Head of Regulatory Solutions

0000009015-23-000021.txt : 20231113 0000009015-23-000021.hdr.sgml : 20231113 20231113102230 ACCESSION NUMBER: 0000009015-23-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231113 DATE AS OF CHANGE: 20231113 EFFECTIVENESS DATE: 20231113 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: 231396146 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 X0202 13F-HR LIVE false false true 0000009015 XXXXXXXX 09-30-2023 09-30-2023 BARINGS LLC

300 SOUTH TRYON STREET SUITE 2500 CHARLOTTE NC 28202

13F HOLDINGS REPORT 028-00060 000106006 801-241 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 Kilkenny L2 11-13-2023 5 202 2931873309 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 5 0001568131 028-15112 Baring International Investment Ltd INFORMATION TABLE 2 informationtable.xml 2U INC NOTE 2.250% 5/0 90214JAB7 1792500 3000000 PRN SOLE 3000000 0 0 ADOBE INC COM 00724F101 273816 537 SH DFND 3 537 0 0 AGCO CORP COM 001084102 7064628 59728 SH DFND 3 59728 0 0 ALBEMARLE CORP COM 012653101 4720821 27763 SH DFND 3 27763 0 0 ALPHABET INC CAP STK CL C 02079K107 1400379 10621 SH DFND 3 10621 0 0 ALPHABET INC CAP STK CL A 02079K305 3601136 27519 SH DFND 3 27519 0 0 ALPHABET INC CAP STK CL A 02079K305 622894 4760 SH SOLE 4760 0 0 AMAZON COM INC COM 023135106 4517972 35541 SH DFND 3 35541 0 0 AMAZON COM INC COM 023135106 274071 2156 SH SOLE 2156 0 0 AMBEV SA SPONSORED ADR 02319V103 2597627 1006832 SH DFND 3 1006832 0 0 AMCOR PLC ORD G0250X107 693522 75712 SH DFND 3 75712 0 0 ANGLOGOLD ASHANTI PLC COM SHS G0378L100 3514963 222466 SH DFND 3 222466 0 0 ANGLOGOLD ASHANTI PLC COM SHS G0378L100 80138 5072 SH SOLE 5072 0 0 AON PLC SHS CL A G0403H108 3474990 10718 SH DFND 3 10718 0 0 AON PLC SHS CL A G0403H108 184157 568 SH SOLE 568 0 0 APPLE INC COM 037833100 2121121 12389 SH DFND 3 12389 0 0 APPLIED MATLS INC COM 038222105 205044 1481 SH DFND 3 1481 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 6797755 90132 SH DFND 3 90132 0 0 AUTODESK INC COM 052769106 89385 432 SH DFND 3 432 0 0 AUTODESK INC COM 052769106 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DFND 4 387587 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 52467590 1031000 SH SOLE 1031000 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 31372655 317248 SH DFND 4 317248 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 5304679 40251 SH DFND 3 40251 0 0 ISHARES TR 0-5YR INVT GR CP 46434V100 520938 10854 SH DFND 1 10854 0 0 ISHARES TR CUR HD EURZN ETF 46434V639 862841 28069 SH DFND 3 28069 0 0 ISHARES TR CUR HD EURZN ETF 46434V639 7058488 229619 SH DFND 4 229619 0 0 ISHARES TR CORE MSCI EURO 46434V738 4084336 82246 SH DFND 1 82246 0 0 ISHARES TR ESG AWR US AGRGT 46435U549 12506288 276077 SH DFND 4 276077 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 7393744 1376861 SH DFND 3 1376861 0 0 ITRON INC NOTE3/1 465741AN6 2583150 3000000 PRN SOLE 3000000 0 0 JOHNSON & JOHNSON COM 478160104 207926 1335 SH DFND 3 1335 0 0 JPMORGAN CHASE & CO COM 46625H100 259586 1790 SH DFND 3 1790 0 0 LAM RESEARCH CORP COM 512807108 124100 198 SH DFND 3 198 0 0 LAM RESEARCH CORP COM 512807108 81480 130 SH SOLE 130 0 0 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78462F103 1117433 2614 SH DFND 3 2614 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 36273388 84854 SH DFND 4 84854 0 0 SPDR SER TR BBG CONV SEC ETF 78464A359 9274904 136798 SH DFND 4 136798 0 0 STRYKER CORPORATION COM 863667101 455268 1666 SH DFND 3 1666 0 0 SUNCOR ENERGY INC NEW COM 867224107 259053 7535 SH DFND 3 7535 0 0 SUNCOR ENERGY INC NEW COM 867224107 57983348 1686543 SH DFND 5 1686543 0 0 SYNOPSYS INC COM 871607107 98679 215 SH DFND 3 215 0 0 SYNOPSYS INC COM 871607107 183588 400 SH SOLE 400 0 0 TESLA INC COM 88160R101 345304 1380 SH DFND 3 1380 0 0 TJX COS INC NEW COM 872540109 1790132 20141 SH DFND 3 20141 0 0 TRACTOR SUPPLY CO COM 892356106 5544483 27306 SH DFND 3 27306 0 0 UNITED RENTALS INC COM 911363109 932708 2098 SH DFND 3 2098 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3944783 7824 SH DFND 3 7824 0 0 UPSTART HLDGS INC NOTE 0.250% 8/1 91680MAB3 1312500 2000000 PRN SOLE 2000000 0 0 VALE S A SPONSORED ADS 91912E105 7607006 567687 SH DFND 3 567687 0 0 VALERO ENERGY CORP COM 91913Y100 6797404 47967 SH DFND 3 47967 0 0 VANECK ETF TRUST BDC INCOME ETF 92189F411 2117130 132073 SH DFND 3 132073 0 0 VANECK ETF TRUST BDC INCOME ETF 92189F411 500777 31240 SH DFND 4 31240 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 43775312 469793 SH DFND 4 469793 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3320578 44186 SH DFND 4 44186 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1252777 17492 SH DFND 3 17492 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 12856076 179504 SH DFND 4 179504 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 435230 1049 SH DFND 3 1049 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 2434633 5868 SH DFND 4 5868 0 0 VISA INC COM CL A 92826C839 1066096 4635 SH DFND 3 4635 0 0 VISA INC COM CL A 92826C839 241280 1049 SH SOLE 1049 0 0 VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS 92837L109 2675141 88027 SH DFND 3 88027 0 0 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 606465 14582 SH DFND 3 14582 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 4546774 121312 SH DFND 4 121312 0 0 YANDEX N V SHS CLASS A N97284108 0 1002695 SH DFND 3 1002695 0 0 YUM CHINA HLDGS INC COM 98850P109 7863262 141121 SH DFND 3 141121 0 0 YUM CHINA HLDGS INC COM 98850P109 15857466 284592 SH DFND 5 284592 0 0 YUM CHINA HLDGS INC COM 98850P109 100296 1800 SH SOLE 1800 0 0 ZOETIS INC CL A 98978V103 440517 2532 SH DFND 3 2532 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 5266401 217890 SH DFND 1 217890 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 34901 1444 SH DFND 3 1444 0 0 BARINGS PARTN INVS TRUST COM 05616B100 1925916 143404 SH SOLE 143404 0 0 BARINGS CORPORATE INVS COM 05617K109 3501444 219664 SH SOLE 219664 0 0 BARINGS BDC, INC. COM 06759L103 121529558 13639681 SH SOLE 13639681 0 0 BARINGS GLOBAL SHORT DURATION COM 06760L100 155786 12267 SH SOLE 12267 0 0