 20211112094132 ACCESSION NUMBER: 0000009015-21-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211400670 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 09-30-2021 09-30-2021 BARINGS LLC

300 SOUTH TRYON STREET SUITE 2500 CHARLOTTE NC 28202

13F HOLDINGS REPORT 028-00060 Y Barings is an indirect wholly-owned subsidiary of Massachusetts Mutual Life Insurance Company (MassMutual). Wherever Barings has indicated that it exercises investment discretion with respect to the positions reported on its Form 13F, such positions shall be deemed reported on behalf of MassMutual to the extent that MassMutual is deemed to share investment discretion over the positions as a result of MassMutual's indirect ownership interest in Barings. Christina Coone Head of Regulatory Solutions 00353 14869717 Christina Coone Dublin L2 11-12-2021 4 597 4388777 false 1 0001624302 028-16290 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 3M CO COM 88579Y101 367 2092 SH DFND 1 2092 0 0 3M CO COM 88579Y101 1595 9094 SH DFND 3 9094 0 0 ABBOTT LABS COM 002824100 259 2194 SH DFND 1 2194 0 0 ABBOTT LABS COM 002824100 1001 8477 SH DFND 3 8477 0 0 ABBVIE INC COM 00287Y109 1087 10079 SH DFND 1 10079 0 0 ABBVIE INC COM 00287Y109 440 4080 SH DFND 3 4080 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1200 3751 SH DFND 1 3751 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1033 3230 SH DFND 3 3230 0 0 ACTIVISION BLIZZARD INC COM 00507V109 832 10749 SH DFND 1 10749 0 0 ACTIVISION BLIZZARD INC COM 00507V109 31 405 SH DFND 3 405 0 0 ACUTUS MED INC COM 005111109 893 100984 SH SOLE 100984 0 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FD TR II SR LN ETF 46138G508 8290 374940 SH DFND 3 374940 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 13426 607251 SH DFND 4 607251 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 320374 895000 SH DFND 2 895000 0 0 IQVIA HLDGS INC COM 46266C105 1787 7462 SH SOLE 7462 0 0 ISHARES INC JP MRG EM CRP BD 464286251 5319 102520 SH DFND 4 102520 0 0 ISHARES INC EM MKTS DIV ETF 464286319 2770 71219 SH DFND 3 71219 0 0 ISHARES INC JP MORGAN EM ETF 464286517 3917 92473 SH DFND 4 92473 0 0 ISHARES INC MSCI STH KOR ETF 464286772 1445 17910 SH DFND 3 17910 0 0 ISHARES INC MSCI HONG KG ETF 464286871 5317 221739 SH DFND 1 221739 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 18870 268608 SH DFND 4 268608 0 0 ISHARES TR TIPS BD ETF 464287176 1400 10965 SH DFND 1 10965 0 0 ISHARES TR TIPS BD ETF 464287176 14801 115910 SH DFND 4 115910 0 0 ISHARES TR CORE S&P500 ETF 464287200 647393 1502700 SH DFND 2 1502700 0 0 ISHARES TR CORE S&P500 ETF 464287200 57269 132930 SH DFND 4 132930 0 0 ISHARES TR CORE US AGGBD ET 464287226 12437 108309 SH DFND 4 108309 0 0 ISHARES TR IBOXX INV CP ETF 464287242 3322 24974 SH DFND 4 24974 0 0 ISHARES TR IBOXX INV CP ETF 464287242 416504 3130900 SH SOLE 3130900 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 2575 34842 SH DFND 1 34842 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 1019 13792 SH DFND 4 13792 0 0 ISHARES TR S&P 500 VAL ETF 464287408 21429 147356 SH DFND 4 147356 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 16414 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 7054 17674 SH DFND 1 17674 0 0 ISHARES TR EXPANDED TECH 464287515 3558 8913 SH DFND 3 8913 0 0 ISHARES TR ISHARES SEMICDTR 464287523 2146 4814 SH DFND 3 4814 0 0 ISHARES TR ISHARES SEMICDTR 464287523 11284 25308 SH DFND 4 25308 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 321775 1096000 SH DFND 2 1096000 0 0 ISHARES TR U.S. FINLS ETF 464287788 7271 88075 SH DFND 1 88075 0 0 ISHARES TR U.S. FINLS ETF 464287788 2660 32223 SH DFND 3 32223 0 0 ISHARES TR EUROPE ETF 464287861 27254 522906 SH DFND 4 522906 0 0 ISHARES TR MSCI ACWI ETF 464288257 996 9968 SH DFND 4 9968 0 0 ISHARES TR JPMORGAN USD EMG 464288281 1781 16186 SH DFND 3 16186 0 0 ISHARES TR MBS ETF 464288588 876 8100 SH SOLE 8100 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 408663 7479200 SH SOLE 7479200 0 0 ISHARES TR SHORT TREAS BD 464288679 5244 47466 SH DFND 4 47466 0 0 ISHARES TR MSCI INDIA ETF 46429B598 5660 116253 SH DFND 1 116253 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 52416 1031000 SH SOLE 1031000 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 10354 98023 SH DFND 4 98023 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 21548 163580 SH DFND 1 163580 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 7901 59981 SH DFND 3 59981 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 60547 459630 SH DFND 4 459630 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 5450 119246 SH DFND 3 119246 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 389 8510 SH DFND 4 8510 0 0 ISHARES TR CONV BD ETF 46435G102 8099 81202 SH DFND 1 81202 0 0 ISHARES TR CONV BD ETF 46435G102 3539 35481 SH DFND 3 35481 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 36999 375778 SH DFND 4 375778 0 0 ISHARES TR ESG AWR US AGRGT 46435U549 3086 55980 SH DFND 4 55980 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 3686 87048 SH DFND 1 87048 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 1540 36357 SH DFND 3 36357 0 0 ISHARES TR US INFRASTRUC 46435U713 1387 40705 SH DFND 1 40705 0 0 ISHARES TR US INFRASTRUC 46435U713 2480 72759 SH DFND 3 72759 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 3224 73092 SH DFND 1 73092 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 10522 1996581 SH DFND 3 1996581 0 0 JD.COM INC SPON ADR CL A 47215P106 1036 14340 SH DFND 1 14340 0 0 JD.COM INC SPON ADR CL A 47215P106 11904 164785 SH DFND 3 164785 0 0 JD.COM INC SPON ADR CL A 47215P106 236 3262 SH SOLE 3262 0 0 JOHNSON & JOHNSON COM 478160104 1535 9503 SH DFND 1 9503 0 0 JOHNSON & JOHNSON COM 478160104 1288 7974 SH DFND 3 7974 0 0 JPMORGAN CHASE & CO COM 46625H100 1777 10854 SH DFND 1 10854 0 0 JPMORGAN CHASE & CO COM 46625H100 2290 13992 SH DFND 3 13992 0 0 KB FINL GROUP INC SPONSORED ADR 48241A105 824 17756 SH DFND 3 17756 0 0 KELLOGG CO COM 487836108 244 3816 SH DFND 3 3816 0 0 KLA CORP COM NEW 482480100 123 369 SH DFND 1 369 0 0 KLA CORP COM NEW 482480100 227 679 SH DFND 3 679 0 0 KRAFT HEINZ CO COM 500754106 248 6726 SH DFND 3 6726 0 0 KROGER CO COM 501044101 370 9148 SH DFND 3 9148 0 0 LAM RESEARCH CORP COM 512807108 167 293 SH DFND 1 293 0 0 LAM RESEARCH CORP COM 512807108 206 362 SH DFND 3 362 0 0 LAMB WESTON HLDGS INC COM 513272104 808 13165 SH DFND 3 13165 0 0 LI AUTO INC SPONSORED ADS 50202M102 2949 112189 SH DFND 3 112189 0 0 LI AUTO INC SPONSORED ADS 50202M102 57 2173 SH SOLE 2173 0 0 LILLY ELI & CO COM 532457108 202 874 SH DFND 1 874 0 0 LILLY ELI & CO COM 532457108 440 1905 SH DFND 3 1905 0 0 LINCOLN NATL CORP IND COM 534187109 100 1457 SH DFND 1 1457 0 0 LINCOLN NATL CORP IND COM 534187109 504 7327 SH DFND 3 7327 0 0 LINDE PLC SHS G5494J103 785 2676 SH DFND 1 2676 0 0 LINDE PLC SHS G5494J103 14857 50642 SH DFND 3 50642 0 0 LOCKHEED MARTIN CORP COM 539830109 127 369 SH DFND 1 369 0 0 LOCKHEED MARTIN CORP COM 539830109 216 625 SH DFND 3 625 0 0 LOWES COS INC COM 548661107 199 981 SH DFND 1 981 0 0 LOWES COS INC COM 548661107 332 1638 SH DFND 3 1638 0 0 MARVELL TECHNOLOGY INC COM 573874104 212 3518 SH DFND 1 3518 0 0 MARVELL TECHNOLOGY INC COM 573874104 225 3738 SH DFND 3 3738 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1174 3376 SH DFND 1 3376 0 0 MASTERCARD INCORPORATED CL A 57636Q104 2162 6219 SH DFND 3 6219 0 0 MCDONALDS CORP COM 580135101 743 3082 SH DFND 1 3082 0 0 MCDONALDS CORP COM 580135101 2390 9913 SH DFND 3 9913 0 0 MCKESSON CORP COM 58155Q103 376 1884 SH DFND 3 1884 0 0 MEDTRONIC PLC SHS G5960L103 855 6821 SH DFND 1 6821 0 0 MEDTRONIC PLC SHS G5960L103 391 3119 SH DFND 3 3119 0 0 MERCADOLIBRE INC COM 58733R102 163 97 SH DFND 1 97 0 0 MERCADOLIBRE INC COM 58733R102 289 172 SH DFND 3 172 0 0 MERCK & CO INC COM 58933Y105 834 11109 SH DFND 1 11109 0 0 MERCK & CO INC COM 58933Y105 788 10497 SH DFND 3 10497 0 0 METLIFE INC COM 59156R108 155 2507 SH DFND 1 2507 0 0 METLIFE INC COM 59156R108 525 8511 SH DFND 3 8511 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 114 83 SH DFND 1 83 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 226 164 SH DFND 3 164 0 0 MFA FINL INC NOTE 6.250% 6/1 55272XAA0 15769 15000000 PRN SOLE 15000000 0 0 MICRON TECHNOLOGY INC COM 595112103 181 2544 SH DFND 1 2544 0 0 MICRON TECHNOLOGY INC COM 595112103 788 11100 SH DFND 3 11100 0 0 MICROSOFT CORP COM 594918104 8383 29734 SH DFND 1 29734 0 0 MICROSOFT CORP COM 594918104 6083 21576 SH DFND 3 21576 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 23026 2388620 SH DFND 3 2388620 0 0 MOLSON COORS BEVERAGE CO CL B 60871R209 348 7496 SH DFND 3 7496 0 0 MONDELEZ INTL INC CL A 609207105 106 1814 SH DFND 1 1814 0 0 MONDELEZ INTL INC CL A 609207105 208 3569 SH DFND 3 3569 0 0 MORGAN STANLEY COM NEW 617446448 236 2426 SH DFND 1 2426 0 0 MORGAN STANLEY COM NEW 617446448 311 3192 SH DFND 3 3192 0 0 MOSAIC CO NEW COM 61945C103 10367 290216 SH DFND 3 290216 0 0 NATURA &CO HLDG S A ADS 63884N108 5729 344111 SH DFND 3 344111 0 0 NETEASE INC SPONSORED ADS 64110W102 813 9525 SH DFND 1 9525 0 0 NETEASE INC SPONSORED ADS 64110W102 6811 79755 SH DFND 3 79755 0 0 NETEASE INC SPONSORED ADS 64110W102 130 1528 SH SOLE 1528 0 0 NETFLIX INC COM 64110L106 269 441 SH DFND 1 441 0 0 NETFLIX INC COM 64110L106 989 1620 SH DFND 3 1620 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 17276 17063000 PRN SOLE 17063000 0 0 NEXTERA ENERGY INC COM 65339F101 205 2610 SH DFND 3 2610 0 0 NIKE INC CL B 654106103 80 553 SH DFND 1 553 0 0 NIKE INC CL B 654106103 1479 10185 SH DFND 3 10185 0 0 NIO INC SPON ADS 62914V106 21678 608422 SH DFND 1 608422 0 0 NIO INC SPON ADS 62914V106 25 704 SH DFND 3 704 0 0 NORFOLK SOUTHN CORP COM 655844108 153 638 SH DFND 1 638 0 0 NORFOLK SOUTHN CORP COM 655844108 205 855 SH DFND 3 855 0 0 NORTHERN TR CORP COM 665859104 303 2806 SH DFND 3 2806 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 202 3678 SH DFND 1 3678 0 0 NUCOR CORP COM 670346105 140 1417 SH DFND 1 1417 0 0 NUCOR CORP COM 670346105 199 2021 SH DFND 3 2021 0 0 NUTRIEN LTD COM 67077M108 7772 119877 SH DFND 3 119877 0 0 NUTRIEN LTD COM 67077M108 22029 339803 SH DFND _ 339803 0 0 NVIDIA CORPORATION COM 67066G104 1552 7490 SH DFND 1 7490 0 0 NVIDIA CORPORATION COM 67066G104 1587 7662 SH DFND 3 7662 0 0 NXP SEMICONDUCTORS N V COM N6596X109 111 568 SH DFND 1 568 0 0 NXP SEMICONDUCTORS N V COM N6596X109 253 1293 SH DFND 3 1293 0 0 OCCIDENTAL PETE CORP COM 674599105 315 10634 SH DFND 3 10634 0 0 ORACLE CORP COM 68389X105 2242 25732 SH DFND 1 25732 0 0 ORACLE CORP COM 68389X105 742 8517 SH DFND 3 8517 0 0 OTIS WORLDWIDE CORP COM 68902V107 290 3530 SH DFND 3 3530 0 0 OWENS CORNING NEW COM 690742101 369 4315 SH DFND 3 4315 0 0 PALO ALTO NETWORKS INC COM 697435105 533 1113 SH DFND 1 1113 0 0 PALO ALTO NETWORKS INC COM 697435105 27 57 SH DFND 3 57 0 0 PARKER-HANNIFIN CORP COM 701094104 97 347 SH DFND 1 347 0 0 PARKER-HANNIFIN CORP COM 701094104 190 680 SH DFND 3 680 0 0 PAYCOM SOFTWARE INC COM 70432V102 287 579 SH DFND 1 579 0 0 PAYPAL HLDGS INC COM 70450Y103 315 1212 SH DFND 1 1212 0 0 PAYPAL HLDGS INC COM 70450Y103 2269 8720 SH DFND 3 8720 0 0 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 17425 17000000 PRN SOLE 17000000 0 0 PEPSICO INC COM 713448108 1291 8582 SH DFND 1 8582 0 0 PEPSICO INC COM 713448108 1094 7275 SH DFND 3 7275 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 6135 613514 SH DFND 3 613514 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1757 169939 SH DFND 3 169939 0 0 PFIZER INC COM 717081103 1147 26672 SH DFND 1 26672 0 0 PFIZER INC COM 717081103 923 21453 SH DFND 3 21453 0 0 PHILIP MORRIS INTL INC COM 718172109 740 7808 SH DFND 1 7808 0 0 PHILIP MORRIS INTL INC COM 718172109 296 3124 SH DFND 3 3124 0 0 PINDUODUO INC SPONSORED ADS 722304102 54531 601424 SH DFND 1 601424 0 0 PINDUODUO INC SPONSORED ADS 722304102 28 308 SH DFND 3 308 0 0 PNC FINL SVCS GROUP INC COM 693475105 96 493 SH DFND 1 493 0 0 PNC FINL SVCS GROUP INC COM 693475105 198 1014 SH DFND 3 1014 0 0 PPG INDS INC COM 693506107 5406 37804 SH DFND 3 37804 0 0 PRICE T ROWE GROUP INC COM 74144T108 138 703 SH DFND 1 703 0 0 PRICE T ROWE GROUP INC COM 74144T108 176 896 SH DFND 3 896 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 96 1491 SH DFND 1 1491 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 554 8595 SH DFND 3 8595 0 0 PROCTER AND GAMBLE CO COM 742718109 1518 10860 SH DFND 1 10860 0 0 PROCTER AND GAMBLE CO COM 742718109 753 5388 SH DFND 3 5388 0 0 PROGRESSIVE CORP COM 743315103 84 934 SH DFND 1 934 0 0 PROGRESSIVE CORP COM 743315103 175 1938 SH DFND 3 1938 0 0 PRUDENTIAL FINL INC COM 744320102 139 1318 SH DFND 1 1318 0 0 PRUDENTIAL FINL INC COM 744320102 546 5189 SH DFND 3 5189 0 0 QUALCOMM INC COM 747525103 292 2266 SH DFND 1 2266 0 0 QUALCOMM INC COM 747525103 708 5489 SH DFND 3 5489 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 180 2093 SH DFND 1 2093 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 406 4724 SH DFND 3 4724 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 474 22244 SH DFND 3 22244 0 0 REPUBLIC SVCS INC COM 760759100 272 2269 SH DFND 3 2269 0 0 RINGCENTRAL INC CL A 76680R206 238 1093 SH DFND 1 1093 0 0 ROBERT HALF INTL INC COM 770323103 367 3660 SH DFND 3 3660 0 0 ROPER TECHNOLOGIES INC COM 776696106 141 315 SH DFND 1 315 0 0 ROPER TECHNOLOGIES INC COM 776696106 162 364 SH DFND 3 364 0 0 ROSS STORES INC COM 778296103 107 982 SH DFND 1 982 0 0 ROSS STORES INC COM 778296103 159 1462 SH DFND 3 1462 0 0 S&P GLOBAL INC COM 78409V104 158 371 SH DFND 1 371 0 0 S&P GLOBAL INC COM 78409V104 316 743 SH DFND 3 743 0 0 SALESFORCE COM INC COM 79466L302 3211 11838 SH DFND 1 11838 0 0 SALESFORCE COM INC COM 79466L302 914 3370 SH DFND 3 3370 0 0 SCHLUMBERGER LTD COM STK 806857108 445 15018 SH DFND 3 15018 0 0 SCHWAB CHARLES CORP COM 808513105 148 2038 SH DFND 1 2038 0 0 SCHWAB CHARLES CORP COM 808513105 355 4870 SH DFND 3 4870 0 0 SEA LTD SPONSORD ADS 81141R100 75400 236564 SH DFND 1 236564 0 0 SEA LTD SPONSORD ADS 81141R100 2031 6373 SH DFND 3 6373 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 356 4317 SH DFND 3 4317 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 132 3515 SH DFND 4 3515 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 145 971 SH DFND 4 971 0 0 SERVICENOW INC COM 81762P102 1531 2460 SH DFND 1 2460 0 0 SERVICENOW INC COM 81762P102 574 922 SH DFND 3 922 0 0 SHERWIN WILLIAMS CO COM 824348106 93 334 SH DFND 1 334 0 0 SHERWIN WILLIAMS CO COM 824348106 192 685 SH DFND 3 685 0 0 SNAP INC CL A 83304A106 936 12673 SH DFND 1 12673 0 0 SNAP INC CL A 83304A106 46 616 SH DFND 3 616 0 0 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 5647 105121 SH DFND 3 105121 0 0 SOUTHWESTERN ENERGY CO COM 845467109 2745 495495 SH SOLE 495495 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 399 929 SH DFND 4 929 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 24392 285791 SH DFND 4 285791 0 0 SPLUNK INC COM 848637104 310 2145 SH DFND 1 2145 0 0 SPLUNK INC COM 848637104 173 1198 SH DFND 3 1198 0 0 SQUARE INC CL A 852234103 164 683 SH DFND 1 683 0 0 SQUARE INC CL A 852234103 266 1108 SH DFND 3 1108 0 0 STANLEY BLACK & DECKER INC COM 854502101 2593 14789 SH DFND 3 14789 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 176 17318 SH SOLE 17318 0 0 STARBUCKS CORP COM 855244109 432 3918 SH DFND 1 3918 0 0 STARBUCKS CORP COM 855244109 675 6123 SH DFND 3 6123 0 0 STATE STR CORP COM 857477103 383 4518 SH DFND 3 4518 0 0 STERIS PLC SHS USD G8473T100 253 1239 SH DFND 3 1239 0 0 STRYKER CORPORATION COM 863667101 154 585 SH DFND 1 585 0 0 STRYKER CORPORATION COM 863667101 832 3156 SH DFND 3 3156 0 0 SUNCOR ENERGY INC NEW COM 867224107 1478 71249 SH DFND 3 71249 0 0 SUNCOR ENERGY INC NEW COM 867224107 36331 1751738 SH DFND _ 1751738 0 0 SYNCHRONY FINANCIAL COM 87165B103 62 1270 SH DFND 1 1270 0 0 SYNCHRONY FINANCIAL COM 87165B103 620 12693 SH DFND 3 12693 0 0 SYNOPSYS INC COM 871607107 648 2165 SH DFND 1 2165 0 0 SYNOPSYS INC COM 871607107 536 1790 SH DFND 3 1790 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1018 9114 SH DFND 3 9114 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 238 1544 SH DFND 1 1544 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1423 9234 SH DFND 3 9234 0 0 TARGET CORP COM 87612E106 158 689 SH DFND 1 689 0 0 TARGET CORP COM 87612E106 244 1067 SH DFND 3 1067 0 0 TE CONNECTIVITY LTD REG SHS H84989104 327 2380 SH DFND 3 2380 0 0 TESLA INC COM 88160R101 1607 2072 SH DFND 1 2072 0 0 TESLA INC COM 88160R101 2005 2586 SH DFND 3 2586 0 0 TEXAS INSTRS INC COM 882508104 892 4642 SH DFND 1 4642 0 0 TEXAS INSTRS INC COM 882508104 790 4108 SH DFND 3 4108 0 0 THE TRADE DESK INC COM CL A 88339J105 415 5908 SH DFND 1 5908 0 0 THE TRADE DESK INC COM CL A 88339J105 19 264 SH DFND 3 264 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 237 415 SH DFND 1 415 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 636 1114 SH DFND 3 1114 0 0 TJX COS INC NEW COM 872540109 90 1360 SH DFND 1 1360 0 0 TJX COS INC NEW COM 872540109 3420 51841 SH DFND 3 51841 0 0 TPG SPECIALTY LENDING INC NOTE 4.500% 8/0 87265KAD4 18300 15000000 PRN SOLE 15000000 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 78 451 SH DFND 1 451 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 158 917 SH DFND 3 917 0 0 TRIP COM GROUP LTD ADS 89677Q107 268 8705 SH DFND 1 8705 0 0 TRIP COM GROUP LTD ADS 89677Q107 25 826 SH DFND 3 826 0 0 TRUIST FINL CORP COM 89832Q109 138 2345 SH DFND 1 2345 0 0 TRUIST FINL CORP COM 89832Q109 279 4764 SH DFND 3 4764 0 0 TWITTER INC COM 90184L102 80 1333 SH DFND 1 1333 0 0 TWITTER INC COM 90184L102 167 2767 SH DFND 3 2767 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 38809 38472000 PRN SOLE 38472000 0 0 TYLER TECHNOLOGIES INC COM 902252105 268 585 SH DFND 1 585 0 0 TYSON FOODS INC CL A 902494103 1657 20985 SH DFND 3 20985 0 0 UNION PAC CORP COM 907818108 733 3739 SH DFND 1 3739 0 0 UNION PAC CORP COM 907818108 625 3190 SH DFND 3 3190 0 0 UNITED PARCEL SERVICE INC CL B 911312106 386 2122 SH DFND 1 2122 0 0 UNITED PARCEL SERVICE INC CL B 911312106 588 3228 SH DFND 3 3228 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1473 3769 SH DFND 1 3769 0 0 UNITEDHEALTH GROUP INC COM 91324P102 5695 14575 SH DFND 3 14575 0 0 US BANCORP DEL COM NEW 902973304 159 2679 SH DFND 1 2679 0 0 US BANCORP DEL COM NEW 902973304 200 3368 SH DFND 3 3368 0 0 VALARIS LIMITED CL A G9460G101 3904 111915 SH SOLE 111915 0 0 VALE S A SPONSORED ADS 91912E105 3609 258722 SH DFND 3 258722 0 0 VALERO ENERGY CORP COM 91913Y100 6970 98766 SH DFND 3 98766 0 0 VANECK ETF TRUST JP MRGAN EM LOC 92189H300 906 30240 SH DFND 4 30240 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 16848 124457 SH DFND 4 124457 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 3485 53123 SH DFND 4 53123 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 8326 101030 SH DFND 4 101030 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 25062 163166 SH DFND 1 163166 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 6145 40004 SH DFND 3 40004 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 38883 253143 SH DFND 4 253143 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 15977 172448 SH DFND 4 172448 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 24713 61585 SH DFND 4 61585 0 0 VEEVA SYS INC CL A COM 922475108 95 330 SH DFND 1 330 0 0 VEEVA SYS INC CL A COM 922475108 200 694 SH DFND 3 694 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1011 18716 SH DFND 1 18716 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 20 366 SH DFND 3 366 0 0 VISA INC COM CL A 92826C839 1520 6826 SH DFND 1 6826 0 0 VISA INC COM CL A 92826C839 1875 8419 SH DFND 3 8419 0 0 VOYA FINANCIAL INC COM 929089100 84 1376 SH DFND 1 1376 0 0 VOYA FINANCIAL INC COM 929089100 164 2673 SH DFND 3 2673 0 0 VULCAN MATLS CO COM 929160109 5993 35426 SH DFND 3 35426 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 244 5177 SH DFND 3 5177 0 0 WALMART INC COM 931142103 209 1500 SH DFND 1 1500 0 0 WALMART INC COM 931142103 383 2747 SH DFND 3 2747 0 0 WASTE MGMT INC DEL COM 94106L109 88 592 SH DFND 1 592 0 0 WASTE MGMT INC DEL COM 94106L109 488 3267 SH DFND 3 3267 0 0 WATERS CORP COM 941848103 84 234 SH DFND 1 234 0 0 WATERS CORP COM 941848103 170 476 SH DFND 3 476 0 0 WEATHERFORD INTL PLC ORD SHS G48833118 10580 537900 SH SOLE 537900 0 0 WELLS FARGO CO NEW COM 949746101 340 7329 SH DFND 1 7329 0 0 WELLS FARGO CO NEW COM 949746101 381 8202 SH DFND 3 8202 0 0 WESTROCK CO COM 96145D105 366 7347 SH DFND 3 7347 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 1229 34556 SH DFND 3 34556 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 2570 68400 SH DFND 3 68400 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 93 400 SH DFND 1 400 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 183 787 SH DFND 3 787 0 0 WORKDAY INC CL A 98138H101 617 2470 SH DFND 1 2470 0 0 WORKDAY INC CL A 98138H101 22 89 SH DFND 3 89 0 0 XPENG INC ADS 98422D105 22363 629232 SH DFND 1 629232 0 0 YANDEX N V SHS CLASS A N97284108 111173 1395064 SH DFND 3 1395064 0 0 YUM CHINA HLDGS INC COM 98850P109 12307 211785 SH DFND 1 211785 0 0 YUM CHINA HLDGS INC COM 98850P109 10545 181460 SH DFND 3 181460 0 0 YUM CHINA HLDGS INC COM 98850P109 211 3628 SH SOLE 3628 0 0 ZHIHU INC ADS 98955N108 27143 2940690 SH DFND 1 2940690 0 0 ZOETIS INC CL A 98978V103 122 626 SH DFND 1 626 0 0 ZOETIS INC CL A 98978V103 1042 5365 SH DFND 3 5365 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 856 3275 SH DFND 1 3275 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 477 1826 SH DFND 3 1826 0 0 ZSCALER INC COM 98980G102 215 820 SH DFND 1 820 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 283 9238 SH DFND 1 9238 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 26 852 SH DFND 3 852 0 0 BARINGS PARTN INVS TRUST COM 05616B100 1979 143404 SH SOLE 143404 0 0 BARINGS CORPORATE INVS COM 05617K109 3416 219664 SH SOLE 219664 0 0 BARINGS BDC, INC. COM 06759L103 150309 13639681 SH SOLE 13639681 0 0 BARINGS GLOBAL SHORT DURATION COM 06760L100 173 10141 SH SOLE 10141 0 0