0000009015-21-000003.txt : 20210511 0000009015-21-000003.hdr.sgml : 20210511 20210511113015 ACCESSION NUMBER: 0000009015-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210511 DATE AS OF CHANGE: 20210511 EFFECTIVENESS DATE: 20210511 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: 21910246 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 03-31-2021 03-31-2021 BARINGS LLC

300 SOUTH TRYON STREET SUITE 2500 CHARLOTTE NC 28202

13F HOLDINGS REPORT 028-00060 N Christina Coone 0035314869717 Christina Coone Dublin L2 05-11-2021 4 720 4042094 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 20745 642256 SH DFND 1 642256 0 0 21VIANET GROUP INC SPONSORED ADS A 90138A103 1069 33096 SH DFND 3 33096 0 0 3M CO COM 88579Y101 351 1821 SH DFND 1 1821 0 0 3M CO COM 88579Y101 3415 17722 SH DFND 3 17722 0 0 ABBOTT LABS COM 002824100 549 4579 SH DFND 1 4579 0 0 ABBOTT LABS COM 002824100 1332 11115 SH DFND 3 11115 0 0 ABBVIE INC COM 00287Y109 352 3253 SH DFND 1 3253 0 0 ABBVIE INC COM 00287Y109 708 6541 SH DFND 3 6541 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 431 1559 SH DFND 1 1559 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1199 4342 SH DFND 3 4342 0 0 ADOBE SYSTEMS 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446150104 146 9290 SH DFND 3 9290 0 0 HUNTINGTON BANCSHARES INC COM 446150104 96 6130 SH SOLE 6130 0 0 IAA INC COM 449253103 243 4400 SH SOLE 4400 0 0 ICLICK INTERACTIVE ASIA GROU SPONSORED ADR 45113Y104 17597 1495045 SH DFND 1 1495045 0 0 IHS MARKIT LTD SHS G47567105 326 3370 SH DFND 3 3370 0 0 ILLINOIS TOOL WKS INC COM 452308109 186 841 SH DFND 3 841 0 0 ILLINOIS TOOL WKS INC COM 452308109 270 1218 SH SOLE 1218 0 0 INFOSYS LTD SPONSORED ADR 456788108 287 15336 SH SOLE 15336 0 0 INTEL CORP COM 458140100 430 6719 SH DFND 1 6719 0 0 INTEL CORP COM 458140100 827 12924 SH DFND 3 12924 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 268 2013 SH DFND 1 2013 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 771 5782 SH DFND 3 5782 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 9908 70967 SH DFND 3 70967 0 0 INTERNATIONAL PAPER CO COM 460146103 92 1710 SH DFND 3 1710 0 0 INTERNATIONAL PAPER CO COM 460146103 157 2899 SH SOLE 2899 0 0 INTERPUBLIC GROUP COS INC COM 460690100 217 7430 SH DFND 1 7430 0 0 INTERPUBLIC GROUP COS INC COM 460690100 237 8131 SH DFND 3 8131 0 0 INTUIT COM 461202103 419 1095 SH DFND 1 1095 0 0 INTUIT COM 461202103 1709 4461 SH DFND 3 4461 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 296 401 SH DFND 1 401 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 251 339 SH DFND 3 339 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 3857 174281 SH DFND 1 174281 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 17190 776771 SH DFND 4 776771 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 265740 832700 SH DFND 2 832700 0 0 IPG PHOTONICS CORP COM 44980X109 213 1008 SH SOLE 1008 0 0 IQVIA HLDGS INC COM 46266C105 1617 8372 SH SOLE 8372 0 0 ISHARES INC JP MRG EM CRP BD 464286251 5328 102520 SH DFND 4 102520 0 0 ISHARES INC JP MORGAN EM ETF 464286517 1745 40980 SH DFND 1 40980 0 0 ISHARES INC JP MORGAN EM ETF 464286517 2296 53916 SH DFND 4 53916 0 0 ISHARES INC MSCI HONG KG ETF 464286871 6862 258150 SH DFND 1 258150 0 0 ISHARES INC CORE MSCI EMKT 46434G103 517 8026 SH DFND 1 8026 0 0 ISHARES INC MSCI TAIWAN ETF 46434G772 1949 32500 SH DFND 1 32500 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 6303 91992 SH DFND 1 91992 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 14934 217950 SH DFND 4 217950 0 0 ISHARES TR TIPS BD ETF 464287176 7803 62177 SH DFND 1 62177 0 0 ISHARES TR TIPS BD ETF 464287176 14311 114033 SH DFND 4 114033 0 0 ISHARES TR CORE S&P500 ETF 464287200 7749 19478 SH DFND 1 19478 0 0 ISHARES TR CORE S&P500 ETF 464287200 542885 1364651 SH DFND 2 1364651 0 0 ISHARES TR CORE S&P500 ETF 464287200 13147 33047 SH DFND 4 33047 0 0 ISHARES TR IBOXX INV CP ETF 464287242 2569 19754 SH DFND 4 19754 0 0 ISHARES TR IBOXX INV CP ETF 464287242 16763 128900 SH SOLE 128900 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 2269 34842 SH DFND 1 34842 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 898 13792 SH DFND 4 13792 0 0 ISHARES TR S&P 500 VAL ETF 464287408 30396 215208 SH DFND 4 215208 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 3441 30470 SH DFND 1 30470 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 12646 111985 SH DFND 4 111985 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 104 1206 SH DFND 4 1206 0 0 ISHARES TR EXPANDED TECH 464287515 6617 19381 SH DFND 1 19381 0 0 ISHARES TR EXPANDED TECH 464287515 4052 11868 SH DFND 3 11868 0 0 ISHARES TR PHLX SEMICND ETF 464287523 21829 51485 SH DFND 1 51485 0 0 ISHARES TR PHLX SEMICND ETF 464287523 38165 90015 SH DFND 3 90015 0 0 ISHARES TR PHLX SEMICND ETF 464287523 7022 16562 SH DFND 4 16562 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 264043 877976 SH DFND 2 877976 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 15308 69285 SH DFND 1 69285 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 17342 78490 SH DFND 4 78490 0 0 ISHARES TR U.S. FINLS ETF 464287788 12831 171375 SH DFND 1 171375 0 0 ISHARES TR U.S. FINLS ETF 464287788 1735 23177 SH DFND 3 23177 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1761 14026 SH DFND 1 14026 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 1262 10051 SH DFND 3 10051 0 0 ISHARES TR EUROPE ETF 464287861 8458 168350 SH DFND 1 168350 0 0 ISHARES TR EUROPE ETF 464287861 19643 390987 SH DFND 4 390987 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 3904 42136 SH DFND 3 42136 0 0 ISHARES TR MSCI ACWI ETF 464288257 3040 31947 SH DFND 1 31947 0 0 ISHARES TR MSCI ACWI ETF 464288257 7368 77431 SH DFND 4 77431 0 0 ISHARES TR JPMORGAN USD EMG 464288281 3178 29186 SH DFND 3 29186 0 0 ISHARES TR IBOXX HI YD ETF 464288513 875 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 423 3900 SH SOLE 3900 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 410 7500 SH DFND 3 7500 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 109863 2009200 SH SOLE 2009200 0 0 ISHARES TR GLOBAL MATER ETF 464288695 5511 63508 SH DFND 1 63508 0 0 ISHARES TR GLOBAL MATER ETF 464288695 434 5000 SH DFND 3 5000 0 0 ISHARES TR GLOBAL MATER ETF 464288695 16381 188781 SH DFND 4 188781 0 0 ISHARES TR GLOB INDSTRL ETF 464288729 1176 10140 SH DFND 1 10140 0 0 ISHARES TR GLOB INDSTRL ETF 464288729 3281 28305 SH DFND 4 28305 0 0 ISHARES TR A RATE CP BD ETF 46429B291 7739 139625 SH DFND 1 139625 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 52354 1031000 SH SOLE 1031000 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 8809 83326 SH DFND 4 83326 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 1109 9107 SH DFND 4 9107 0 0 ISHARES TR MSCI USA VALUE 46432F388 37209 363155 SH DFND 1 363155 0 0 ISHARES TR MSCI USA VALUE 46432F388 9507 92785 SH DFND 3 92785 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 13268 289624 SH DFND 1 289624 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 1806 39415 SH DFND 4 39415 0 0 ISHARES TR CONV BD ETF 46435G102 4928 50177 SH DFND 1 50177 0 0 ISHARES TR CONV BD ETF 46435G102 2818 28693 SH DFND 3 28693 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 3755 87048 SH DFND 1 87048 0 0 ISHARES TR ROBOTICS ARTIF 46435U556 1568 36357 SH DFND 3 36357 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 3050 73092 SH DFND 1 73092 0 0 ISHARES U S ETF TR DISCRETIONARY 46431W663 3494 83737 SH DFND 3 83737 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 9903 1996581 SH DFND 3 1996581 0 0 J JILL INC COM 46620W201 172 17591 SH SOLE 17591 0 0 JD.COM INC SPON ADR CL A 47215P106 14617 173331 SH DFND 3 173331 0 0 JD.COM INC SPON ADR CL A 47215P106 253 3004 SH SOLE 3004 0 0 JOHNSON & JOHNSON COM 478160104 416 2530 SH DFND 1 2530 0 0 JOHNSON & JOHNSON COM 478160104 1262 7676 SH DFND 3 7676 0 0 JONES LANG LASALLE INC COM 48020Q107 825 4610 SH SOLE 4610 0 0 JPMORGAN CHASE & CO COM 46625H100 910 5979 SH DFND 1 5979 0 0 JPMORGAN CHASE & CO COM 46625H100 2411 15836 SH DFND 3 15836 0 0 JPMORGAN CHASE & CO COM 46625H100 2040 13400 SH SOLE 13400 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 256 1784 SH DFND 1 1784 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 273 1906 SH DFND 3 1906 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 167 1163 SH SOLE 1163 0 0 KINDER MORGAN INC DEL COM 49456B101 40 2430 SH DFND 3 2430 0 0 KINDER MORGAN INC DEL COM 49456B101 6290 377761 SH SOLE 377761 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 588 17409 SH SOLE 17409 0 0 KLA CORP COM NEW 482480100 117 354 SH DFND 3 354 0 0 KLA CORP COM NEW 482480100 268 810 SH SOLE 810 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 223 1102 SH DFND 1 1102 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 213 1053 SH DFND 3 1053 0 0 LAM RESEARCH CORP COM 512807108 426 715 SH DFND 1 715 0 0 LAM RESEARCH CORP COM 512807108 515 866 SH DFND 3 866 0 0 LAMB WESTON HLDGS INC COM 513272104 1020 13165 SH DFND 3 13165 0 0 LAMB WESTON HLDGS INC COM 513272104 225 2900 SH SOLE 2900 0 0 LAUDER ESTEE COS INC CL A 518439104 213 731 SH DFND 1 731 0 0 LAUDER ESTEE COS INC CL A 518439104 153 525 SH DFND 3 525 0 0 LEAR CORP COM NEW 521865204 378 2083 SH SOLE 2083 0 0 LI AUTO INC SPONSORED ADS 50202M102 41812 1672476 SH DFND 1 1672476 0 0 LI AUTO INC SPONSORED ADS 50202M102 6141 245638 SH DFND 3 245638 0 0 LI AUTO INC SPONSORED ADS 50202M102 107 4297 SH SOLE 4297 0 0 LIBERTY LATIN AMERICA LTD COM CL A G9001E102 172 13400 SH SOLE 13400 0 0 LILLY ELI & CO COM 532457108 345 1847 SH DFND 1 1847 0 0 LILLY ELI & CO COM 532457108 601 3217 SH DFND 3 3217 0 0 LINCOLN NATL CORP IND COM 534187109 190 3059 SH DFND 1 3059 0 0 LINCOLN NATL CORP IND COM 534187109 427 6857 SH DFND 3 6857 0 0 LINCOLN NATL CORP IND COM 534187109 95 1530 SH SOLE 1530 0 0 LINDE PLC SHS G5494J103 196 698 SH DFND 1 698 0 0 LINDE PLC SHS G5494J103 14336 51173 SH DFND 3 51173 0 0 LOCKHEED MARTIN CORP COM 539830109 557 1507 SH DFND 3 1507 0 0 LOWES COS INC COM 548661107 392 2062 SH DFND 1 2062 0 0 LOWES COS INC COM 548661107 632 3322 SH DFND 3 3322 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 6838 65716 SH DFND 3 65716 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 415 3993 SH SOLE 3993 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 3328 76752 SH SOLE 76752 0 0 MARATHON PETE CORP COM 56585A102 131 2456 SH DFND 1 2456 0 0 MARATHON PETE CORP COM 56585A102 182 3398 SH DFND 3 3398 0 0 MARRIOTT INTL INC NEW CL A 571903202 216 1457 SH DFND 1 1457 0 0 MARRIOTT INTL INC NEW CL A 571903202 153 1030 SH DFND 3 1030 0 0 MARTIN MARIETTA MATLS INC COM 573284106 178 531 SH DFND 1 531 0 0 MARTIN MARIETTA MATLS INC COM 573284106 128 380 SH DFND 3 380 0 0 MASTERCARD INCORPORATED CL A 57636Q104 681 1912 SH DFND 1 1912 0 0 MASTERCARD INCORPORATED CL A 57636Q104 3377 9484 SH DFND 3 9484 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 75 825 SH DFND 3 825 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 125 1366 SH SOLE 1366 0 0 MCDONALDS CORP COM 580135101 61 272 SH DFND 1 272 0 0 MCDONALDS CORP COM 580135101 3739 16683 SH DFND 3 16683 0 0 MEDTRONIC PLC SHS G5960L103 417 3532 SH DFND 1 3532 0 0 MEDTRONIC PLC SHS G5960L103 670 5668 SH DFND 3 5668 0 0 MERCK & CO. INC COM 58933Y105 338 4386 SH DFND 1 4386 0 0 MERCK & CO. INC COM 58933Y105 1048 13595 SH DFND 3 13595 0 0 METLIFE INC COM 59156R108 137 2252 SH DFND 3 2252 0 0 METLIFE INC COM 59156R108 588 9677 SH SOLE 9677 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 97 84 SH DFND 3 84 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 289 250 SH SOLE 250 0 0 MICROCHIP TECHNOLOGY INC. COM 595017104 220 1418 SH SOLE 1418 0 0 MICRON TECHNOLOGY INC COM 595112103 809 9166 SH DFND 1 9166 0 0 MICRON TECHNOLOGY INC COM 595112103 1052 11922 SH DFND 3 11922 0 0 MICRON TECHNOLOGY INC COM 595112103 717 8123 SH SOLE 8123 0 0 MICROSOFT CORP COM 594918104 4209 17851 SH DFND 1 17851 0 0 MICROSOFT CORP COM 594918104 9185 38958 SH DFND 3 38958 0 0 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 8705 1043751 SH DFND 3 1043751 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 213 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 394 5072 SH DFND 1 5072 0 0 MORGAN STANLEY COM NEW 617446448 481 6193 SH DFND 3 6193 0 0 MORGAN STANLEY COM NEW 617446448 1539 19815 SH SOLE 19815 0 0 MOSAIC CO NEW COM 61945C103 3451 109174 SH DFND 3 109174 0 0 MOSAIC CO NEW COM 61945C103 66 2080 SH SOLE 2080 0 0 MPLX LP COM UNIT REP LTD 55336V100 9170 357794 SH SOLE 357794 0 0 NATURA &CO HLDG S A ADS 63884N108 4910 288982 SH DFND 3 288982 0 0 NETAPP INC COM 64110D104 215 2960 SH DFND 1 2960 0 0 NETAPP INC COM 64110D104 151 2077 SH DFND 3 2077 0 0 NETAPP INC COM 64110D104 283 3891 SH SOLE 3891 0 0 NETEASE INC SPONSORED ADS 64110W102 9782 94735 SH DFND 3 94735 0 0 NETEASE INC SPONSORED ADS 64110W102 158 1528 SH SOLE 1528 0 0 NETFLIX INC COM 64110L106 1070 2051 SH DFND 1 2051 0 0 NETFLIX INC COM 64110L106 1163 2230 SH DFND 3 2230 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 33069 2362100 SH DFND 1 2362100 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 6778 484150 SH DFND 3 484150 0 0 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 110 7860 SH SOLE 7860 0 0 NEXTERA ENERGY INC COM 65339F101 181 2399 SH DFND 1 2399 0 0 NEXTERA ENERGY INC COM 65339F101 520 6883 SH DFND 3 6883 0 0 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 64 31200 SH SOLE 31200 0 0 NIKE INC CL B 654106103 157 1183 SH DFND 1 1183 0 0 NIKE INC CL B 654106103 1470 11063 SH DFND 3 11063 0 0 NOBLE MIDSTREAM PARTNERS LP COM UNIT REPST 65506L105 1358 93625 SH SOLE 93625 0 0 NORFOLK SOUTHN CORP COM 655844108 354 1317 SH DFND 1 1317 0 0 NORFOLK SOUTHN CORP COM 655844108 383 1426 SH DFND 3 1426 0 0 NORFOLK SOUTHN CORP COM 655844108 309 1151 SH SOLE 1151 0 0 NORTHROP GRUMMAN CORP COM 666807102 211 653 SH DFND 1 653 0 0 NORTHROP GRUMMAN CORP COM 666807102 187 577 SH DFND 3 577 0 0 NUCOR CORP COM 670346105 237 2949 SH DFND 1 2949 0 0 NUCOR CORP COM 670346105 251 3124 SH DFND 3 3124 0 0 NUCOR CORP COM 670346105 1739 21669 SH SOLE 21669 0 0 NUTRIEN LTD COM 67077M108 4985 92512 SH DFND 3 92512 0 0 NUTRIEN LTD COM 67077M108 30797 571472 SH DFND _ 571472 0 0 NVENT ELECTRIC PLC SHS G6700G107 321 11500 SH SOLE 11500 0 0 NVIDIA CORPORATION COM 67066G104 1464 2742 SH DFND 1 2742 0 0 NVIDIA CORPORATION COM 67066G104 1403 2627 SH DFND 3 2627 0 0 NXP SEMICONDUCTORS N V COM N6596X109 112 554 SH DFND 1 554 0 0 NXP SEMICONDUCTORS N V COM N6596X109 212 1055 SH DFND 3 1055 0 0 OMNICOM GROUP INC COM 681919106 173 2327 SH DFND 1 2327 0 0 OMNICOM GROUP INC COM 681919106 125 1689 SH DFND 3 1689 0 0 ONEOK INC NEW COM 682680103 665 13117 SH SOLE 13117 0 0 ORACLE CORP COM 68389X105 240 3416 SH DFND 1 3416 0 0 ORACLE CORP COM 68389X105 737 10499 SH DFND 3 10499 0 0 OTIS WORLDWIDE CORP COM 68902V107 242 3530 SH DFND 3 3530 0 0 OTIS WORLDWIDE CORP COM 68902V107 643 9400 SH SOLE 9400 0 0 PACKAGING CORP AMER COM 695156109 214 1593 SH DFND 1 1593 0 0 PACKAGING CORP AMER COM 695156109 157 1169 SH DFND 3 1169 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 1984 42850 SH DFND 3 42850 0 0 PARK HOTELS & RESORTS INC COM 700517105 209 9700 SH SOLE 9700 0 0 PARKER-HANNIFIN CORP COM 701094104 111 352 SH DFND 3 352 0 0 PARKER-HANNIFIN CORP COM 701094104 454 1438 SH SOLE 1438 0 0 PAYCHEX INC COM 704326107 387 3950 SH SOLE 3950 0 0 PAYPAL HLDGS INC COM 70450Y103 1326 5461 SH DFND 1 5461 0 0 PAYPAL HLDGS INC COM 70450Y103 3036 12503 SH DFND 3 12503 0 0 PENN NATL GAMING INC COM 707569109 545 5200 SH SOLE 5200 0 0 PEPSICO INC COM 713448108 246 1740 SH DFND 1 1740 0 0 PEPSICO INC COM 713448108 1723 12178 SH DFND 3 12178 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 3796 444443 SH DFND 3 444443 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1441 169939 SH DFND 3 169939 0 0 PFIZER INC COM 717081103 389 10728 SH DFND 1 10728 0 0 PFIZER INC COM 717081103 1021 28169 SH DFND 3 28169 0 0 PHILIP MORRIS INTL INC COM 718172109 276 3107 SH DFND 1 3107 0 0 PHILIP MORRIS INTL INC COM 718172109 316 3566 SH DFND 3 3566 0 0 PHILLIPS 66 PARTNERS LP COM UNIT REP INT 718549207 6431 203054 SH SOLE 203054 0 0 PINDUODUO INC SPONSORED ADS 722304102 64494 481730 SH DFND 1 481730 0 0 PINDUODUO INC SPONSORED ADS 722304102 78 585 SH DFND 3 585 0 0 PIONEER NAT RES CO COM 723787107 439 2762 SH SOLE 2762 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 4071 447309 SH SOLE 447309 0 0 PNC FINL SVCS GROUP INC COM 693475105 190 1086 SH DFND 3 1086 0 0 PNC FINL SVCS GROUP INC COM 693475105 438 2496 SH SOLE 2496 0 0 POSCO SPONSORED ADR 693483109 1084 15013 SH SOLE 15013 0 0 PPG INDS INC COM 693506107 6644 44218 SH DFND 3 44218 0 0 PRICE T ROWE GROUP INC COM 74144T108 251 1464 SH DFND 1 1464 0 0 PRICE T ROWE GROUP INC COM 74144T108 260 1514 SH DFND 3 1514 0 0 PRICE T ROWE GROUP INC COM 74144T108 328 1909 SH SOLE 1909 0 0 PROCTER AND GAMBLE CO COM 742718109 399 2946 SH DFND 1 2946 0 0 PROCTER AND GAMBLE CO COM 742718109 630 4652 SH DFND 3 4652 0 0 PROLOGIS INC. COM 74340W103 222 2091 SH DFND 1 2091 0 0 PROLOGIS INC. COM 74340W103 440 4152 SH DFND 3 4152 0 0 PROLOGIS INC. COM 74340W103 148 1400 SH SOLE 1400 0 0 PRUDENTIAL FINL INC COM 744320102 119 1308 SH DFND 3 1308 0 0 PRUDENTIAL FINL INC COM 744320102 330 3621 SH SOLE 3621 0 0 QUALCOMM INC COM 747525103 420 3171 SH DFND 1 3171 0 0 QUALCOMM INC COM 747525103 976 7358 SH DFND 3 7358 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 364 4713 SH DFND 1 4713 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1077 13938 SH DFND 3 13938 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 358 4630 SH SOLE 4630 0 0 REGENERON PHARMACEUTICALS COM 75886F107 161 340 SH DFND 1 340 0 0 REGENERON PHARMACEUTICALS COM 75886F107 162 343 SH DFND 3 343 0 0 REPUBLIC SVCS INC COM 760759100 225 2269 SH DFND 3 2269 0 0 RIO TINTO PLC SPONSORED ADR 767204100 1297 16701 SH SOLE 16701 0 0 ROBERT HALF INTL INC COM 770323103 349 4473 SH DFND 3 4473 0 0 ROPER TECHNOLOGIES INC COM 776696106 282 699 SH DFND 1 699 0 0 ROPER TECHNOLOGIES INC COM 776696106 220 546 SH DFND 3 546 0 0 ROSS STORES INC COM 778296103 249 2075 SH DFND 1 2075 0 0 ROSS STORES INC COM 778296103 230 1916 SH DFND 3 1916 0 0 S&P GLOBAL INC COM 78409V104 240 681 SH DFND 3 681 0 0 SALESFORCE COM INC COM 79466L302 1031 4867 SH DFND 1 4867 0 0 SALESFORCE COM INC COM 79466L302 947 4468 SH DFND 3 4468 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 156 563 SH DFND 1 563 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 114 411 SH DFND 3 411 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 83 300 SH SOLE 300 0 0 SCHLUMBERGER LTD COM 806857108 737 27092 SH DFND 3 27092 0 0 SCHWAB CHARLES CORP COM 808513105 283 4342 SH DFND 1 4342 0 0 SCHWAB CHARLES CORP COM 808513105 331 5078 SH DFND 3 5078 0 0 SCHWAB CHARLES CORP COM 808513105 796 12219 SH SOLE 12219 0 0 SEA LTD SPONSORD ADS 81141R100 58320 261255 SH DFND 1 261255 0 0 SEA LTD SPONSORD ADS 81141R100 1197 5364 SH DFND 3 5364 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 331 4317 SH DFND 3 4317 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1569 9336 SH DFND 4 9336 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 507 14892 SH DFND 4 14892 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 129 971 SH DFND 4 971 0 0 SERVICENOW INC COM 81762P102 268 536 SH DFND 1 536 0 0 SERVICENOW INC COM 81762P102 692 1384 SH DFND 3 1384 0 0 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 2755 206542 SH SOLE 206542 0 0 SHERWIN WILLIAMS CO COM 824348106 7554 10236 SH DFND 3 10236 0 0 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 733 41067 SH SOLE 41067 0 0 SILVERCORP METALS INC COM 82835P103 228 46504 SH SOLE 46504 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 253 1381 SH SOLE 1381 0 0 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 4702 88603 SH DFND 3 88603 0 0 SOUTHWESTERN ENERGY CO COM 845467109 2304 495495 SH SOLE 495495 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 3920 47035 SH DFND 1 47035 0 0 SPDR SER TR BLMBRG BRC CNVRT 78464A359 14844 178097 SH DFND 4 178097 0 0 SQUARE INC CL A 852234103 220 969 SH DFND 3 969 0 0 STANLEY BLACK & DECKER INC COM 854502101 1114 5579 SH DFND 3 5579 0 0 STANLEY BLACK & DECKER INC COM 854502101 162 809 SH SOLE 809 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 183 17318 SH SOLE 17318 0 0 STARBUCKS CORP COM 855244109 397 3636 SH DFND 1 3636 0 0 STARBUCKS CORP COM 855244109 895 8191 SH DFND 3 8191 0 0 STATE STR CORP COM 857477103 119 1415 SH DFND 3 1415 0 0 STATE STR CORP COM 857477103 204 2428 SH SOLE 2428 0 0 STEEL DYNAMICS INC COM 858119100 60 1177 SH DFND 3 1177 0 0 STEEL DYNAMICS INC COM 858119100 483 9518 SH SOLE 9518 0 0 STERIS PLC SHS USD G8473T100 236 1239 SH DFND 3 1239 0 0 STRYKER CORPORATION COM 863667101 296 1216 SH DFND 1 1216 0 0 STRYKER CORPORATION COM 863667101 1732 7111 SH DFND 3 7111 0 0 SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD 866142409 839 35590 SH SOLE 35590 0 0 SUNCOR ENERGY INC NEW COM 867224107 1244 59506 SH DFND 3 59506 0 0 SUNCOR ENERGY INC NEW COM 867224107 23564 1127484 SH DFND _ 1127484 0 0 SYNCHRONY FINANCIAL COM 87165B103 105 2571 SH DFND 1 2571 0 0 SYNCHRONY FINANCIAL COM 87165B103 195 4785 SH DFND 3 4785 0 0 SYNCHRONY FINANCIAL COM 87165B103 83 2038 SH SOLE 2038 0 0 SYNOPSYS INC COM 871607107 313 1264 SH DFND 1 1264 0 0 SYNOPSYS INC COM 871607107 1023 4128 SH DFND 3 4128 0 0 SYSCO CORP COM 871829107 109 1380 SH DFND 1 1380 0 0 SYSCO CORP COM 871829107 145 1839 SH DFND 3 1839 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 70370 594944 SH DFND 3 594944 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1177 6660 SH DFND 3 6660 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 34660 643641 SH DFND 1 643641 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 51 940 SH DFND 3 940 0 0 TARGA RES CORP COM 87612G101 1943 61196 SH SOLE 61196 0 0 TARGET CORP COM 87612E106 280 1416 SH DFND 1 1416 0 0 TARGET CORP COM 87612E106 262 1325 SH DFND 3 1325 0 0 TC ENERGY CORP COM 87807B107 18494 404236 SH SOLE 404236 0 0 TE CONNECTIVITY LTD REG SHS H84989104 344 2662 SH DFND 3 2662 0 0 TELEFONICA BRASIL SA NEW ADR 87936R205 2831 359726 SH DFND 3 359726 0 0 TESLA INC COM 88160R101 882 1320 SH DFND 1 1320 0 0 TESLA INC COM 88160R101 1976 2958 SH DFND 3 2958 0 0 TEXAS INSTRS INC COM 882508104 414 2188 SH DFND 1 2188 0 0 TEXAS INSTRS INC COM 882508104 889 4705 SH DFND 3 4705 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 395 865 SH DFND 1 865 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1537 3368 SH DFND 3 3368 0 0 THOR INDS INC COM 885160101 225 1669 SH SOLE 1669 0 0 TJX COS INC NEW COM 872540109 304 4597 SH DFND 1 4597 0 0 TJX COS INC NEW COM 872540109 3355 50721 SH DFND 3 50721 0 0 T-MOBILE US INC COM 872590104 107 851 SH DFND 1 851 0 0 T-MOBILE US INC COM 872590104 181 1441 SH DFND 3 1441 0 0 TRANSDIGM GROUP INC COM 893641100 186 317 SH DFND 1 317 0 0 TRANSDIGM GROUP INC COM 893641100 149 253 SH DFND 3 253 0 0 TRIMBLE INC COM 896239100 78 999 SH DFND 3 999 0 0 TRIMBLE INC COM 896239100 184 2370 SH SOLE 2370 0 0 TRIP COM GROUP LTD ADS 89677Q107 470 11853 SH DFND 1 11853 0 0 TRIP COM GROUP LTD ADS 89677Q107 62 1574 SH DFND 3 1574 0 0 TRUIST FINL CORP COM 89832Q109 286 4903 SH DFND 1 4903 0 0 TRUIST FINL CORP COM 89832Q109 420 7206 SH DFND 3 7206 0 0 TRUIST FINL CORP COM 89832Q109 486 8334 SH SOLE 8334 0 0 TUYA INC SPONSERED ADS 90114C107 20002 946187 SH DFND 1 946187 0 0 TYSON FOODS INC CL A 902494103 1362 18331 SH DFND 3 18331 0 0 UNION PAC CORP COM 907818108 385 1749 SH DFND 1 1749 0 0 UNION PAC CORP COM 907818108 985 4469 SH DFND 3 4469 0 0 UNITED PARCEL SERVICE INC CL B 911312106 303 1780 SH DFND 1 1780 0 0 UNITED PARCEL SERVICE INC CL B 911312106 786 4624 SH DFND 3 4624 0 0 UNITED RENTALS INC COM 911363109 245 745 SH SOLE 745 0 0 UNITEDHEALTH GROUP INC COM 91324P102 671 1804 SH DFND 1 1804 0 0 UNITEDHEALTH GROUP INC COM 91324P102 6092 16374 SH DFND 3 16374 0 0 US BANCORP DEL COM NEW 902973304 307 5559 SH DFND 1 5559 0 0 US BANCORP DEL COM NEW 902973304 396 7154 SH DFND 3 7154 0 0 US BANCORP DEL COM NEW 902973304 225 4061 SH SOLE 4061 0 0 V F CORP COM 918204108 42 530 SH DFND 3 530 0 0 V F CORP COM 918204108 220 2758 SH SOLE 2758 0 0 VALE S A SPONSORED ADS 91912E105 2123 122159 SH SOLE 122159 0 0 VALERO ENERGY CORP COM 91913Y100 7165 100076 SH DFND 3 100076 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 928 30240 SH DFND 4 30240 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 11606 88287 SH DFND 1 88287 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 8637 65698 SH DFND 4 65698 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 5001 23359 SH DFND 4 23359 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 2487 39478 SH DFND 4 39478 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4966 60198 SH DFND 1 60198 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4820 58426 SH DFND 4 58426 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 99421 1205109 SH SOLE 1205109 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 4728 32147 SH DFND 1 32147 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 3494 11830 SH DFND 1 11830 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 9556 32350 SH DFND 4 32350 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 1455 17220 SH DFND 1 17220 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 2895 34255 SH DFND 4 34255 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 3667 10230 SH DFND 1 10230 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 1075 3000 SH DFND 3 3000 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 10165 28356 SH DFND 4 28356 0 0 VARIAN MED SYS INC COM 92220P105 296 1677 SH SOLE 1677 0 0 VERISK ANALYTICS INC COM 92345Y106 229 1295 SH DFND 1 1295 0 0 VERISK ANALYTICS INC COM 92345Y106 191 1082 SH DFND 3 1082 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 634 10900 SH DFND 1 10900 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1308 22499 SH DFND 3 22499 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 187 871 SH DFND 1 871 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1059 4926 SH DFND 3 4926 0 0 VISA INC COM CL A 92826C839 1471 6947 SH DFND 1 6947 0 0 VISA INC COM CL A 92826C839 2610 12326 SH DFND 3 12326 0 0 VOYA FINANCIAL INC COM 929089100 197 3101 SH DFND 3 3101 0 0 VOYA FINANCIAL INC COM 929089100 31 483 SH SOLE 483 0 0 VULCAN MATLS CO COM 929160109 5142 30473 SH DFND 3 30473 0 0 WALMART INC COM 931142103 205 1512 SH DFND 1 1512 0 0 WALMART INC COM 931142103 411 3028 SH DFND 3 3028 0 0 WASTE MGMT INC DEL COM 94106L109 359 2783 SH DFND 3 2783 0 0 WELLS FARGO CO NEW COM 949746101 319 8163 SH DFND 1 8163 0 0 WELLS FARGO CO NEW COM 949746101 671 17184 SH DFND 3 17184 0 0 WELLS FARGO CO NEW COM 949746101 1020 26106 SH SOLE 26106 0 0 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 12858 691660 SH SOLE 691660 0 0 WEX INC COM 96208T104 208 996 SH SOLE 996 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 1429 40132 SH DFND 3 40132 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 220 6180 SH SOLE 6180 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 251 6574 SH SOLE 6574 0 0 WILLIAMS COS INC COM 969457100 45 1886 SH DFND 3 1886 0 0 WILLIAMS COS INC COM 969457100 4333 182894 SH SOLE 182894 0 0 WYNDHAM HOTELS & RESORTS INC COM 98311A105 237 3400 SH SOLE 3400 0 0 XPENG INC ADS 98422D105 23309 638424 SH DFND 1 638424 0 0 YANDEX N V SHS CLASS A N97284108 89004 1389381 SH DFND 3 1389381 0 0 YATSEN HLDG LTD ADS 985194109 17845 1444900 SH DFND 1 1444900 0 0 YUM CHINA HLDGS INC COM 98850P109 12138 205002 SH DFND 3 205002 0 0 YUM CHINA HLDGS INC COM 98850P109 190 3206 SH SOLE 3206 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 371 764 SH SOLE 764 0 0 ZHIHU INC ADS 98955N108 30177 3720904 SH DFND 1 3720904 0 0 ZOETIS INC CL A 98978V103 1116 7087 SH DFND 3 7087 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 193 600 SH DFND 1 600 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 403 1254 SH DFND 3 1254 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 5396 185097 SH DFND 1 185097 0 0 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 47 1623 SH DFND 3 1623 0 0 BARINGS PARTN INVS TRUST COM 05616B100 1853 143404 SH SOLE 143404 0 0 BARINGS CORPORATE INVS COM 05617K109 3060 219664 SH SOLE 219664 0 0 BARINGS BDC, INC. COM 06759L103 136124 13639681 SH SOLE 13639681 0 0 BARINGS GLOBAL SHORT DURATION COM 06760L100 157 9767 SH SOLE 9767 0 0