BARINGS LLC

Q1 2017 13F Holdings Report, Options Holdings

Signature - Title
Christina Coone - Head of Regulatory Solutions
Location
Charlotte, NC
Options holdings as of
March 31, 2017
Notional value $
$638M
Number of holdings
4
Date filed
5/15/2017, 05:18 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q4 2016 - Feb 15, 2017
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2017 Q1 compared to 2016 Q4 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Ann Malloy Director Boston, Massachusetts 5/15/2017

Barings LLC (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 this 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.

Other Included Managers (2):

Num Name Location File Number
1 Russell Investments Group 028-17598
2 Oppenheimer Funds 028-00203