BARINGS LLC

Q3 2017 13F Holdings Report, Options Holdings

Signature - Title
christina Coone - Head of Regulatory Solutions
Location
Charlotte, NC
Options holdings as of
September 30, 2017
Options notional value $
$2.13B
Number of options holdings
4
Date filed
11/9/2017, 06:17 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q2 2017 - Aug 15, 2017
Next filing
Q4 2017 - Feb 8, 2018
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2017 Q3 compared to 2017 Q2 - Restatement 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 11/9/2017

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 File Number
1 OppenheimerFunds, Inc. 028-00203
2 Russell Investments Group, Ltd. 028-17598