BARINGS LLC

Q4 2017 13F Holdings Report, Options Holdings

Signature - Title
Christina Coone - Head of Regulatory Solutions
Location
Charlotte, NC
Options holdings as of
December 31, 2017
Notional value $
$2.45B
Number of holdings
4
Date filed
2/8/2018, 12:04 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q3 2017 - Nov 13, 2017
Next filing
Q1 2018 - May 4, 2018
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2017 Q4 compared to 2017 Q3 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
Annie Malloy Compliance Boston, Massachusetts 2/8/2018

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 (5):

Num Name Location File Number
1 BARING ASSET MANAGEMENT Ltd London, United Kingdom 028-16289
2 BARING ASSET MANAGEMENT (ASIA) Ltd Hong Kong, China 028-16290
3 Baring International Investment Ltd London, United Kingdom 028-15112
11 OppenheimerFunds, Inc. 028-00203
12 Russell Investments Group, Ltd. 028-17598