0001606779-21-000001.txt : 20210216 0001606779-21-000001.hdr.sgml : 20210216 20210216131117 ACCESSION NUMBER: 0001606779-21-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 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: 21635384 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 false 0000009015 XXXXXXXX 12-31-2020 12-31-2020 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 excercises investment discretion with respect to the positions reported on its Form 13F, such positions shall be deemed reported on behalf of MassMutual is deemed to share investment discretion over the positions as a result of MassMutual's indirect ownership interest in Barings. Christina Coone 0035314869717 Dublin Dublin L2 02-16-2021 4 706 3904164 false 1 0001624302 028-16290 BARING ASSET MANAGEMENT (ASIA) Ltd 2 0001606780 028-19111 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 15204 438286 SH DFND 1 438286 0 0 21VIANET GROUP INC SPONSORED ADS A 90138A103 1523 43892 SH DFND 3 43892 0 0 3M CO COM 88579Y101 381 2181 SH DFND 1 2181 0 0 3M CO COM 88579Y101 3612 20662 SH DFND 3 20662 0 0 ABBOTT LABS COM 002824100 601 5491 SH DFND 1 5491 0 0 ABBOTT LABS COM 002824100 707 6458 SH DFND 3 6458 0 0 ABBVIE INC COM 00287Y109 416 3887 SH DFND 1 3887 0 0 ABBVIE INC COM 00287Y109 701 6541 SH DFND 3 6541 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 643 2462 SH DFND 1 2462 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1164 4456 SH DFND 3 4456 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 677 1353 SH DFND 1 1353 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INC COM 446150104 48 3810 SH DFND 3 3810 0 0 HUNTINGTON BANCSHARES INC COM 446150104 77 6130 SH SOLE 6130 0 0 IAA INC COM 449253103 286 4400 SH SOLE 4400 0 0 ICLICK INTERACTIVE ASIA GROU SPONSORED ADR 45113Y104 13018 1524395 SH DFND 1 1524395 0 0 IHS MARKIT LTD SHS G47567105 436 4857 SH DFND 3 4857 0 0 ILLINOIS TOOL WKS INC COM 452308109 368 1806 SH DFND 3 1806 0 0 ILLINOIS TOOL WKS INC COM 452308109 248 1218 SH SOLE 1218 0 0 INFOSYS LTD SPONSORED ADR 456788108 260 15336 SH SOLE 15336 0 0 INGREDION INC COM 457187102 242 3072 SH DFND 3 3072 0 0 INTEL CORP COM 458140100 541 10869 SH DFND 1 10869 0 0 INTEL CORP COM 458140100 589 11829 SH DFND 3 11829 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 304 2412 SH DFND 1 2412 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 728 5782 SH DFND 3 5782 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 3825 35146 SH DFND 3 35146 0 0 INTERNATIONAL PAPER CO COM 460146103 85 1710 SH DFND 3 1710 0 0 INTERNATIONAL PAPER CO COM 460146103 144 2899 SH SOLE 2899 0 0 INTERPUBLIC GROUP COS INC COM 460690100 209 8866 SH DFND 1 8866 0 0 INTERPUBLIC GROUP COS INC COM 460690100 137 5827 SH DFND 3 5827 0 0 INTUIT COM 461202103 499 1313 SH DFND 1 1313 0 0 INTUIT COM 461202103 2682 7061 SH DFND 3 7061 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 393 480 SH DFND 1 480 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 277 339 SH DFND 3 339 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 6382 286444 SH DFND 4 286444 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 247760 789700 SH DFND 2 789700 0 0 IPG PHOTONICS CORP COM 44980X109 226 1008 SH SOLE 1008 0 0 IQVIA HLDGS INC COM 46266C105 1337 7462 SH SOLE 7462 0 0 ISHARES INC JP MRG EM CRP BD 464286251 3450 64970 SH DFND 4 64970 0 0 ISHARES INC JP MORGAN EM ETF 464286517 3276 72400 SH DFND 1 72400 0 0 ISHARES INC JP MORGAN EM ETF 464286517 4414 97558 SH DFND 4 97558 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1428 23012 SH DFND 1 23012 0 0 ISHARES TR TIPS BD ETF 464287176 7937 62177 SH DFND 1 62177 0 0 ISHARES TR TIPS BD ETF 464287176 14556 114033 SH DFND 4 114033 0 0 ISHARES TR CORE S&P500 ETF 464287200 8866 23618 SH DFND 1 23618 0 0 ISHARES TR CORE S&P500 ETF 464287200 508072 1353451 SH DFND 2 1353451 0 0 ISHARES TR CORE S&P500 ETF 464287200 9225 24575 SH DFND 4 24575 0 0 ISHARES TR IBOXX INV CP ETF 464287242 2823 20437 SH DFND 4 20437 0 0 ISHARES TR IBOXX INV CP ETF 464287242 17805 128900 SH SOLE 128900 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 7988 125168 SH DFND 1 125168 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 18286 286530 SH DFND 4 286530 0 0 ISHARES TR S&P 500 VAL ETF 464287408 13138 102626 SH DFND 4 102626 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 7594 63311 SH DFND 1 63311 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 26404 220126 SH DFND 4 220126 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 1 16 SH DFND 1 16 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 912 10555 SH DFND 4 10555 0 0 ISHARES TR EXPANDED TECH 464287515 16717 47211 SH DFND 1 47211 0 0 ISHARES TR EXPANDED TECH 464287515 4202 11868 SH DFND 3 11868 0 0 ISHARES TR EXPANDED TECH 464287515 7284 20571 SH DFND 4 20571 0 0 ISHARES TR PHLX SEMICND ETF 464287523 2324 6129 SH DFND 1 6129 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 266624 929976 SH DFND 2 929976 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7937 40485 SH DFND 1 40485 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 10747 54815 SH DFND 4 54815 0 0 ISHARES TR US INDUSTRIALS 464287754 8729 89896 SH DFND 1 89896 0 0 ISHARES TR US INDUSTRIALS 464287754 2863 29490 SH DFND 3 29490 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 6771 59708 SH DFND 1 59708 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 2695 23767 SH DFND 3 23767 0 0 ISHARES TR EUROPE ETF 464287861 9039 188630 SH DFND 1 188630 0 0 ISHARES TR EUROPE ETF 464287861 22443 468337 SH DFND 4 468337 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 3970 44302 SH DFND 1 44302 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 7047 78646 SH DFND 3 78646 0 0 ISHARES TR MSCI ACWI ETF 464288257 9186 101261 SH DFND 1 101261 0 0 ISHARES TR MSCI ACWI ETF 464288257 17412 191926 SH DFND 4 191926 0 0 ISHARES TR JPMORGAN USD EMG 464288281 3615 31186 SH DFND 3 31186 0 0 ISHARES TR JPMORGAN USD EMG 464288281 43 372 SH DFND 4 372 0 0 ISHARES TR IBOXX HI YD ETF 464288513 876 10032 SH DFND 3 10032 0 0 ISHARES TR IBOXX HI YD ETF 464288513 48 551 SH DFND 4 551 0 0 ISHARES TR MBS ETF 464288588 430 3900 SH SOLE 3900 0 0 ISHARES TR USD INV GRDE ETF 464288620 3797 61266 SH DFND 1 61266 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 414 7500 SH DFND 3 7500 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 9754 176800 SH SOLE 176800 0 0 ISHARES TR GLOBAL MATER ETF 464288695 2968 36460 SH DFND 1 36460 0 0 ISHARES TR GLOBAL MATER ETF 464288695 8371 102829 SH DFND 4 102829 0 0 ISHARES TR GLOB INDSTRL ETF 464288729 2053 19240 SH DFND 1 19240 0 0 ISHARES TR GLOB INDSTRL ETF 464288729 5103 47815 SH DFND 4 47815 0 0 ISHARES TR A RATE CP BD ETF 46429B291 8171 139625 SH DFND 1 139625 0 0 ISHARES TR MSCI INDIA ETF 46429B598 492 12225 SH DFND 3 12225 0 0 ISHARES TR MSCI INDIA ETF 46429B598 237 5884 SH SOLE 5884 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 52292 1031000 SH SOLE 1031000 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 3319 31782 SH DFND 4 31782 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 2310 19876 SH DFND 1 19876 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 9553 82201 SH DFND 4 82201 0 0 ISHARES TR MSCI USA VALUE 46432F388 17566 202121 SH DFND 1 202121 0 0 ISHARES TR MSCI USA VALUE 46432F388 6631 76295 SH DFND 3 76295 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 13161 289624 SH DFND 1 289624 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 3329 73255 SH DFND 4 73255 0 0 ISHARES TR CONV BD ETF 46435G102 10127 104885 SH DFND 1 104885 0 0 ISHARES TR CONV BD ETF 46435G102 7170 74264 SH DFND 3 74264 0 0 ISHARES TR FALN ANGLS USD 46435G474 1627 55300 SH DFND 4 55300 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 8005 199167 SH DFND 1 199167 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 3366 83737 SH DFND 3 83737 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 27185 4463890 SH DFND 3 4463890 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 187 30735 SH SOLE 30735 0 0 J JILL INC COM 46620W201 66 17591 SH SOLE 17591 0 0 JD.COM INC SPON ADR CL A 47215P106 58503 665562 SH DFND 1 665562 0 0 JD.COM INC SPON ADR CL A 47215P106 130 1481 SH DFND 3 1481 0 0 JOHNSON & JOHNSON COM 478160104 776 4928 SH DFND 1 4928 0 0 JOHNSON & JOHNSON COM 478160104 1325 8422 SH DFND 3 8422 0 0 JONES LANG LASALLE INC COM 48020Q107 684 4610 SH SOLE 4610 0 0 JPMORGAN CHASE & CO COM 46625H100 910 7162 SH DFND 1 7162 0 0 JPMORGAN CHASE & CO COM 46625H100 2752 21658 SH DFND 3 21658 0 0 JPMORGAN CHASE & CO COM 46625H100 1703 13400 SH SOLE 13400 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 283 2141 SH DFND 1 2141 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 77 584 SH DFND 3 584 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 154 1163 SH SOLE 1163 0 0 KIMBERLY-CLARK CORP COM 494368103 228 1690 SH DFND 3 1690 0 0 KINDER MORGAN INC DEL COM 49456B101 33 2430 SH DFND 3 2430 0 0 KINDER MORGAN INC DEL COM 49456B101 5164 377761 SH SOLE 377761 0 0 KINGSOFT CLOUD HLDGS LTD ADS 49639K101 55419 1272526 SH DFND 1 1272526 0 0 KINGSOFT CLOUD HLDGS LTD ADS 49639K101 789 18116 SH DFND 3 18116 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 718 17409 SH SOLE 17409 0 0 KLA CORP COM NEW 482480100 210 810 SH SOLE 810 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 250 1321 SH DFND 1 1321 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 48 256 SH DFND 3 256 0 0 LAM RESEARCH CORP COM 512807108 405 857 SH DFND 1 857 0 0 LAM RESEARCH CORP COM 512807108 209 443 SH DFND 3 443 0 0 LAMB WESTON HLDGS INC COM 513272104 51 647 SH DFND 3 647 0 0 LAMB WESTON HLDGS INC COM 513272104 228 2900 SH SOLE 2900 0 0 LAUDER ESTEE COS INC CL A 518439104 209 786 SH DFND 3 786 0 0 LEAR CORP COM NEW 521865204 282 1773 SH SOLE 1773 0 0 LI AUTO INC SPONSORED ADS 50202M102 45000 1560886 SH DFND 1 1560886 0 0 LILLY ELI & CO COM 532457108 374 2216 SH DFND 1 2216 0 0 LILLY ELI & CO COM 532457108 590 3495 SH DFND 3 3495 0 0 LINCOLN NATL CORP IND COM 534187109 237 4704 SH DFND 3 4704 0 0 LINCOLN NATL CORP IND COM 534187109 77 1530 SH SOLE 1530 0 0 LINDE PLC SHS G5494J103 466 1770 SH DFND 1 1770 0 0 LINDE PLC SHS G5494J103 14695 55767 SH DFND 3 55767 0 0 LOCKHEED MARTIN CORP COM 539830109 412 1160 SH DFND 3 1160 0 0 LOWES COS INC COM 548661107 396 2470 SH DFND 1 2470 0 0 LOWES COS INC COM 548661107 533 3322 SH DFND 3 3322 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 3449 37623 SH DFND 3 37623 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 219 2393 SH SOLE 2393 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 3257 76752 SH SOLE 76752 0 0 MARRIOTT INTL INC NEW CL A 571903202 318 2414 SH DFND 1 2414 0 0 MARRIOTT INTL INC NEW CL A 571903202 54 409 SH DFND 3 409 0 0 MARSH & MCLENNAN COS INC COM 571748102 316 2699 SH DFND 3 2699 0 0 MARTIN MARIETTA MATLS INC COM 573284106 273 962 SH DFND 1 962 0 0 MASTERCARD INCORPORATED CL A 57636Q104 818 2292 SH DFND 1 2292 0 0 MASTERCARD INCORPORATED CL A 57636Q104 4647 13018 SH DFND 3 13018 0 0 MCDONALDS CORP COM 580135101 368 1713 SH DFND 1 1713 0 0 MCDONALDS CORP COM 580135101 2750 12818 SH DFND 3 12818 0 0 MEDTRONIC PLC SHS G5960L103 496 4236 SH DFND 1 4236 0 0 MEDTRONIC PLC SHS G5960L103 600 5119 SH DFND 3 5119 0 0 MERCADOLIBRE INC COM 58733R102 47 28 SH DFND 1 28 0 0 MERCADOLIBRE INC COM 58733R102 178 106 SH DFND 3 106 0 0 MERCK & CO. INC COM 58933Y105 429 5248 SH DFND 1 5248 0 0 MERCK & CO. INC COM 58933Y105 911 11133 SH DFND 3 11133 0 0 METLIFE INC COM 59156R108 41 880 SH DFND 3 880 0 0 METLIFE INC COM 59156R108 353 7517 SH SOLE 7517 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 96 84 SH DFND 3 84 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 285 250 SH SOLE 250 0 0 MICRON TECHNOLOGY INC COM 595112103 742 9865 SH DFND 1 9865 0 0 MICRON TECHNOLOGY INC COM 595112103 896 11922 SH DFND 3 11922 0 0 MICRON TECHNOLOGY INC COM 595112103 611 8123 SH SOLE 8123 0 0 MICROSOFT CORP COM 594918104 4579 20586 SH DFND 1 20586 0 0 MICROSOFT CORP COM 594918104 9031 40602 SH DFND 3 40602 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 19177 2142715 SH DFND 3 2142715 0 0 MONDELEZ INTL INC CL A 609207105 324 5539 SH DFND 3 5539 0 0 MORGAN STANLEY COM NEW 617446448 416 6070 SH DFND 1 6070 0 0 MORGAN STANLEY COM NEW 617446448 346 5050 SH DFND 3 5050 0 0 MORGAN STANLEY COM NEW 617446448 819 11952 SH SOLE 11952 0 0 MOSAIC CO NEW COM 61945C103 2414 104930 SH DFND 3 104930 0 0 MPLX LP COM UNIT REP LTD 55336V100 7075 326784 SH SOLE 326784 0 0 NATURA &CO HLDG S A ADS 63884N108 4791 239554 SH DFND 3 239554 0 0 NETAPP INC COM 64110D104 235 3545 SH DFND 1 3545 0 0 NETAPP INC COM 64110D104 64 968 SH DFND 3 968 0 0 NETAPP INC COM 64110D104 258 3891 SH SOLE 3891 0 0 NETEASE INC SPONSORED ADS 64110W102 413 4310 SH DFND 1 4310 0 0 NETEASE INC SPONSORED ADS 64110W102 10495 109587 SH DFND 3 109587 0 0 NETEASE INC SPONSORED ADS 64110W102 146 1528 SH SOLE 1528 0 0 NETFLIX INC COM 64110L106 1210 2238 SH DFND 1 2238 0 0 NETFLIX INC COM 64110L106 1841 3405 SH DFND 3 3405 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 43831 235893 SH DFND 1 235893 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 10312 55500 SH DFND 3 55500 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 146 786 SH SOLE 786 0 0 NEWMONT CORP COM 651639106 171 2854 SH DFND 3 2854 0 0 NEWMONT CORP COM 651639106 1206 20142 SH SOLE 20142 0 0 NEXTERA ENERGY INC COM 65339F101 618 8004 SH DFND 3 8004 0 0 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 75 31200 SH SOLE 31200 0 0 NIKE INC CL B 654106103 631 4459 SH DFND 1 4459 0 0 NIKE INC CL B 654106103 1722 12172 SH DFND 3 12172 0 0 NOBLE MIDSTREAM PARTNERS LP COM UNIT REPST 65506L105 976 93625 SH SOLE 93625 0 0 NORFOLK SOUTHN CORP COM 655844108 374 1572 SH DFND 1 1572 0 0 NORFOLK SOUTHN CORP COM 655844108 284 1196 SH DFND 3 1196 0 0 NORFOLK SOUTHN CORP COM 655844108 273 1151 SH SOLE 1151 0 0 NORTHROP GRUMMAN CORP COM 666807102 237 779 SH DFND 1 779 0 0 NORTHROP GRUMMAN CORP COM 666807102 176 577 SH DFND 3 577 0 0 NUCOR CORP COM 670346105 188 3536 SH DFND 1 3536 0 0 NUCOR CORP COM 670346105 166 3124 SH DFND 3 3124 0 0 NUCOR CORP COM 670346105 1153 21669 SH SOLE 21669 0 0 NUTRIEN LTD COM 67077M108 4455 92512 SH DFND 3 92512 0 0 NUTRIEN LTD COM 67077M108 27522 571472 SH DFND _ 571472 0 0 NVIDIA CORPORATION COM 67066G104 1550 2969 SH DFND 1 2969 0 0 NVIDIA CORPORATION COM 67066G104 2160 4136 SH DFND 3 4136 0 0 OMNICOM GROUP INC COM 681919106 173 2777 SH DFND 1 2777 0 0 OMNICOM GROUP INC COM 681919106 64 1034 SH DFND 3 1034 0 0 ONEOK INC NEW COM 682680103 503 13117 SH SOLE 13117 0 0 ORACLE CORP COM 68389X105 416 6428 SH DFND 1 6428 0 0 ORACLE CORP COM 68389X105 748 11569 SH DFND 3 11569 0 0 OTIS WORLDWIDE CORP COM 68902V107 358 5301 SH DFND 3 5301 0 0 OTIS WORLDWIDE CORP COM 68902V107 635 9400 SH SOLE 9400 0 0 OZON HLDGS PLC SPONSORED ADS 69269L104 4141 100000 SH DFND 3 100000 0 0 PACKAGING CORP AMER COM 695156109 262 1900 SH DFND 1 1900 0 0 PARKER-HANNIFIN CORP COM 701094104 96 352 SH DFND 3 352 0 0 PARKER-HANNIFIN CORP COM 701094104 245 898 SH SOLE 898 0 0 PAYCHEX INC COM 704326107 38 408 SH DFND 3 408 0 0 PAYCHEX INC COM 704326107 368 3950 SH SOLE 3950 0 0 PAYPAL HLDGS INC COM 70450Y103 1375 5869 SH DFND 1 5869 0 0 PAYPAL HLDGS INC COM 70450Y103 3361 14353 SH DFND 3 14353 0 0 PAYPAL HLDGS INC COM 70450Y103 230 984 SH SOLE 984 0 0 PENN NATL GAMING INC COM 707569109 449 5200 SH SOLE 5200 0 0 PEPSICO INC COM 713448108 245 1654 SH DFND 1 1654 0 0 PEPSICO INC COM 713448108 2742 18488 SH DFND 3 18488 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 25077 2267383 SH DFND 3 2267383 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 3315 295176 SH DFND 3 295176 0 0 PFIZER INC COM 717081103 473 12840 SH DFND 1 12840 0 0 PFIZER INC COM 717081103 1037 28169 SH DFND 3 28169 0 0 PHILIP MORRIS INTL INC COM 718172109 310 3745 SH DFND 1 3745 0 0 PHILIP MORRIS INTL INC COM 718172109 295 3566 SH DFND 3 3566 0 0 PHILLIPS 66 PARTNERS LP COM UNIT REP INT 718549207 5363 203054 SH SOLE 203054 0 0 PINDUODUO INC SPONSORED ADS 722304102 116799 657394 SH DFND 1 657394 0 0 PINDUODUO INC SPONSORED ADS 722304102 104 585 SH DFND 3 585 0 0 PIONEER NAT RES CO COM 723787107 315 2762 SH SOLE 2762 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 3686 447309 SH SOLE 447309 0 0 PNC FINL SVCS GROUP INC COM 693475105 179 1198 SH DFND 3 1198 0 0 PNC FINL SVCS GROUP INC COM 693475105 372 2496 SH SOLE 2496 0 0 POSCO SPONSORED ADR 693483109 935 15013 SH SOLE 15013 0 0 PPG INDS INC COM 693506107 5351 37100 SH DFND 3 37100 0 0 PRICE T ROWE GROUP INC COM 74144T108 266 1755 SH DFND 1 1755 0 0 PRICE T ROWE GROUP INC COM 74144T108 70 465 SH DFND 3 465 0 0 PRICE T ROWE GROUP INC COM 74144T108 289 1909 SH SOLE 1909 0 0 PROCTER AND GAMBLE CO COM 742718109 491 3532 SH DFND 1 3532 0 0 PROCTER AND GAMBLE CO COM 742718109 1275 9164 SH DFND 3 9164 0 0 PROLOGIS INC. COM 74340W103 894 8972 SH DFND 3 8972 0 0 PROLOGIS INC. COM 74340W103 140 1400 SH SOLE 1400 0 0 PRUDENTIAL FINL INC COM 744320102 40 514 SH DFND 3 514 0 0 PRUDENTIAL FINL INC COM 744320102 283 3621 SH SOLE 3621 0 0 QUALCOMM INC COM 747525103 578 3794 SH DFND 1 3794 0 0 QUALCOMM INC COM 747525103 936 6146 SH DFND 3 6146 0 0 RALPH LAUREN CORP CL A 751212101 468 4516 SH DFND 3 4516 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 408 5707 SH DFND 1 5707 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1077 15055 SH DFND 3 15055 0 0 REGENERON PHARMACEUTICALS COM 75886F107 197 407 SH DFND 1 407 0 0 REGENERON PHARMACEUTICALS COM 75886F107 125 259 SH DFND 3 259 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 161 10013 SH DFND 3 10013 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 48 2960 SH SOLE 2960 0 0 REPUBLIC SVCS INC COM 760759100 219 2269 SH DFND 3 2269 0 0 RIO TINTO PLC SPONSORED ADR 767204100 2512 33391 SH SOLE 33391 0 0 RITCHIE BROS AUCTIONEERS COM 767744105 362 5200 SH SOLE 5200 0 0 ROBERT HALF INTL INC COM 770323103 213 3414 SH DFND 1 3414 0 0 ROBERT HALF INTL INC COM 770323103 380 6077 SH DFND 3 6077 0 0 ROCKWELL AUTOMATION INC COM 773903109 238 950 SH DFND 3 950 0 0 ROPER TECHNOLOGIES INC COM 776696106 363 842 SH DFND 1 842 0 0 ROPER TECHNOLOGIES INC COM 776696106 235 546 SH DFND 3 546 0 0 ROSS STORES INC COM 778296103 307 2496 SH DFND 1 2496 0 0 ROSS STORES INC COM 778296103 235 1916 SH DFND 3 1916 0 0 S&P GLOBAL INC COM 78409V104 405 1231 SH DFND 3 1231 0 0 SALESFORCE COM INC COM 79466L302 1170 5256 SH DFND 1 5256 0 0 SALESFORCE COM INC COM 79466L302 994 4468 SH DFND 3 4468 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 190 674 SH DFND 1 674 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 85 300 SH SOLE 300 0 0 SCHLUMBERGER LTD COM 806857108 3029 138736 SH DFND 3 138736 0 0 SCHWAB CHARLES CORP COM 808513105 276 5203 SH DFND 1 5203 0 0 SCHWAB CHARLES CORP COM 808513105 202 3809 SH DFND 3 3809 0 0 SCHWAB CHARLES CORP COM 808513105 648 12219 SH SOLE 12219 0 0 SEA LTD SPONSORD ADS 81141R100 55500 278825 SH DFND 1 278825 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 268 4317 SH DFND 3 4317 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1257 7818 SH DFND 4 7818 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 126 971 SH DFND 4 971 0 0 SENSATA TECHNOLOGIES HLDG PL SHS G8060N102 199 3772 SH DFND 1 3772 0 0 SENSATA TECHNOLOGIES HLDG PL SHS G8060N102 48 916 SH DFND 3 916 0 0 SERVICENOW INC COM 81762P102 353 642 SH DFND 1 642 0 0 SERVICENOW INC COM 81762P102 762 1384 SH DFND 3 1384 0 0 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 2082 206542 SH SOLE 206542 0 0 SHERWIN WILLIAMS CO COM 824348106 8236 11207 SH DFND 3 11207 0 0 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 653 41067 SH SOLE 41067 0 0 SILVERCORP METALS INC COM 82835P103 311 46504 SH SOLE 46504 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 86 13560 SH DFND 3 13560 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 211 1381 SH SOLE 1381 0 0 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 2541 51766 SH DFND 3 51766 0 0 SOUTHWESTERN ENERGY CO COM 845467109 1477 495495 SH SOLE 495495 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 12725 153707 SH DFND 1 153707 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 20139 243258 SH DFND 4 243258 0 0 SPLUNK INC COM 848637104 279 1645 SH DFND 3 1645 0 0 SQUARE INC CL A 852234103 524 2408 SH DFND 3 2408 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 163 17318 SH SOLE 17318 0 0 STARBUCKS CORP COM 855244109 467 4362 SH DFND 1 4362 0 0 STARBUCKS CORP COM 855244109 936 8753 SH DFND 3 8753 0 0 STATE STR CORP COM 857477103 36 494 SH DFND 3 494 0 0 STATE STR CORP COM 857477103 177 2428 SH SOLE 2428 0 0 STEEL DYNAMICS INC COM 858119100 351 9518 SH SOLE 9518 0 0 STERIS PLC SHS USD G8473T100 235 1239 SH DFND 3 1239 0 0 STRYKER CORPORATION COM 863667101 357 1455 SH DFND 1 1455 0 0 STRYKER CORPORATION COM 863667101 2940 11998 SH DFND 3 11998 0 0 SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD 866142409 735 58813 SH SOLE 58813 0 0 SUNCOR ENERGY INC NEW COM 867224107 999 59506 SH DFND 3 59506 0 0 SUNCOR ENERGY INC NEW COM 867224107 18919 1127484 SH DFND _ 1127484 0 0 SYNOPSYS INC COM 871607107 392 1513 SH DFND 1 1513 0 0 SYNOPSYS INC COM 871607107 1127 4347 SH DFND 3 4347 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 87065 798468 SH DFND 3 798468 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1306 6283 SH DFND 3 6283 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 62805 878270 SH DFND 1 878270 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 67 940 SH DFND 3 940 0 0 TARGA RES CORP COM 87612G101 1614 61196 SH SOLE 61196 0 0 TARGET CORP COM 87612E106 299 1691 SH DFND 1 1691 0 0 TARGET CORP COM 87612E106 234 1325 SH DFND 3 1325 0 0 TC ENERGY CORP COM 87807B107 13069 320952 SH SOLE 320952 0 0 TC PIPELINES LP UT COM LTD PRT 87233Q108 3504 118978 SH SOLE 118978 0 0 TE CONNECTIVITY LTD REG SHS H84989104 248 2049 SH DFND 1 2049 0 0 TE CONNECTIVITY LTD REG SHS H84989104 478 3946 SH DFND 3 3946 0 0 TELEFONICA BRASIL SA NEW ADR 87936R205 3184 359726 SH DFND 3 359726 0 0 TESLA INC COM 88160R101 1119 1586 SH DFND 1 1586 0 0 TESLA INC COM 88160R101 1967 2788 SH DFND 3 2788 0 0 TEXAS INSTRS INC COM 882508104 432 2630 SH DFND 1 2630 0 0 TEXAS INSTRS INC COM 882508104 1043 6357 SH DFND 3 6357 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 483 1038 SH DFND 1 1038 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1787 3836 SH DFND 3 3836 0 0 TJX COS INC NEW COM 872540109 375 5495 SH DFND 1 5495 0 0 TJX COS INC NEW COM 872540109 3987 58378 SH DFND 3 58378 0 0 T-MOBILE US INC COM 872590104 138 1022 SH DFND 1 1022 0 0 T-MOBILE US INC COM 872590104 288 2132 SH DFND 3 2132 0 0 TRANSDIGM GROUP INC COM 893641100 235 379 SH DFND 1 379 0 0 TRIP COM GROUP LTD ADS 89677Q107 472 14003 SH DFND 1 14003 0 0 TRIP COM GROUP LTD ADS 89677Q107 53 1574 SH DFND 3 1574 0 0 TRUIST FINL CORP COM 89832Q109 281 5868 SH DFND 1 5868 0 0 TRUIST FINL CORP COM 89832Q109 345 7206 SH DFND 3 7206 0 0 TRUIST FINL CORP COM 89832Q109 399 8334 SH SOLE 8334 0 0 TYSON FOODS INC CL A 902494103 1362 21132 SH DFND 3 21132 0 0 UBER TECHNOLOGIES INC COM 90353T100 408 8006 SH DFND 1 8006 0 0 UBER TECHNOLOGIES INC COM 90353T100 320 6269 SH DFND 3 6269 0 0 UNION PAC CORP COM 907818108 437 2101 SH DFND 1 2101 0 0 UNION PAC CORP COM 907818108 1164 5592 SH DFND 3 5592 0 0 UNITED PARCEL SERVICE INC CL B 911312106 359 2129 SH DFND 1 2129 0 0 UNITED PARCEL SERVICE INC CL B 911312106 513 3044 SH DFND 3 3044 0 0 UNITEDHEALTH GROUP INC COM 91324P102 758 2161 SH DFND 1 2161 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4812 13721 SH DFND 3 13721 0 0 US BANCORP DEL COM NEW 902973304 310 6645 SH DFND 1 6645 0 0 US BANCORP DEL COM NEW 902973304 242 5203 SH DFND 3 5203 0 0 US BANCORP DEL COM NEW 902973304 189 4061 SH SOLE 4061 0 0 V F CORP COM 918204108 45 530 SH DFND 3 530 0 0 V F CORP COM 918204108 236 2758 SH SOLE 2758 0 0 VALE S A SPONSORED ADS 91912E105 3021 180267 SH DFND 3 180267 0 0 VALE S A SPONSORED ADS 91912E105 2047 122159 SH SOLE 122159 0 0 VALERO ENERGY CORP COM 91913Y100 6763 119544 SH DFND 3 119544 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 9945 298923 SH DFND 4 298923 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 6741 56667 SH DFND 1 56667 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 6273 52732 SH DFND 4 52732 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 3338 17147 SH DFND 4 17147 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2296 45812 SH DFND 1 45812 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5066 101092 SH DFND 4 101092 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 2378 39478 SH DFND 4 39478 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3061 36768 SH DFND 1 36768 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2604 31281 SH DFND 4 31281 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 100325 1205109 SH SOLE 1205109 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 11101 78634 SH DFND 1 78634 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 2683 9750 SH DFND 1 9750 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 7228 26267 SH DFND 4 26267 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 1910 5400 SH DFND 1 5400 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 2300 6500 SH DFND 3 6500 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 14038 39680 SH DFND 4 39680 0 0 VARIAN MED SYS INC COM 92220P105 293 1677 SH SOLE 1677 0 0 VERISIGN INC COM 92343E102 244 1126 SH DFND 1 1126 0 0 VERISIGN INC COM 92343E102 68 312 SH DFND 3 312 0 0 VERISK ANALYTICS INC COM 92345Y106 322 1550 SH DFND 1 1550 0 0 VERISK ANALYTICS INC COM 92345Y106 225 1082 SH DFND 3 1082 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 510 8673 SH DFND 1 8673 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 996 16956 SH DFND 3 16956 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 247 1045 SH DFND 1 1045 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1237 5234 SH DFND 3 5234 0 0 VISA INC COM CL A 92826C839 1884 8613 SH DFND 1 8613 0 0 VISA INC COM CL A 92826C839 3531 16143 SH DFND 3 16143 0 0 VULCAN MATLS CO COM 929160109 3242 21859 SH DFND 3 21859 0 0 WALMART INC COM 931142103 259 1795 SH DFND 1 1795 0 0 WALMART INC COM 931142103 436 3028 SH DFND 3 3028 0 0 WASTE CONNECTIONS INC COM 94106B101 209 2035 SH DFND 1 2035 0 0 WASTE CONNECTIONS INC COM 94106B101 104 1011 SH DFND 3 1011 0 0 WASTE MGMT INC DEL COM 94106L109 273 2317 SH DFND 1 2317 0 0 WASTE MGMT INC DEL COM 94106L109 479 4059 SH DFND 3 4059 0 0 WELLS FARGO CO NEW COM 949746101 294 9740 SH DFND 1 9740 0 0 WELLS FARGO CO NEW COM 949746101 258 8538 SH DFND 3 8538 0 0 WELLS FARGO CO NEW COM 949746101 788 26106 SH SOLE 26106 0 0 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 9559 691660 SH SOLE 691660 0 0 WESTROCK CO COM 96145D105 281 6448 SH DFND 1 6448 0 0 WEX INC COM 96208T104 203 996 SH SOLE 996 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 1346 40132 SH DFND 3 40132 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 274 6574 SH SOLE 6574 0 0 WILLIAMS COS INC COM 969457100 38 1886 SH DFND 3 1886 0 0 WILLIAMS COS INC COM 969457100 3667 182894 SH SOLE 182894 0 0 WYNDHAM HOTELS & RESORTS INC COM 98311A105 202 3400 SH SOLE 3400 0 0 XPENG INC ADS 98422D105 26123 609931 SH DFND 1 609931 0 0 YANDEX N V SHS CLASS A N97284108 68435 983538 SH DFND 3 983538 0 0 YATSEN HLDG LTD ADS 985194109 15991 940656 SH DFND 1 940656 0 0 YUM CHINA HLDGS INC COM 98850P109 9383 164357 SH DFND 3 164357 0 0 YUM CHINA HLDGS INC COM 98850P109 116 2035 SH SOLE 2035 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 294 764 SH SOLE 764 0 0 ZOETIS INC CL A 98978V103 362 2188 SH DFND 1 2188 0 0 ZOETIS INC CL A 98978V103 2006 12122 SH DFND 3 12122 0 0 ZOETIS INC CL A 98978V103 180 1089 SH SOLE 1089 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 242 717 SH DFND 1 717 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 423 1254 SH DFND 3 1254 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 5712 195880 SH DFND 1 195880 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 47 1623 SH DFND 3 1623 0 0