- AEE Dashboard
- Financials
- Filings
-
Holdings
- Transcripts
- ETFs
- Insider
- Institutional
- Shorts
-
11-K/A Filing
Ameren (AEE) 11-K/AAnnual report of employee stock purchases (amended)
Filed: 27 Oct 23, 5:26pm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 11-K/A
Amendment No. 1
☒ | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2018
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
COMMISSION FILE NUMBER 1-14756
A. | Full title of the plan and the address of the plan, if different from that of the issuer named below: |
AMEREN CORPORATION
SAVINGS INVESTMENT PLAN
B. | Name of issuer of securities held pursuant to the plan and the address of its principal executive office: |
Ameren Corporation
1901 Chouteau Avenue
St. Louis, Missouri 63103
EXPLANATORY NOTE
This Amendment No. 1 on Form 11-K/A (the “Amendment”) is being filed by the Ameren Corporation Savings Investment Plan (the “Plan”) to amend its Annual Report on Form 11-K for the fiscal year ended December 31, 2018, as filed with the U.S. Securities and Exchange Commission on June 21, 2019 (the “Original Filing”). The sole purpose of this Amendment is to include Schedule G Part III - Nonexempt Transactions and update the Report of Independent Registered Public Accounting Firm dated June 21, 2019. The Report of Independent Registered Public Accounting Firm included in the Amendment is dated June 21, 2019, except for Schedule G, as to which the date is October 27, 2023. Other than the revisions to Schedule G Part III and the Report of Independent Registered Public Accounting Firm, no other items included in the Original Filing, including financial statements and footnotes, have been amended. Further, the Amendment does not purport to provide an update or a discussion of any other developments with respect to the Plan subsequent to the filing date of the Original Filing.
Ameren Corporation Savings Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2018 and 2017
Index
1-2 | ||||
Financial Statements | ||||
3 | ||||
4 | ||||
5-15 | ||||
Supplemental Schedules* | ||||
1 | ||||
Schedule H, Line 4i - Schedule of Assets (Held at End of Year) | 1-12 |
* | Other schedules required by 29 CFR 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 (“ERISA”), as amended, have been omitted because they are not applicable. |
![]() | Crowe LLP Independent Member Crowe Global | |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Plan Participants and Plan Administrator of the Ameren Corporation Savings Investment Plan
St. Louis, Missouri
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of Ameren Corporation Savings Investment Plan (the “Plan”) as of December 31, 2018 and 2017, the related statements of changes in net assets available for benefits for the years then ended, and the related notes (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2018 and 2017, and the changes in net assets available for benefits for the years then ended, in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion
These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (“PCAOB”) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting in accordance with the standards of the PCAOB. As part of our audits we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion in accordance with the standards of the PCAOB.
Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
1
Supplemental Information
The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2018 and Schedule G, Part III – Schedule of Nonexempt Transactions for the year ended December 31, 2018 have been subjected to audit procedures performed in conjunction with the audit of Ameren Corporation Savings Investment Plan’s financial statements. The supplemental schedules are the responsibility of the Plan’s management. Our audit procedures included determining whether the information presented in the supplemental schedules reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedules. In forming our opinion on the supplemental schedules, we evaluated whether the supplemental schedules, including their form and content, are presented in conformity with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedules are fairly stated in all material respects in relation to the financial statements as a whole.
/s/ Crowe LLP
Crowe LLP
We have served as the Plan’s auditor since 2014.
Oak Brook, Illinois
June 21, 2019, except for supplemental Schedule G, Part III - Schedule of Nonexempt Transactions, as to which the date is October 27, 2023.
2
Savings Investment Plan
Statements of Net Assets Available for Benefits
December 31, 2018 and 2017
2018 | 2017 | |||||||
Assets | ||||||||
Investments, at fair value | $ | 1,970,933,349 | $ | 2,103,516,154 | ||||
Investments, at contract value | 282,384,897 | 281,815,710 | ||||||
|
|
|
| |||||
Total investments | 2,253,318,246 | 2,385,331,864 | ||||||
|
|
|
| |||||
Cash | 1,080,838 | 3,324,143 | ||||||
Receivables | ||||||||
Notes receivable from participants | 35,198,455 | 35,190,999 | ||||||
Participant contributions | 1,272,482 | 519,393 | ||||||
Employer contributions | 398,933 | 158,771 | ||||||
Dividends and interest | 669,912 | 515,423 | ||||||
Due from brokers for securities sold | 10,024,762 | 28,383,718 | ||||||
|
|
|
| |||||
Total receivables | 47,564,544 | 64,768,304 | ||||||
|
|
|
| |||||
Total assets | 2,301,963,628 | 2,453,424,311 | ||||||
|
|
|
| |||||
Liabilities | ||||||||
Accrued expenses | 1,184,287 | 581,193 | ||||||
Due to brokers for securities purchased | 11,350,970 | 35,116,737 | ||||||
|
|
|
| |||||
Total liabilities | 12,535,257 | 35,697,930 | ||||||
|
|
|
| |||||
Net assets available for benefits | $ | 2,289,428,371 | $ | 2,417,726,381 | ||||
|
|
|
|
The accompanying notes are an integral part of these financial statements.
3
Savings Investment Plan
Statements of Changes in Net Assets Available for Benefits
Years Ended December 31, 2018 and 2017
2018 | 2017 | |||||||
Additions: | ||||||||
Investment income | ||||||||
Interest and dividends | $ | 31,859,694 | $ | 31,373,733 | ||||
Net appreciation / (depreciation) in fair value of investments | (105,760,604 | ) | 310,691,227 | |||||
|
|
|
| |||||
Total investment income / (loss) | (73,900,910 | ) | 342,064,960 | |||||
|
|
|
| |||||
Interest on notes receivable from participants | 1,636,381 | 1,462,340 | ||||||
Participant contributions | 96,904,377 | 85,553,891 | ||||||
Employer contributions | 32,747,626 | 30,195,212 | ||||||
|
|
|
| |||||
Total additions | 57,387,474 | 459,276,403 | ||||||
|
|
|
| |||||
Deductions: | ||||||||
Benefits paid to participants | 181,663,074 | 162,432,457 | ||||||
Administrative expenses | 4,022,410 | 3,735,821 | ||||||
|
|
|
| |||||
Total deductions | 185,685,484 | 166,168,278 | ||||||
|
|
|
| |||||
Net increase / (decrease) | (128,298,010 | ) | 293,108,125 | |||||
Net assets available for benefits | ||||||||
Beginning of year | 2,417,726,381 | 2,124,618,256 | ||||||
|
|
|
| |||||
End of year | $ | 2,289,428,371 | $ | 2,417,726,381 | ||||
|
|
|
|
The accompanying notes are an integral part of these financial statements.
4
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
1. | Description of the Plan |
General
The following is a summary of the various provisions of the Ameren Corporation Savings Investment Plan (the “Plan”). Participants should refer to the Summary Plan Document for more complete information.
The Plan is a defined contribution plan. Its purpose is to provide employees eligible to participate (the “Participants”) of Ameren Corporation (the “Company”) and its wholly owned subsidiaries the opportunity to defer a portion of their compensation for federal income tax purposes in accordance with Section 401(k) of the Internal Revenue Code (the “Code”). The Plan is subject to certain provisions of the Employee Retirement Income Security Act of 1974 (“ERISA”), as amended, and regulations of the Securities and Exchange Commission.
The Company serves as sponsor of the Plan, and, consequently, has the authority to amend or terminate the Plan subject to certain restrictions. The Ameren Administrative Committee has the authority and responsibility for the general administration of the Plan. Fidelity Management Trust Company, as Trustee, has the authority and responsibility to hold and protect the assets of the Plan in accordance with Plan provisions and with the Trust and Administrative Agreement.
Participation
All regular full-time employees are eligible to participate upon employment, and part-time or temporary employees are eligible to participate upon completion of a year of service of at least 1,000 hours. Employees covered by a collective bargaining agreement (“CBA”) are eligible to participate only if the CBA provides for such participation.
If employees do not make an election, nor opt-out within 30 days of employment; they are automatically enrolled at a 6% pre-tax contribution rate, invested in a Target Date fund based upon the date at which the participant is or will be age 65, and further enrolled in auto-escalation increasing their pre-tax contribution 1% annually, with no cap on the annual increases. Employees may opt-out or make alternative elections at any time.
Contributions
Each year, Participants may contribute up to 100% of eligible compensation, as defined in the Plan, and subject to annual limitations imposed by the Code.
The Company makes an Employer Basic Matching Contribution plus an Employer Additional Matching Contribution in an amount equal to a percent of the amount each Participant contributes to the Plan, up to a certain maximum percentage of the Participant’s compensation that he or she elects to contribute to the Plan each year. The amount of Company matching contribution depends on the Participant’s employment classification, and for contract employees is determined by the collective bargaining agreement with the specific union representing the Participants. The Company also makes true-up Employer Basic Matching Contributions for Participants who contribute the IRS maximum before the end of the year and, as a result, do not receive the full company match. The Employer Additional Matching Contributions are invested in the Ameren Stock Fund.
5
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
The Plan permits “catch-up” contributions for all employees age 50 and older. Eligible employees could contribute $6,000 in 2018 and 2017, as a “catch-up” contribution. The Company does not match “catch-up” contributions.
Participants direct the investment of their contributions and the Employer Basic Matching Contributions to his or her account to any of the investment options available under the Plan, including Company stock. Contributions may be allocated to a single investment option or allocated in increments of one percent to any combination of investment options. Such elections may be changed daily. Although the Employer Additional Matching Contributions are invested in the Ameren Stock Fund, they may be immediately reallocated to other funds at the participants’ discretion.
Earnings derived from the assets of any investment fund are reinvested in the fund to which they relate. Participants may elect daily to reallocate, by actual dollar or percentage in one percent increments, the value of their accounts between funds. Pending investment of the assets into any investment fund, the Trustee may temporarily make certain short-term investments.
Participant Accounts
Each Participant’s account is credited with the Participant’s contributions and an allocation of (a) the Company’s contributions, and (b) Plan earnings, and is charged with an allocation of administrative expenses. Allocations are based on Participant contributions, eligible compensation, Participant account balances, or specific Participant transactions, as defined. The benefit to which the Participant is entitled is the benefit which can be provided from the Participant’s account. Each Participant directs the investment of his or her account to any of the investment options available under the Plan.
Notes Receivable from Participants
The Plan permits Participants to borrow from their accounts within the Plan. Such borrowings may be made subject to the following: (1) the minimum amount of the loan is $1,000, (2) the amount of the loan may not exceed the lesser of $50,000 or 50% of the vested amount in the Participant’s account, (3) the loan will bear a fixed interest rate and repayments will be made through mutual agreement subject to certain statutory repayment time limits, (4) each loan shall bear a reasonable interest rate as determined under policies established for the Plan and (5) such other rules and regulations as may be adopted by the Company. At December 31, 2018 and 2017, the interest rates on participant loans ranged from 4.00 percent to 10.50 percent.
Vesting
The amounts in Participants’ accounts, including Company contributions, are fully vested at all times.
Payment of Benefits
The total amount of a Participant’s account shall be distributed to the Participant according to one of the options as described in the Plan document and as elected by the Participant after termination of employment. All distributions shall be in the form of cash except that Participants may elect to have his or her interest in the Ameren Stock Fund distributed in shares of Ameren common stock. Participants may withdraw certain basic contributions, rollover contributions and related earnings thereon upon reaching age 59 1/2, in the event of total disability or financial hardship as defined
6
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
by the Plan or the Code. For purposes of distributions, the Participant’s account value will be determined as of the last business day coincident with or immediately preceding the day of distribution. Contributions to the Plan and investment income thereon are taxable to Participants upon distribution pursuant to the rules provided for under the Plan and the Code.
The Plan also allows, at the discretion of the Company, participants of the former Union Electric Company Employee Stock Ownership Plan and the former Ameren Corporation Employee Stock Ownership Plan for Certain Employees of AmerenCIPS, to receive certain distributions prior to termination of employment.
Plan Termination
The Company intends to continue the Plan indefinitely. However, the Company may at any time and for any reason, subject to ERISA and Internal Revenue Service regulations, suspend or terminate the Plan provided that such action does not retroactively adversely affect the rights of any Participant under the Plan.
2. | Summary of Significant Accounting Policies |
Basis of Accounting
The accompanying financial statements of the Plan are prepared on the accrual basis of accounting, except that benefit payments to Participants are recorded upon distribution.
Use of Estimates
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of changes in net assets available for benefits during the reporting period. Actual results could differ from those estimates.
Investment Valuation and Income Recognition
All investments are presented at fair value, except for fully benefit-responsive investment contracts, which are reported at contract value, as of December 31, 2018 and 2017. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 3 for discussion of fair value measurements.
The Plan has direct investments in fully benefit-responsive investment contracts. Investments held by a defined contribution plan are required to be reported at fair value, except for fully benefit-responsive investment contracts. Contract value is the relevant measurement attribute for the portion of the net assets available for benefits of a defined contribution plan attributable to fully benefit-responsive investment contracts because contract value is the amount Participants normally would receive if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
Purchases and sales of securities are recorded on a trade date basis. Interest income is recorded on the accrual basis. Dividend income is recorded on the ex-dividend date. Net appreciation (depreciation) in fair value of investments includes the Plan’s gains and losses on investments bought and sold as well as held during the year.
7
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
Notes Receivable from Participants
Notes receivable from Participants are measured at their unpaid principal balance plus any accrued but unpaid interest, with no allowance for credit losses, as repayments of principal and interest are received through payroll deductions and the notes are collateralized by the Participants’ account balances. Delinquent participant loans are reclassified as distributions based upon the terms of the Plan document.
Administrative Expenses
Fees associated with administering the Plan are generally paid by the Plan. Trustee and recordkeeping fees are primarily paid via (1) flat dollar fees that are assessed to all Participants quarterly, and (2) fees accrued in investment funds that are separately-managed accounts (versus commingled funds). Also, revenue sharing payments that Fidelity receives from mutual funds are allocated to Participant accounts quarterly.
Risks and Uncertainties
Investments are exposed to various risks, such as interest rate, market and credit. Due to the level of risk associated with certain investments and the level of uncertainty related to changes in the value of investments, it is at least reasonably possible that changes in risks in the near term could materially affect the Participants’ account balances and the amounts reported in the Statement of Net Assets Available for Benefits.
Concentrations
Company common stock comprised 13% and 12% of investments at December 31, 2018 and December 31, 2017, respectively.
3. | Fair Value Measurements |
The authoritative guidance issued by the FASB regarding fair value measurement provides a framework for measuring fair value for all assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three hierarchy levels:
Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan has the ability to access at the reporting date.
8
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
Level 2: Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly. Inputs to the valuation methodology include:
• | Quoted prices for similar assets or liabilities in active markets; |
• | Quoted prices for identical or similar assets or liabilities in inactive markets; |
• | Inputs other than quoted prices that are observable for the asset or liability; |
• | Inputs that are derived principally from or corroborated by observable market data by correlation or other means. |
Level 3: Inputs to the valuation methodology that are unobservable and significant to the fair value measurement.
The Plan does not hold any investments requiring Level 3 measurements, and there have not been any transfers between measurement input levels in 2018 or 2017.
The asset or liability’s fair value measurement level within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement.
Following is a description of the valuation methodologies used for assets measured at fair value.
There have been no changes in the methodologies used during 2018.
• | Margin deposit account: The fair value is estimated to approximate deposit account balances, payable on demand, as no discounts for credit quality or liquidity were determined to be applicable (Level 2 inputs). |
• | Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 inputs). |
• | U.S. government securities and corporate debt securities: Valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities’ relationship to other benchmark quoted securities (Level 2 inputs). |
• | Other debt securities includes non-U.S. government debt securities, municipal securities, mortgage and asset-backed securities, and derivatives: Non-U.S. government debt securities, municipal securities, and mortgage and asset-backed securities are valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities’ relationship to other benchmark quoted securities (Level 2 inputs). The fair values of exchange-traded derivatives are based upon quoted market prices (Level 1 inputs). The fair values of derivatives that are not traded on an exchange are based upon valuation models using observable market data as of the measurement date (Level 2 inputs). |
9
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
• | Mutual funds: Valued at the daily closing price as reported by the fund (Level 1 inputs). Mutual funds held by the Plan are open-end mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily net asset value (NAV) and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded. |
• | Collective trust funds: The fair values of participation units held in collective trusts are based on the NAV reported by the fund managers as of the financial statement dates and recent transaction prices. Under ordinary market conditions, redemptions of investments in collective trusts are permitted as of daily or monthly valuation dates, as applicable, and are executed at NAV as a practical expedient. |
The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2018:
Quoted Prices In Active Markets for Identified Assets (Level 1) | Significant Other Observable Inputs (Level 2) | Measured at Net Asset Value as a Practical Expedient (a) | Total | |||||||||||||
Assets | ||||||||||||||||
Margin deposit account | $ | — | $ | 18,500 | $ | — | $ | 18,500 | ||||||||
Common stocks-Plan sponsor stock | 303,608,665 | — | — | 303,608,665 | ||||||||||||
Common stocks-other than Plan sponsor | 267,746,608 | — | — | 267,746,608 | ||||||||||||
U.S. Government securities | — | 14,618,392 | — | 14,618,392 | ||||||||||||
Corporate debt securities | — | 23,502,146 | — | 23,502,146 | ||||||||||||
Other debt securities | 8,875 | 10,634,373 | — | 10,643,248 | ||||||||||||
Collective trust funds | — | — | 1,182,140,363 | 1,182,140,363 | ||||||||||||
Mutual funds | 168,673,474 | — | — | 168,673,474 | ||||||||||||
Liabilities | ||||||||||||||||
Other debt securities | (18,047 | ) | — | — | (18,047 | ) | ||||||||||
|
|
|
|
|
|
|
| |||||||||
Total assets reported at fair value | $ | 740,019,575 | $ | 48,773,411 | $ | 1,182,140,363 | $ | 1,970,933,349 | ||||||||
|
|
|
|
|
|
|
|
(a) | In accordance with ASU 2015-07, certain investments measured at NAV per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits. |
10
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2017:
Quoted Prices In Active Markets for Identified Assets (Level 1) | Significant Other Observable Inputs (Level 2) | Measured at Net Asset Value as a Practical Expedient (a) | Total | |||||||||||||
Assets | ||||||||||||||||
Margin deposit account | $ | — | $ | 66,700 | $ | — | $ | 66,700 | ||||||||
Common stocks-Plan sponsor stock | 283,192,998 | — | — | 283,192,998 | ||||||||||||
Common stocks-other than Plan sponsor | 254,470,852 | — | — | 254,470,852 | ||||||||||||
U.S. Government securities | — | 20,120,627 | — | 20,120,627 | ||||||||||||
Corporate debt securities | — | 29,168,729 | — | 29,168,729 | ||||||||||||
Other debt securities | 6,742 | 13,292,371 | — | 13,299,113 | ||||||||||||
Collective trust funds | — | — | 1,319,699,694 | 1,319,699,694 | ||||||||||||
Mutual funds | 183,498,080 | — | — | 183,498,080 | ||||||||||||
Liabilities | ||||||||||||||||
Other debt securities | — | (639 | ) | — | (639 | ) | ||||||||||
|
|
|
|
|
|
|
| |||||||||
Total assets reported at fair value | $ | 721,168,672 | $ | 62,647,788 | $ | 1,319,699,694 | $ | 2,103,516,154 | ||||||||
|
|
|
|
|
|
|
|
(a) | In accordance with ASU 2015-07, certain investments measured at NAV per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits. |
4. | Fully Benefit-Responsive Investment Contracts |
The Plan holds investments in a separately-managed stable value account that is managed by Galliard Capital Management. The separately-managed account holds (1) an investment in the Wells Fargo/BlackRock Short Term Investment Fund, and (2) a portfolio of synthetic investment contracts, valued at $282,384,897 at December 31, 2018. The separately-managed account held (1) an investment in the Fidelity Institutional Money Market Government Portfolio, and (2) a portfolio of synthetic investment contracts, valued at $281,815,710 at December 31, 2017. The investment contracts meet the fully benefit-responsive investment criteria and therefore are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Participants if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
The investment contracts are issued by the following insurance companies:
• | American General Life Insurance Company (“AGL”) |
• | Prudential Insurance Company of America (“Prudential”) |
• | Voya Retirement Insurance and Annuity Company (“Voya”) |
• | Massachusetts Mutual Life Insurance Company (“Mass Mutual”) |
• | Metropolitan Life Insurance Company (“Met Life”) |
11
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
The underlying investments of the AGL, Mass Mutual, Prudential, and Voya contracts are holdings in collective trust funds. The underlying investments of Met Life contracts are holdings in portfolios of fixed income securities, which are segregated from the insurance company’s general account assets. The segregation of these assets from the insurance company’s general account offers certain protections to mitigate the risk that these assets might be subject to creditor claims other than those of the separate account guaranteed investment contract owners.
The investment contracts include wrapper contracts, which are agreements for the wrap issuer to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. The contracts are designed to accrue interest based on crediting rates established by the contract issuers, and also provide a guarantee that the credit rate will not fall below zero percent. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in each contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reset at least quarterly.
The Plan’s ability to receive amounts due in accordance with fully benefit-responsive investment contracts is dependent on the third-party issuer’s ability to meet its financial obligations. The issuer’s ability to meet its contractual obligations may be affected by future economic and regulatory developments.
Certain events might limit the ability of the Plan to transact at contract value. Investment contracts generally provide for withdrawals associated with certain events which are not in the ordinary course of operations. These withdrawals are paid with a market value adjustment applied to the withdrawal as defined in the investment contract. Each contract issuer specifies the events which may trigger a market value adjustment; however, such events may include all or a portion of the following:
• | material amendments to the account’s structure or administration; |
• | changes to the Plan’s competing investment options including the elimination of equity wash provisions; |
• | complete or partial termination of the investment, including a merger with another investment account; |
• | the failure of the Plan to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA; |
• | the redemption of all or a portion of the interests in the account held by a participating plan at the direction of the participating plan sponsor, including withdrawals due to the removal of a specifically identifiable group of employees from coverage under the participating plan (such as a group layoff or early retirement incentive program), the closing or sale of a subsidiary, employing unit, or affiliate, the bankruptcy or insolvency of a plan sponsor, the merger of the Plan with another plan, or the Plan sponsor’s establishment of another tax qualified defined contribution plan; |
• | any change in law, regulation, ruling, administrative or judicial position, or accounting requirement, applicable to the account or participating plans; |
• | the delivery of any communication to Participants designed to influence a participant not to invest in the investment option; |
12
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
• | the addition of an Asset Allocation or Managed Account service without prior approval, or a material change in an existing program; |
• | the distribution of a prohibited communication. |
No events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuers and that also would limit the ability of the Plan to transact at contract value with the Participants.
These contracts are evergreen contracts and contain termination provisions, allowing the contract issuer to terminate with notice, at any time at fair value, and providing for automatic termination of the contract if the contract value or the fair value of the underlying portfolio equals zero. The issuer is obligated to pay the excess contract value when the fair value is below contract value at the time of termination. In addition, if the Plan defaults in its obligations under the contract (including the issuer’s determination that the agreement constitutes a non-exempt prohibited transaction as defined under ERISA), and such default is not corrected within the time permitted by the contract, then the contract may be terminated by the issuer and the Plan will receive the fair value as of the date of termination.
5. | Transactions with Parties-in-Interest |
Parties-in-interest are defined under Department of Labor regulations as any fiduciary of the Plan, any party rendering service to the Plan, the employer, and certain others.
At December 31, 2018, the Plan held 4,654,433 shares of Company common stock with a cost and fair value of $201,110,751 and $303,608,665, respectively. During 2018, the Plan purchased 785,010 shares at a cost of $45,870,778 and sold 931,272 shares valued at $55,517,075.
At December 31, 2017, the Plan held 4,800,695 shares of Company common stock with a cost and fair value of $194,108,887 and $283,192,998, respectively. During 2017, the Plan purchased 734,900 shares at a cost of $41,768,247 and sold 1,058,963 shares valued at $59,847,989.
Dividend income from Company common stock was $8,728,952 and $8,650,773 for the years ended December 31, 2018 and December 31, 2017, respectively.
At December 31, 2018 and December 31, 2017, the Plan held shares in the Fidelity Institutional Money Market Government Portfolio. This portfolio is managed by the Trustee, and therefore, qualifies as party-in-interest transactions. Notes receivable from Participants also reflect party-in-interest transactions.
Fees paid by the Plan to the Trustee for recordkeeping, trust services, and advisory services were $1,085,431 and $908,576 for the years ended December 31, 2018 and December 31, 2017, respectively.
Fees paid to and investments issued by various Plan investment managers also reflect party-in-interest transactions.
These transactions are allowable party-in-interest transactions under Section 408(b)(8) of ERISA.
13
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
6. | Reconciliation of Financial Statements to Form 5500 |
The following is a reconciliation of net assets available for benefits per the financial statements to the Form 5500 at December 31, 2018 and 2017:
2018 | 2017 | |||||||
Net assets available for benefits per the financial statements | $ | 2,289,428,371 | $ | 2,417,726,381 | ||||
Amounts allocated to deemed distributions of notes receivable from Participants | (1,559,560 | ) | (1,364,562 | ) | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts | (3,147,180 | ) | (711,990 | ) | ||||
|
|
|
| |||||
Net assets available for benefits per the Form 5500 | $ | 2,284,721,631 | $ | 2,415,649,829 | ||||
|
|
|
|
Deemed distributions of notes receivable from Participants, resulting from defaults of notes receivable from Participants, are no longer considered assets of the Plan with respect to Form 5500 filings.
The following is a reconciliation of net decrease in net assets available for benefits per the financial statements to net loss per the Form 5500 for the year ended December 31, 2018:
Net decrease in net assets available for benefits per the financial statements | $ | (128,298,010 | ) | |
Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the current year-end | (3,147,180 | ) | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the prior year-end | 711,990 | |||
Less: Net increase in defaulted notes receivable from Participants | (88,432 | ) | ||
Less: Interest income of defaulted notes receivable from Participants | (106,566 | ) | ||
|
| |||
Total net loss per the Form 5500 | $ | (130,928,198 | ) | |
|
|
7. | Federal Income Tax Status |
The Company obtained a determination letter dated January 12, 2018, in which the Internal Revenue Service stated that the Plan was in compliance with the applicable requirements of the Code. Although the Plan has been amended since receiving this determination letter, the Plan’s administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code.
Accounting principles generally accepted in the United States of America require Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the Internal Revenue Service. The Plan administrator has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2018 and 2017, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions; however, there are currently no audits for any tax periods in progress. The Plan administrator believes it is no longer subject to income tax examinations for years prior to 2015.
14
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2018 and 2017
8. | Subsequent Events |
The Plan was amended effective January 1, 2019, to apply legislative changes related to hardship withdrawal provisions.
15
Ameren Corporation Savings Investment Plan
SCHEDULE G, PART III - Schedule of Nonexempt Transactions
For the year ended December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||
Identity of party involved | Relationship to plan, employer, or other party-in-interest | Description of transaction including maturity date, rate of interest, collateral, par or maturity value | Current value of asset | Net gain (loss) on each transaction | ||||||||
Fidelity Investments Institutional | Service Provider | Excess compensation paid for recordkeeping services for 2018 plan year was $705,871 - VFCP filed | $ | 705,871 | $ | 331,691 |
1
Page 1 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
Interest-bearing Cash | ||||||||||
State Street Global Advisors | SSGA Short Term Investment Fund | $ 12,003,703.90 | $ 12,003,703.90 | |||||||
FUTURES CASH COLLATERAL | 18,500 Shares | 18,500.00 | 18,500.00 | |||||||
|
| |||||||||
Total Interest-bearing Cash | 12,022,203.90 | 12,022,203.90 | ||||||||
|
| |||||||||
Mutual Funds | ||||||||||
American Funds Group | EuroPacific Growth Fund | 111,396,389.36 | 112,008,488.38 | |||||||
Sands Capital Management | Touchstone Sands Capital Institutional Growth Fund | 39,281,707.34 | 37,928,084.01 | |||||||
Pacific Investment Management Company | PIMCO Income Institutional Fund | 16,718,912.19 | 16,509,232.98 | |||||||
* | Fidelity Management Trust Company | Fidelity Institutional Money Market Government Portfolio | 2,227,668.41 | 2,227,668.41 | ||||||
|
| |||||||||
Total Mutual Funds | 169,624,677.30 | 168,673,473.78 | ||||||||
|
| |||||||||
Collective Investment Trusts | ||||||||||
Robeco Trust Company | Boston Partners Large Cap Value Equity Fund E | 59,469,903.96 | 75,101,411.45 | |||||||
Hand Benefits and Trust Company | Snyder Capital Small/Mid Cap Value Fund R1 | 50,859,488.67 | 44,705,937.58 | |||||||
Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund F | 96,207,121.01 | 100,613,793.00 | |||||||
Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund L | 107,356,951.06 | 111,912,998.00 | |||||||
Wells Fargo Bank, N.A. | Wells Fargo/BlackRock Short Term Investment Fund | 21,420,613.00 | 21,420,613.00 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock Equity Index Fund M | 243,117,223.66 | 286,264,936.94 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock Russell 2500 Fund M | 128,053,634.18 | 142,424,082.06 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2020 Fund L | 75,628,380.60 | 80,696,873.13 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2025 Fund L | 91,208,892.73 | 97,551,412.41 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2030 Fund L | 70,229,116.64 | 75,631,594.03 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock MSCI ACWI ex-US IMI Index Fund F | 69,636,180.88 | 60,449,649.13 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index Retirement Fund L | 28,872,189.02 | 30,546,105.96 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock US Debt Index Fund M | 58,447,581.39 | 59,511,801.67 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2035 Fund L | 38,601,401.95 | 41,686,276.22 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2040 Fund L | 37,066,342.38 | 40,247,657.19 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2045 Fund L | 36,228,420.72 | 39,246,123.54 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2050 Fund L | 32,418,697.54 | 34,790,852.46 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock TIPS Bond Index Fund M | 15,956,385.65 | 16,043,590.21 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2055 Fund L | 20,341,572.38 | 21,271,515.74 | |||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2060 Fund L | 2,713,766.87 | 2,546,226.33 | |||||||
|
| |||||||||
Total Collective Investment Trusts | 1,283,833,864.29 | 1,382,663,450.05 | ||||||||
|
| |||||||||
Insurance Company Separate Accounts | ||||||||||
Metropolitan Life Ins Co. | Separate Account #690 | 28,831,929.89 | 30,714,319.00 | |||||||
Metropolitan Life Ins Co. | Separate Account #694 | 34,308,586.60 | 35,996,607.00 | |||||||
|
| |||||||||
Total Insurance Company Separate Accounts | 63,140,516.49 | 66,710,926.00 | ||||||||
|
| |||||||||
Common Stocks | ||||||||||
* | Ameren Corporation | 4,654,433 Shares | 201,110,750.67 | 303,608,664.59 | ||||||
TENCENT HOLDINGS LTD | 44,810 Shares | 883,486.63 | 1,796,863.55 | |||||||
ALLERGAN PLC | 5,611 Shares | 1,451,697.28 | 749,966.26 | |||||||
ADYEN BV | 858 Shares | 660,113.67 | 466,999.56 | |||||||
ABBOTT LABORATORIES | 21,258 Shares | 993,326.68 | 1,537,591.14 | |||||||
ACTIVISION BLIZZARD INC | 14,658 Shares | 744,085.84 | 682,623.06 | |||||||
ADOBE INC | 9,325 Shares | 562,004.80 | 2,109,688.00 | |||||||
ALBEMARLE CORP | 10,905 Shares | 1,023,255.21 | 840,448.35 | |||||||
ALEXION PHARMACEUTICALS | 9,606 Shares | 1,283,918.55 | 935,240.16 | |||||||
ALIBABA GROUP HLD SPON AD | 11,840 Shares | 1,063,636.29 | 1,622,908.80 | |||||||
ALPHABET INC CL C | 2,163 Shares | 1,013,286.14 | 2,240,024.43 | |||||||
ALPHABET INC CL A | 1,910 Shares | 853,171.13 | 1,995,873.60 | |||||||
AMAZON.COM INC | 2,989 Shares | 1,082,016.96 | 4,489,388.33 | |||||||
AMERICAN TOWER CORP | 2,441 Shares | 404,738.38 | 386,141.79 | |||||||
APPLE INC | 14,636 Shares | 1,405,611.90 | 2,308,682.64 | |||||||
ASTRAZENECA PLC SPONS ADR | 36,847 Shares | 1,377,915.67 | 1,399,449.06 | |||||||
BIOMARIN PHARMACEUTICAL | 9,517 Shares | 753,641.23 | 810,372.55 |
1
Page 2 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
BOEING CO | 6,615 Shares | 704,080.96 | 2,133,337.50 | |||||||
THE BOOKING HOLDINGS INC | 435 Shares | 404,360.38 | 749,252.70 | |||||||
BRISTOL-MYERS SQUIBB CO | 7,984 Shares | 436,798.71 | 415,008.32 | |||||||
CATERPILLAR INC | 4,835 Shares | 755,609.72 | 614,383.45 | |||||||
CELGENE CORP | 12,268 Shares | 1,191,172.90 | 786,256.12 | |||||||
CONCHO RESOURCES INC | 5,608 Shares | 481,779.88 | 576,446.32 | |||||||
CONSTELLATION BRANDS CL A | 4,364 Shares | 801,730.53 | 701,818.48 | |||||||
COSTCO WHOLESALE CORP | 7,281 Shares | 1,006,662.70 | 1,483,212.51 | |||||||
EOG RESOURCES INC | 10,025 Shares | 777,244.96 | 874,280.25 | |||||||
FACEBOOK INC CL A | 16,107 Shares | 744,841.92 | 2,111,466.63 | |||||||
FARFETCH LTD CL A | 11,253 Shares | 274,594.31 | 199,290.63 | |||||||
FLEETCOR TECHNOLOGIES INC | 6,038 Shares | 877,051.67 | 1,121,377.36 | |||||||
GOLDMAN SACHS GROUP INC | 5,196 Shares | 865,470.75 | 867,991.80 | |||||||
HOME DEPOT INC | 8,585 Shares | 1,240,769.80 | 1,475,074.70 | |||||||
ILLUMINA INC | 4,836 Shares | 746,187.90 | 1,450,461.48 | |||||||
INTUITIVE SURGICAL INC | 1,599 Shares | 848,814.80 | 765,793.08 | |||||||
JPMORGAN CHASE & CO | 7,012 Shares | 587,380.94 | 684,511.44 | |||||||
KERING UNSPONSORED ADR | 27,064 Shares | 1,224,524.16 | 1,265,377.32 | |||||||
ESTEE LAUDER COS INC CL A | 9,388 Shares | 1,067,056.16 | 1,221,378.80 | |||||||
LULULEMON ATHLETICA INC | 3,268 Shares | 392,388.18 | 397,421.48 | |||||||
MARRIOTT INTL INC A | 12,187 Shares | 754,557.52 | 1,323,020.72 | |||||||
MASTERCARD INC CL A | 15,665 Shares | 799,343.94 | 2,955,202.25 | |||||||
MERCK & CO INC NEW | 3,467 Shares | 264,111.24 | 264,913.47 | |||||||
MICROSOFT CORP | 26,989 Shares | 1,594,330.69 | 2,741,272.73 | |||||||
MONDELEZ INTL INC | 17,003 Shares | 569,912.25 | 680,630.09 | |||||||
MONSTER BEVERAGE CORP | 13,030 Shares | 669,266.08 | 641,336.60 | |||||||
NETFLIX INC | 10,853 Shares | 1,129,429.91 | 2,904,913.98 | |||||||
NIKE INC CL B | 23,260 Shares | 714,234.11 | 1,724,496.40 | |||||||
NVIDIA CORP | 8,365 Shares | 777,187.52 | 1,116,727.50 | |||||||
PNC FIN SVCS GRP INC | 6,550 Shares | 1,022,318.08 | 765,760.50 | |||||||
PARKER HANNIFIN CORP | 8,959 Shares | 1,419,772.85 | 1,336,145.26 | |||||||
PAYPAL HLDGS INC | 10,192 Shares | 721,859.04 | 857,045.28 | |||||||
RED HAT INC | 6,454 Shares | 347,915.97 | 1,133,580.56 | |||||||
S&P GLOBAL INC | 4,640 Shares | 410,641.22 | 788,521.60 | |||||||
SALESFORCE.COM INC | 21,932 Shares | 1,489,765.30 | 3,004,026.04 | |||||||
SERVICENOW INC | 1,341 Shares | 245,976.04 | 238,765.05 | |||||||
SPLUNK INC | 8,949 Shares | 431,372.00 | 938,302.65 | |||||||
SQUARE INC CL A | 7,968 Shares | 522,954.62 | 446,925.12 | |||||||
TESLA INC | 3,573 Shares | 909,871.48 | 1,189,094.40 | |||||||
UNITEDHEALTH GROUP INC | 5,052 Shares | 949,135.69 | 1,258,554.24 | |||||||
VERTEX PHARMACEUTICALS | 6,430 Shares | 723,039.38 | 1,065,515.30 | |||||||
VISA INC CL A | 20,138 Shares | 858,520.66 | 2,657,007.72 | |||||||
WORKDAY INC CL A | 7,031 Shares | 486,980.54 | 1,122,710.08 | |||||||
WILLIS TOWERS WATSON PLC | 21,592 Shares | 2,635,050.09 | 3,278,961.12 | |||||||
ADIENT PLC | 22,016 Shares | 1,652,747.28 | 331,560.96 | |||||||
JOHNSON CONTROLS INTERNAT | 76,972 Shares | 3,460,319.17 | 2,282,219.80 | |||||||
AERCAP HOLDINGS NV | 38,912 Shares | 1,273,116.10 | 1,540,915.20 | |||||||
SUNCOR ENERGY INC | 97,546 Shares | 2,493,322.02 | 2,728,361.62 | |||||||
AFLAC INC | 84,832 Shares | 2,669,133.63 | 3,864,945.92 | |||||||
AECOM | 32,170 Shares | 897,621.58 | 852,505.00 | |||||||
AFFILIATED MANAGERS GRP | 11,654 Shares | 1,919,010.05 | 1,135,565.76 | |||||||
AMERIPRISE FINANCIAL INC | 26,820 Shares | 2,690,085.81 | 2,799,203.40 | |||||||
ANTHEM INC | 13,339 Shares | 1,933,428.62 | 3,503,221.57 | |||||||
ARROW ELECTRONICS INC | 19,740 Shares | 1,478,892.56 | 1,361,073.00 | |||||||
ASSURANT INC | 13,265 Shares | 1,093,626.00 | 1,186,421.60 | |||||||
AVIS BUDGET GROUP | 19,857 Shares | 546,228.57 | 446,385.36 | |||||||
BROADCOM INC | 15,777 Shares | 2,408,487.00 | 4,011,775.56 |
2
Page 3 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
CELANESE CORP | 30,724 Shares | 2,198,452.73 | 2,764,238.28 | |||||||
COMMSCOPE HOLDING CO INC | 39,386 Shares | 1,272,992.05 | 645,536.54 | |||||||
CROWN HOLDINGS INC | 29,273 Shares | 1,455,215.57 | 1,216,878.61 | |||||||
FLEX LTD | 116,163 Shares | 1,949,559.10 | 884,000.43 | |||||||
EOG RESOURCES INC | 31,259 Shares | 2,443,199.88 | 2,726,097.39 | |||||||
GOODYEAR TIRE & RUBBER CO | 53,505 Shares | 1,519,512.14 | 1,092,037.05 | |||||||
HCA HEALTHCARE INC | 26,939 Shares | 2,178,176.77 | 3,352,558.55 | |||||||
HERTZ GLOBAL HOLDINGS INC | 21,085 Shares | 715,672.09 | 287,810.25 | |||||||
LINCOLN NATIONAL CORP | 47,012 Shares | 2,254,287.17 | 2,412,185.72 | |||||||
MICROCHIP TECHNOLOGY | 47,656 Shares | 3,557,619.15 | 3,427,419.52 | |||||||
NCR CORP | 32,533 Shares | 755,162.33 | 750,861.64 | |||||||
NATIONAL OILWELL VARCO | 76,387 Shares | 2,323,972.11 | 1,963,145.90 | |||||||
OWENS ILLINOIS INC | 33,818 Shares | 476,206.66 | 583,022.32 | |||||||
QURATE RETAIL INC | 96,373 Shares | 2,430,200.23 | 1,881,200.96 | |||||||
TECH DATA CORP | 8,494 Shares | 855,206.56 | 694,894.14 | |||||||
TENNECO INC | 11,727 Shares | 466,402.21 | 321,202.53 | |||||||
WESTERN DIGITAL CORP | 42,463 Shares | 2,303,708.50 | 1,569,857.11 | |||||||
WESTERN UNION CO | 103,275 Shares | 1,841,524.45 | 1,761,871.50 | |||||||
WHIRLPOOL CORP | 14,594 Shares | 2,656,983.47 | 1,559,660.78 | |||||||
WRIGHT MEDICAL GROUP NV | 29,084 Shares | 830,892.87 | 791,666.48 | |||||||
ABIOMED INC | 2,297 Shares | 771,472.20 | 746,616.88 | |||||||
ADVANCE AUTO PARTS INC | 2,883 Shares | 469,874.33 | 453,957.18 | |||||||
AERIE PHARMACEUTICALS INC | 9,050 Shares | 539,752.86 | 326,705.00 | |||||||
ADVANCED MICRO DEVICES | 14,552 Shares | 311,861.31 | 268,629.92 | |||||||
ALASKA AIR GROUP INC | 6,360 Shares | 426,939.96 | 387,006.00 | |||||||
AMEDISYS INC | 1,614 Shares | 204,053.37 | 189,015.54 | |||||||
ARRAY BIOPHARMA INC | 39,221 Shares | 572,447.64 | 558,899.25 | |||||||
BIO RAD LABS CL A | 1,481 Shares | 439,321.34 | 343,917.82 | |||||||
BJ’S RESTAURANTS INC | 5,355 Shares | 320,019.41 | 270,802.35 | |||||||
BURLINGTON STORES INC | 1,738 Shares | 296,107.16 | 282,720.46 | |||||||
CALLON PETROLEUM CO | 43,960 Shares | 565,463.24 | 285,300.40 | |||||||
CHART INDUSTRIES INC | 6,568 Shares | 473,485.08 | 427,117.04 | |||||||
CHEGG INC | 30,172 Shares | 485,079.56 | 857,488.24 | |||||||
COSTAR GROUP INC | 2,195 Shares | 649,168.73 | 740,461.30 | |||||||
CREE INC | 16,535 Shares | 646,640.96 | 707,284.63 | |||||||
DEXCOM INC | 9,950 Shares | 821,313.85 | 1,192,010.00 | |||||||
DIAMONDBACK ENERGY INC | 2,940 Shares | 341,430.51 | 272,538.00 | |||||||
DOLBY LAB INC CL A | 9,002 Shares | 601,229.86 | 556,683.68 | |||||||
ETSY INC | 17,474 Shares | 803,027.87 | 831,238.18 | |||||||
EVOLENT HEALTH INC A | 34,019 Shares | 779,655.34 | 678,679.05 | |||||||
EXACT SCIENCES CORP | 5,811 Shares | 388,250.44 | 366,674.10 | |||||||
FIVE BELOW INC | 4,663 Shares | 516,082.21 | 477,118.16 | |||||||
FIVE9 INC | 24,361 Shares | 550,958.37 | 1,065,062.92 | |||||||
G-III APPAREL GROUP LTD | 25,878 Shares | 823,446.17 | 721,737.42 | |||||||
GLU MOBILE INC | 50,292 Shares | 404,888.65 | 405,856.44 | |||||||
GODADDY INC CL A | 3,281 Shares | 225,798.94 | 215,299.22 | |||||||
GREEN DOT CORP CLASS-A | 17,649 Shares | 1,384,823.71 | 1,403,448.48 | |||||||
GRUBHUB INC | 7,957 Shares | 555,330.79 | 611,177.17 | |||||||
HAEMONETICS CORP MASS | 6,938 Shares | 558,138.23 | 694,146.90 | |||||||
HARSCO CORP | 8,127 Shares | 223,880.05 | 161,402.22 | |||||||
IAC/INTERACTIVECORP | 5,972 Shares | 754,843.12 | 1,093,114.88 | |||||||
INSULET CORP | 5,251 Shares | 385,206.42 | 416,509.32 | |||||||
INTER PARFUMS INC | 8,602 Shares | 308,032.62 | 564,033.14 | |||||||
INTRA-CELLULAR THERAPIES | 12,114 Shares | 239,968.77 | 137,978.46 | |||||||
IROBOT CORP | 7,060 Shares | 675,472.48 | 591,204.40 | |||||||
KEYSIGHT TECHNOLOGIES INC | 11,224 Shares | 690,664.97 | 696,785.92 | |||||||
LULULEMON ATHLETICA INC | 6,547 Shares | 609,159.04 | 796,180.67 |
3
Page 4 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
MSCI INC | 1,529 Shares | 243,438.59 | 225,420.47 | |||||||
MADISON SQUARE GARDEN CO/ | 1,412 Shares | 427,012.34 | 377,992.40 | |||||||
MADRIGAL PHARMACEUTICALS | 1,725 Shares | 288,160.65 | 194,442.00 | |||||||
MALIBU BOATS INC CL A | 4,016 Shares | 145,654.88 | 139,756.80 | |||||||
MOLINA HEALTHCARE INC | 10,593 Shares | 1,319,205.78 | 1,231,118.46 | |||||||
MONGODB INC CL A | 2,537 Shares | 123,164.00 | 212,448.38 | |||||||
NEUROCRINE BIOSCIENCES | 6,401 Shares | 520,133.33 | 457,095.41 | |||||||
PTC INC | 5,695 Shares | 429,142.96 | 472,115.50 | |||||||
PURE STORAGE INC CL A | 19,880 Shares | 446,513.09 | 319,670.40 | |||||||
Q2 HOLDINGS INC | 11,036 Shares | 565,578.01 | 546,833.80 | |||||||
RAPID7 INC | 11,699 Shares | 396,738.14 | 364,540.84 | |||||||
RINGCENTRAL INC CL A | 13,036 Shares | 532,430.47 | 1,074,687.84 | |||||||
SVB FINL GROUP | 2,835 Shares | 685,306.80 | 538,423.20 | |||||||
SAGE THERAPEUTICS INC | 3,057 Shares | 448,517.81 | 292,830.03 | |||||||
SAREPTA THERAPEUTICS INC | 3,121 Shares | 462,621.02 | 340,594.73 | |||||||
SEMTECH CORP | 8,433 Shares | 399,079.50 | 386,821.71 | |||||||
SPIRIT AIRLINES INC | 12,060 Shares | 607,132.43 | 698,515.20 | |||||||
STRATEGIC EDUCATION INC | 2,190 Shares | 307,733.12 | 248,389.80 | |||||||
TANDEM DIABETES CARE INC | 17,952 Shares | 644,043.58 | 681,637.44 | |||||||
TERADYNE INC | 14,283 Shares | 489,735.00 | 448,200.54 | |||||||
TIFFANY & CO | 4,259 Shares | 504,408.09 | 342,892.09 | |||||||
TRANSUNION | 6,510 Shares | 307,500.69 | 369,768.00 | |||||||
TRUPANION INC | 6,906 Shares | 263,879.45 | 175,826.76 | |||||||
TWILIO INC CLASS A | 4,420 Shares | 368,758.76 | 394,706.00 | |||||||
ULTA BEAUTY INC | 3,166 Shares | 743,315.65 | 775,163.44 | |||||||
URBAN OUTFITTERS | 11,061 Shares | 458,137.31 | 367,225.20 | |||||||
VAIL RESORTS INC | 1,851 Shares | 402,742.89 | 390,227.82 | |||||||
VIKING THERAPEUTICS INC | 17,700 Shares | 268,147.65 | 135,405.00 | |||||||
WEX INC | 1,832 Shares | 301,866.61 | 256,589.92 | |||||||
ZEBRA TECH CORP CL A | 8,996 Shares | 1,133,324.00 | 1,432,433.08 | |||||||
ZENDESK INC | 21,401 Shares | 1,011,043.38 | 1,249,176.37 | |||||||
ESSENT GROUP LTD | 13,839 Shares | 558,934.41 | 473,017.02 | |||||||
TRINSEO SA | 6,767 Shares | 464,379.66 | 309,793.26 | |||||||
FERROGLOBE PLC | 17,316 Shares | 140,806.29 | 27,532.44 | |||||||
ASSURED GUARANTY LTD | 15,419 Shares | 571,061.52 | 590,239.32 | |||||||
JAZZ PHARMA PLC | 1,835 Shares | 319,800.77 | 227,466.60 | |||||||
ENERPLUS CORP (US) | 42,122 Shares | 539,899.72 | 326,866.72 | |||||||
ICON PLC | 3,252 Shares | 451,369.60 | 420,190.92 | |||||||
KOSMOS ENERGY LTD | 54,296 Shares | 345,490.16 | 220,984.72 | |||||||
ACCO BRANDS CORP | 33,102 Shares | 457,646.53 | 224,431.56 | |||||||
ABM INDUSTRIES INC | 9,998 Shares | 291,877.91 | 321,035.78 | |||||||
AGNC INVESTMENT CORP | 20,751 Shares | 383,327.92 | 363,972.54 | |||||||
AES CORP | 19,448 Shares | 252,459.72 | 281,218.08 | |||||||
AMC NETWORKS INC CL A | 5,738 Shares | 355,810.78 | 314,901.44 | |||||||
ASGN INC | 8,176 Shares | 690,799.52 | 445,592.00 | |||||||
AECOM | 10,439 Shares | 343,441.90 | 276,633.50 | |||||||
AEGION CORP | 5,595 Shares | 142,646.30 | 91,310.40 | |||||||
AIR LEASE CORP CL A | 16,508 Shares | 727,208.51 | 498,706.68 | |||||||
ALASKA AIR GROUP INC | 4,331 Shares | 277,863.71 | 263,541.35 | |||||||
ALLEGHANY CORP DEL | 630 Shares | 380,612.55 | 392,691.60 | |||||||
ALLIANCE DATA SYS CORP | 1,734 Shares | 395,443.27 | 260,238.72 | |||||||
ALLY FINANCIAL INC | 5,375 Shares | 149,417.10 | 121,797.50 | |||||||
APERGY CORP | 7,436 Shares | 217,468.56 | 201,366.88 | |||||||
ARES CAPITAL CORP | 10,182 Shares | 173,317.58 | 158,635.56 | |||||||
ARES COMMERCIAL REAL ESTA | 18,733 Shares | 263,637.27 | 244,278.32 | |||||||
ARROW ELECTRONICS INC | 9,237 Shares | 721,136.90 | 636,891.15 | |||||||
ASSURANT INC | 1,364 Shares | 146,481.84 | 121,996.16 |
4
Page 5 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
AVERY DENNISON CORP | 2,543 Shares | 232,454.11 | 228,437.69 | |||||||
AVNET INC | 8,128 Shares | 364,390.63 | 293,420.80 | |||||||
BMC STK HLDGS INC | 17,631 Shares | 378,182.07 | 272,927.88 | |||||||
BANKUNITED INC | 8,674 Shares | 345,874.73 | 259,699.56 | |||||||
BELDEN INC | 9,236 Shares | 602,129.97 | 385,787.72 | |||||||
BERRY GLOBAL GROUP INC | 3,541 Shares | 171,236.89 | 168,303.73 | |||||||
BLACKSTONE MORTGAGE CL A | 8,182 Shares | 268,971.97 | 260,678.52 | |||||||
BOOZ ALLEN HAMILTON CL A | 3,894 Shares | 183,872.23 | 175,502.58 | |||||||
BOSTON PRIVATE FINL HLDG | 12,029 Shares | 156,141.90 | 127,146.53 | |||||||
BROOKS AUTOMATION INC | 8,353 Shares | 274,333.61 | 218,681.54 | |||||||
CDK GLOBAL INC | 9,352 Shares | 585,060.29 | 447,773.76 | |||||||
CDW CORPORATION | 7,175 Shares | 632,373.13 | 581,533.75 | |||||||
CADENCE BANCORP CL A | 17,846 Shares | 496,628.43 | 299,455.88 | |||||||
CAMBREX CORP | 2,598 Shares | 148,680.69 | 98,100.48 | |||||||
CARLISLE COS INC | 1,351 Shares | 157,004.94 | 135,802.52 | |||||||
CENTERSTATE BANKS CORPORA | 7,781 Shares | 230,811.17 | 163,712.24 | |||||||
CHATHAM LODGING TRUST | 10,423 Shares | 212,040.69 | 184,278.64 | |||||||
CHEMED CORP | 1,126 Shares | 368,254.39 | 318,973.28 | |||||||
CIENA CORP | 16,386 Shares | 440,384.34 | 555,649.26 | |||||||
CIMAREX ENERGY CO | 4,325 Shares | 367,602.56 | 266,636.25 | |||||||
COHERENT INC | 1,939 Shares | 321,880.92 | 204,971.69 | |||||||
COLONY CAPITAL INC | 22,423 Shares | 135,605.26 | 104,939.64 | |||||||
COLUMBIA BANKING SYS INC | 2,946 Shares | 122,515.55 | 106,910.34 | |||||||
COMMSCOPE HOLDING CO INC | 6,458 Shares | 196,290.20 | 105,846.62 | |||||||
FRESH DEL MONTE PRODUCE | 7,840 Shares | 330,740.37 | 221,636.80 | |||||||
COOPER TIRE & RUBBER COMP | 6,071 Shares | 160,605.56 | 196,275.43 | |||||||
ASPEN INSURANCE HLDGS LTD | 3,240 Shares | 131,002.75 | 136,047.60 | |||||||
COUSINS PROPERTIES INC | 16,952 Shares | 139,685.79 | 133,920.80 | |||||||
AMDOCS LTD | 5,775 Shares | 392,559.81 | 338,299.50 | |||||||
CROWN HOLDINGS INC | 3,021 Shares | 136,455.61 | 125,582.97 | |||||||
CURTISS WRIGHT CORPORATIO | 1,900 Shares | 197,758.35 | 194,028.00 | |||||||
WHITE MOUNTAINS INS GROUP | 390 Shares | 356,000.21 | 334,499.10 | |||||||
FLEX LTD | 16,630 Shares | 246,657.79 | 126,554.30 | |||||||
DIAMONDBACK ENERGY INC | 5,082 Shares | 658,708.16 | 471,101.40 | |||||||
EVEREST REINSURANCE GROUP | 1,693 Shares | 393,694.54 | 368,667.68 | |||||||
MARVELL TECH GROUP LTD | 20,546 Shares | 433,529.01 | 332,639.74 | |||||||
AXIS CAPITAL HOLDINGS LTD | 5,402 Shares | 307,258.34 | 278,959.28 | |||||||
E TRADE FINANCIAL CORP | 7,905 Shares | 418,826.74 | 346,871.40 | |||||||
EAST WEST BANCORP INC | 8,884 Shares | 564,847.79 | 386,720.52 | |||||||
ENERGIZER HLDGS INC | 6,568 Shares | 394,725.48 | 296,545.20 | |||||||
ENERSYS INC | 8,215 Shares | 644,103.87 | 637,566.15 | |||||||
ENGILITY HOLDINGS INC | 4,933 Shares | 173,384.40 | 140,393.18 | |||||||
ENTERCOM COMM CORP CL A | 24,138 Shares | 193,242.81 | 137,827.98 | |||||||
EQUITRANS MIDSTREAM CORP | 4,857 Shares | 150,946.07 | 97,237.14 | |||||||
EVERTEC INC | 6,444 Shares | 176,626.53 | 184,942.80 | |||||||
EXTRACTION OIL & GAS INC | 18,511 Shares | 249,643.71 | 79,412.19 | |||||||
FCB FIN HLDGS INC CL A | 4,227 Shares | 242,674.26 | 141,942.66 | |||||||
FTI CONSULTING INC | 5,992 Shares | 412,904.01 | 399,306.88 | |||||||
FIDELITY NATIONAL FINL | 3,559 Shares | 141,003.08 | 111,894.96 | |||||||
FIRST CITIZENS BANCSHARES | 601 Shares | 246,880.00 | 226,607.05 | |||||||
FIRST HAWAIIAN INC | 10,253 Shares | 260,553.20 | 230,795.03 | |||||||
FIRST MERCHANTS CORP | 7,056 Shares | 329,337.77 | 241,809.12 | |||||||
FIRST MIDWEST BANCORP DEL | 8,728 Shares | 229,033.29 | 172,901.68 | |||||||
FIRSTCASH INC | 4,130 Shares | 376,614.54 | 298,805.50 | |||||||
FORUM ENERGY TECH INC | 19,471 Shares | 240,282.94 | 80,415.23 | |||||||
GRANITE CONSTRUCTION INC | 3,839 Shares | 185,780.75 | 154,634.92 | |||||||
GRAPHIC PACKAGING HLDGS C | 76,536 Shares | 1,074,350.71 | 814,343.04 |
5
Page 6 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
GROUP 1 AUTOMOTIVE INC | 2,834 Shares | 194,370.30 | 149,408.48 | |||||||
HD SUPPLY HLDGS INC | 4,984 Shares | 196,162.76 | 186,999.68 | |||||||
HANMI FIN CORPORATION | 8,465 Shares | 231,493.78 | 166,760.50 | |||||||
HANOVER INSURANCE GROUP | 2,410 Shares | 297,718.59 | 281,415.70 | |||||||
HUNTINGTON BANCSHARES INC | 14,533 Shares | 194,357.08 | 173,233.36 | |||||||
HUNTINGTON INC W/I | 574 Shares | 132,700.07 | 109,237.94 | |||||||
HURON CONSULTING GROUP | 7,542 Shares | 340,181.43 | 386,980.02 | |||||||
INSIGHT ENTERPRISES INC | 8,591 Shares | 436,002.31 | 350,083.25 | |||||||
JAGGED PEAK ENERGY INC | 11,620 Shares | 163,386.01 | 105,974.40 | |||||||
JEFFERIES FIN GROUP INC | 18,402 Shares | 420,725.28 | 319,458.72 | |||||||
JONES LANG LASALLE INC | 2,118 Shares | 356,009.10 | 268,138.80 | |||||||
KAR AUCTION SERVICES INC | 14,744 Shares | 860,181.39 | 703,583.68 | |||||||
LCI INDUSTRIES | 7,172 Shares | 642,637.03 | 479,089.60 | |||||||
LPL FIN HLDGS INC | 2,976 Shares | 178,611.49 | 181,774.08 | |||||||
LA Z BOY INC | 9,529 Shares | 305,709.06 | 264,048.59 | |||||||
LIONS GATE ENT CORP B | 4,069 Shares | 95,238.95 | 60,546.72 | |||||||
LITHIA MOTORS INC CL A | 6,763 Shares | 643,891.26 | 516,219.79 | |||||||
MFA FINANCIAL INC | 59,317 Shares | 449,357.85 | 396,237.56 | |||||||
STEVEN MADDEN LTD | 15,881 Shares | 594,255.03 | 480,559.06 | |||||||
MANPOWERGROUP INC | 1,436 Shares | 124,234.86 | 93,052.80 | |||||||
MAXIMUS INC | 1,561 Shares | 102,005.85 | 101,605.49 | |||||||
MINERALS TECHNOLOGIES INC | 7,067 Shares | 529,078.97 | 362,819.78 | |||||||
MOSAIC CO NEW | 9,504 Shares | 311,862.36 | 277,611.84 | |||||||
NCR CORP | 13,068 Shares | 392,056.44 | 301,609.44 | |||||||
NATIONAL GEN HLDGS CORP | 26,030 Shares | 690,477.07 | 630,186.30 | |||||||
NAVIGANT CONSULTING INC | 11,294 Shares | 246,371.57 | 271,620.70 | |||||||
NAVIENT CORP | 54,823 Shares | 764,717.41 | 482,990.63 | |||||||
NELNET INC CL A | 8,672 Shares | 528,657.00 | 453,892.48 | |||||||
NEWFIELD EXPLORATION CO | 15,293 Shares | 224,956.37 | 224,195.38 | |||||||
ON SEMICONDUCTOR CORP | 9,221 Shares | 216,234.60 | 152,238.71 | |||||||
OWENS CORNING INC | 5,954 Shares | 386,028.21 | 261,856.92 | |||||||
OWENS ILLINOIS INC | 13,865 Shares | 235,093.29 | 239,032.60 | |||||||
PRA GROUP INC | 7,495 Shares | 315,733.84 | 182,653.15 | |||||||
PARSLEY ENERGY INC CL A | 22,104 Shares | 695,592.26 | 353,221.92 | |||||||
PATTERSON COMPANIES INC | 7,398 Shares | 169,396.91 | 145,444.68 | |||||||
PEAPACK GLADSTONE FINL | 5,116 Shares | 157,602.16 | 128,820.88 | |||||||
PORTLAND GEN ELECTRIC CO | 3,014 Shares | 135,237.41 | 138,191.90 | |||||||
PQ GROUP HOLDINGS INC | 21,682 Shares | 384,967.23 | 321,110.42 | |||||||
PREFERRED BANK LOS ANGELE | 4,299 Shares | 267,886.82 | 186,361.65 | |||||||
PROASSURANCE CORPORATION | 6,787 Shares | 303,124.37 | 275,280.72 | |||||||
QEP RESOURCES INC | 20,791 Shares | 251,500.20 | 117,053.33 | |||||||
QORVO INC | 5,346 Shares | 417,534.56 | 324,662.58 | |||||||
RADIAN GROUP INC | 13,820 Shares | 251,729.32 | 226,095.20 | |||||||
RAYMOND JAMES FIN INC. | 2,764 Shares | 261,903.46 | 205,669.24 | |||||||
REALOGY HOLDINGS CORP | 9,962 Shares | 228,606.00 | 146,242.16 | |||||||
REINSURANCE GROUP OF AMER | 2,892 Shares | 397,575.63 | 405,545.16 | |||||||
RETAIL PPTYS AMER INC | 15,126 Shares | 190,488.25 | 164,117.10 | |||||||
SL GREEN REALTY CORP REIT | 2,063 Shares | 192,287.81 | 163,142.04 | |||||||
SLM CORP | 81,444 Shares | 959,644.21 | 676,799.64 | |||||||
SVB FINL GROUP | 684 Shares | 140,120.62 | 129,905.28 | |||||||
SCHOLASTIC CORP | 2,050 Shares | 88,901.22 | 82,533.00 | |||||||
SCHWEITZER-MAUDUIT INTL | 11,239 Shares | 480,649.53 | 281,536.95 | |||||||
SKECHERS USA INC CL A | 19,846 Shares | 580,603.25 | 454,274.94 | |||||||
STANDARD MOTOR PRODUCTS | 3,279 Shares | 160,481.03 | 158,801.97 | |||||||
STARWOOD PROPERTY TR INC | 19,228 Shares | 426,818.54 | 378,983.88 | |||||||
STIFEL FINANCIAL CORP | 3,357 Shares | 181,451.56 | 139,046.94 | |||||||
SUNCOKE ENERGY INC | 49,644 Shares | 651,595.56 | 424,456.20 |
6
Page 7 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
SUPERIOR ENERGY SVCS INC | 23,728 Shares | 229,966.13 | 79,488.80 | |||||||
SYKES ENTERPRISES INC | 5,757 Shares | 174,265.38 | 142,370.61 | |||||||
SYNOVUS FINANICAL CORP | 3,981 Shares | 148,626.43 | 127,352.19 | |||||||
SYNNEX CORP | 7,359 Shares | 688,119.70 | 594,901.56 | |||||||
SYNEOS HEALTH INC | 10,761 Shares | 531,780.17 | 423,445.35 | |||||||
TEGNA INC | 6,513 Shares | 71,640.57 | 70,796.31 | |||||||
TERADYNE INC | 6,053 Shares | 238,723.22 | 189,943.14 | |||||||
TETRA TECH INC | 4,750 Shares | 293,958.43 | 245,907.50 | |||||||
TIMKEN CO | 7,164 Shares | 336,230.06 | 267,360.48 | |||||||
TTEC HOLDINGS INC | 13,778 Shares | 452,884.53 | 393,637.46 | |||||||
TUTOR PERINI CORP | 13,636 Shares | 260,168.39 | 217,766.92 | |||||||
TWO HBRS INVT CORP | 53,879 Shares | 847,847.43 | 691,806.36 | |||||||
UMPQUA HOLDINGS CORP | 12,960 Shares | 251,294.60 | 206,064.00 | |||||||
UNIVERSAL CORP | 4,794 Shares | 303,871.35 | 259,595.10 | |||||||
VALVOLINE INC | 19,296 Shares | 426,449.98 | 373,377.60 | |||||||
VERSUM MATERIALS INC | 7,343 Shares | 259,211.51 | 203,547.96 | |||||||
WALKER & DUNLOP INC | 15,646 Shares | 916,894.77 | 676,689.50 | |||||||
WESCO INTERNATIONAL INC | 9,816 Shares | 585,460.53 | 471,168.00 | |||||||
WORLD FUEL SERVICES CORP | 28,993 Shares | 648,764.48 | 620,740.13 | |||||||
WYNDHAM DESTINATIONS INC | 5,856 Shares | 270,216.18 | 209,879.04 | |||||||
HORIZON PHARMA PLC | 37,072 Shares | 487,175.18 | 724,386.88 | |||||||
BRIGHTSPHERE INVT GROUP P | 23,767 Shares | 400,872.21 | 253,831.56 | |||||||
AXALTA COATING SYS LTD | 18,640 Shares | 530,881.83 | 436,548.80 | |||||||
COLLIERS INTL GROUP (US) | 5,134 Shares | 154,332.18 | 282,575.36 | |||||||
FIRSTSERVICE CORP (US) | 7,945 Shares | 210,276.27 | 544,073.60 | |||||||
ADTALEM GLOBAL EDUCATION | 24,311 Shares | 722,363.77 | 1,150,396.52 | |||||||
ASPEN TECHNOLOGIES | 7,600 Shares | 736,554.40 | 624,568.00 | |||||||
BWX TECHNOLOGIES INC | 32,641 Shares | 1,426,259.40 | 1,247,865.43 | |||||||
BALL CORP | 29,830 Shares | 1,125,430.02 | 1,371,583.40 | |||||||
BOOZ ALLEN HAMILTON CL A | 29,963 Shares | 801,849.87 | 1,350,432.41 | |||||||
BURLINGTON STORES INC | 6,850 Shares | 1,075,416.54 | 1,114,289.50 | |||||||
CBOE GLOBAL MARKETS INC | 13,890 Shares | 1,070,773.01 | 1,358,858.70 | |||||||
CABLE ONE INC W/I | 450 Shares | 223,030.02 | 369,045.00 | |||||||
CAMBREX CORP | 13,587 Shares | 672,505.62 | 513,045.12 | |||||||
CATALENT INC | 22,880 Shares | 997,791.07 | 713,398.40 | |||||||
CELANESE CORP | 8,860 Shares | 483,218.00 | 797,134.20 | |||||||
CENTENNIAL RESOURCE DEV A | 22,410 Shares | 414,981.62 | 246,958.20 | |||||||
COPART INC | 34,310 Shares | 1,062,692.40 | 1,639,331.80 | |||||||
RITCHIE BROS AUCTIONEERS | 18,920 Shares | 617,413.63 | 619,062.40 | |||||||
COSTAR GROUP INC | 4,392 Shares | 675,410.63 | 1,481,597.28 | |||||||
DEXCOM INC | 7,300 Shares | 495,101.18 | 874,540.00 | |||||||
DOMINOS PIZZA INC | 3,420 Shares | 686,225.62 | 848,125.80 | |||||||
EAST WEST BANCORP INC | 7,000 Shares | 397,119.99 | 304,710.00 | |||||||
ENCORE CAP GROUP INC | 16,189 Shares | 579,044.07 | 380,441.50 | |||||||
ENCOMPASS HEALTH CORP | 16,796 Shares | 728,819.50 | 1,036,313.20 | |||||||
EURONET WORLDWIDE INC | 12,800 Shares | 1,133,728.65 | 1,310,464.00 | |||||||
EXACT SCIENCES CORP | 12,795 Shares | 381,225.90 | 807,364.50 | |||||||
FIRSTCASH INC | 10,669 Shares | 591,349.39 | 771,902.15 | |||||||
FORTINET INC | 9,700 Shares | 648,653.95 | 683,171.00 | |||||||
GENESEE & WYOMING CL A | 8,220 Shares | 600,687.15 | 608,444.40 | |||||||
GLAUKOS CORP | 13,929 Shares | 487,439.58 | 782,391.93 | |||||||
GODADDY INC CL A | 13,006 Shares | 931,432.78 | 853,453.72 | |||||||
GRAND CANYON EDUCATION | 9,595 Shares | 684,169.08 | 922,463.30 | |||||||
GUIDEWIRE SOFTWARE INC | 6,280 Shares | 288,803.92 | 503,844.40 | |||||||
HEALTHCARE SVCS GROUP INC | 21,926 Shares | 1,081,114.35 | 880,986.68 | |||||||
HEICO CORP CL A | 14,655 Shares | 458,939.02 | 923,265.00 | |||||||
HILTON GRAND VACATIONS | 16,416 Shares | 637,681.53 | 433,218.24 |
7
Page 8 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
INOGEN INC | 3,320 Shares | 458,877.91 | 412,244.40 | |||||||
INSULET CORP | 11,660 Shares | 1,098,134.21 | 924,871.20 | |||||||
JONES LANG LASALLE INC | 4,297 Shares | 488,154.93 | 544,000.20 | |||||||
J2 GLOBAL INC | 7,136 Shares | 429,305.18 | 495,095.68 | |||||||
LAMB WESTON HOLDINGS INC | 6,400 Shares | 478,232.55 | 470,784.00 | |||||||
LIGAND PHARMACEUTICALS | 5,390 Shares | 529,573.15 | 731,423.00 | |||||||
LIVE NATION ENTERTAINMENT | 23,860 Shares | 920,143.57 | 1,175,105.00 | |||||||
MARTIN MARIETTA MATERIALS | 6,420 Shares | 1,246,359.33 | 1,103,405.40 | |||||||
MAXLINEAR INC | 13,369 Shares | 333,652.82 | 235,294.40 | |||||||
MIDDLEBY CORP | 8,114 Shares | 819,158.51 | 833,551.22 | |||||||
NATIONAL INSTRUMENT CORP | 14,765 Shares | 564,210.68 | 670,035.70 | |||||||
NICE LTD SPON ADR | 6,010 Shares | 555,928.31 | 650,342.10 | |||||||
NOVANTA INC | 5,690 Shares | 326,566.77 | 358,470.00 | |||||||
NU SKIN ENTERPRISES CL A | 6,758 Shares | 356,925.83 | 414,468.14 | |||||||
PARSLEY ENERGY INC CL A | 20,250 Shares | 594,805.36 | 323,595.00 | |||||||
PENUMBRA INC | 4,390 Shares | 617,344.79 | 536,458.00 | |||||||
PORTOLA PHARMACEUTICALS | 13,350 Shares | 449,363.99 | 260,592.00 | |||||||
PURE STORAGE INC CL A | 50,975 Shares | 1,088,695.64 | 819,678.00 | |||||||
ROGERS CORP | 8,157 Shares | 1,203,653.85 | 808,032.42 | |||||||
SABRE CORP | 30,050 Shares | 750,949.50 | 650,282.00 | |||||||
SITEONE LANDSCAPE SUPPLY | 7,410 Shares | 270,791.41 | 409,550.70 | |||||||
SIX FLAGS ENTERTAINMENT | 14,240 Shares | 633,158.01 | 792,171.20 | |||||||
TELEDYNE TECHNOLOGIES INC | 4,906 Shares | 914,652.71 | 1,015,885.42 | |||||||
TELEFLEX INC | 4,240 Shares | 1,081,396.31 | 1,095,955.20 | |||||||
TORO CO | 6,421 Shares | 231,943.28 | 358,805.48 | |||||||
TRANSUNION | 17,510 Shares | 748,912.60 | 994,568.00 | |||||||
TREX CO INC | 9,240 Shares | 569,333.75 | 548,486.40 | |||||||
2U INC | 8,510 Shares | 488,020.53 | 423,117.20 | |||||||
UNIVERSAL ELECTRONICS INC | 7,345 Shares | 478,458.00 | 185,681.60 | |||||||
VAIL RESORTS INC | 4,400 Shares | 941,976.51 | 927,608.00 | |||||||
VEEVA SYS INC CL A | 12,630 Shares | 489,364.57 | 1,128,111.60 | |||||||
VIRTU FINANCIAL INC CL A | 21,914 Shares | 447,319.83 | 564,504.64 | |||||||
WEIGHT WATCHERS INTL INC | 9,550 Shares | 711,027.34 | 368,152.50 | |||||||
WEST PHARMACEUTICAL SVCS | 4,310 Shares | 399,299.13 | 422,509.30 | |||||||
WEX INC | 4,540 Shares | 530,807.64 | 635,872.40 | |||||||
|
| |||||||||
Total Common Stocks | 449,006,753.65 | 571,355,272.89 | ||||||||
|
| |||||||||
U.S. Government Securities | ||||||||||
FHLG 30YR 3% 03/45#G08631 | 541,577.17 Shares | 541,492.57 | 530,071.91 | |||||||
FHLG 30YR 3% 06/46#Q41083 | 882,130.59 Shares | 889,711.39 | 862,012.28 | |||||||
FNMA 30YR 4% 03/45#AS4630 | 348,176.44 Shares | 369,719.86 | 356,391.94 | |||||||
FNMA 30YR 4.0% 07/45#AS5380 | 456,177.90 Shares | 487,753.99 | 466,799.23 | |||||||
FNMA 3.5% 09/45#AS5722 | 207,942.38 Shares | 217,949.63 | 208,488.31 | |||||||
FNMA 30YR 3.5% 05/46#AS7245 | 242,879.90 Shares | 256,883.43 | 243,441.66 | |||||||
FNMA 30YR 3.5% 06/46#AS7348 | 482,183.53 Shares | 497,929.83 | 483,298.78 | |||||||
FNMA 30YR 3.5% 07/46#AS7544 | 512,298.89 Shares | 522,862.95 | 513,163.60 | |||||||
FNMA 30YR 3% 08/46#AS7737 | 551,518.24 Shares | 572,631.03 | 538,746.18 | |||||||
FANNIEMAE 30YR 3% 10/46#AS8186 | 570,320.67 Shares | 590,304.18 | 557,113.18 | |||||||
FNMA 30YR 3.0% 5/43#AT2722 | 289,390.36 Shares | 301,870.31 | 284,045.17 | |||||||
FNMA 30YR 4.0% 12/01/44#AX4873 | 314,126.17 Shares | 333,660.91 | 321,538.23 | |||||||
FNMA 5.00% 5/38 #983077 | 161,698.15 Shares | 178,878.56 | 171,682.77 | |||||||
FNMA 30YR 3.5% 01/01/45#MA2163 | 425,464.22 Shares | 440,355.46 | 426,847.15 | |||||||
FNMA 30YR 4% 12/01/45#MA2484 | 440,508.02 Shares | 470,104.66 | 450,351.53 | |||||||
FNMA 30YR 3% 11/46#MA2806 | 198,940.37 Shares | 204,877.49 | 194,333.31 | |||||||
FNMA 30YR 3.5% 01/49 #TBA | 2,290,000.00 Shares | 2,258,154.69 | 2,289,124.08 | |||||||
FNMA 30YR 4% 01/49 #TBA | 1,390,000.00 Shares | 1,404,108.31 | 1,416,879.82 | |||||||
FNMA 30YR 4.5% 01/49 #TBA | 1,205,000.00 Shares | 1,241,479.49 | 1,247,422.99 |
8
Page 9 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
USTN TII 0.5% 01/15/28 | 435,000.00 Shares | 431,008.56 | 425,889.08 | |||||||
USTN 1.75% 09/30/22 | 2,040,000.00 Shares | 1,967,006.01 | 1,986,176.07 | |||||||
USTB 2.75% 11/15/47 | 680,000.00 Shares | 645,203.64 | 644,574.35 | |||||||
|
| |||||||||
Total U.S. Government Securities | 14,823,946.95 | 14,618,391.62 | ||||||||
|
| |||||||||
Corporate Debt Securities | ||||||||||
TELENET FINANCE 5.5% 1/28 144A | 200,000.00 Shares | 200,000.00 | 181,000.00 | |||||||
ADT CORP 4.125% 6/15/23 | 90,000.00 Shares | 84,150.00 | 82,350.00 | |||||||
AFLAC INC 6.45% 8/15/40 | 61,000.00 Shares | 76,430.56 | 73,621.68 | |||||||
AMC NETWORKS INC 4.75% 8/1/25 | 85,000.00 Shares | 80,068.75 | 77,137.50 | |||||||
AT&T INC 3.8% 03/15/22 | 300,000.00 Shares | 307,594.47 | 301,294.49 | |||||||
AEGON NV 6ML+354 04/11/48 | 215,000.00 Shares | 215,000.00 | 195,650.00 | |||||||
AGRIUM INC 3.375% 03/15/25 | 135,000.00 Shares | 131,549.40 | 125,471.67 | |||||||
AIRBUS SE 3.15% 04/10/27 144A | 175,000.00 Shares | 176,397.75 | 168,376.43 | |||||||
ALLSTATE CORP 5.75 8/53 | 95,000.00 Shares | 103,072.29 | 92,625.00 | |||||||
ALTRIA GROUP INC 2.85% 8/09/22 | 85,000.00 Shares | 84,182.41 | 81,593.86 | |||||||
AMERICAN AXLE 6.625% 10/15/22 | 57,000.00 Shares | 59,103.30 | 56,430.00 | |||||||
AMERICAN EXPRESS 5.2% VAR PERP | 105,000.00 Shares | 106,324.56 | 103,425.00 | |||||||
AIG INTL 3.75% 7/10/25 | 205,000.00 Shares | 196,025.10 | 196,371.62 | |||||||
AMERICAN INTERN 5.75%/VAR 4/48 | 150,000.00 Shares | 150,000.00 | 130,500.00 | |||||||
AMERICAN TOWER CORP 5% 2/24 | 120,000.00 Shares | 129,922.06 | 124,124.11 | |||||||
AMERICAN WOOD 4.875% 3/26 144A | 75,000.00 Shares | 74,212.50 | 66,375.00 | |||||||
ANHEUSER-BUSCH 3.65% 2/1/26 | 105,000.00 Shares | 108,496.50 | 99,161.40 | |||||||
APPLE INC 3.85% 5/4/43 | 110,000.00 Shares | 100,447.60 | 104,704.16 | |||||||
ASHTEAD CAP 4.125% 8/25 144A | 30,000.00 Shares | 30,000.00 | 27,450.00 | |||||||
AUTONATION INC 4.5% 10/01/25 | 85,000.00 Shares | 89,912.83 | 82,187.71 | |||||||
BAE SYSTEMS 3.85% 12/25 144A | 135,000.00 Shares | 133,407.00 | 133,905.88 | |||||||
BNP PARIBAS VR 7.375% PRP 144A | 200,000.00 Shares | 225,500.00 | 199,500.00 | |||||||
BNP PARIBAS 4.375 5/12/26 144A | 175,000.00 Shares | 177,511.25 | 168,488.42 | |||||||
BMW US CAPITAL 3.45% 4/23 144A | 295,000.00 Shares | 294,784.65 | 292,838.70 | |||||||
BP CAPITAL MKTS 2.52% 9/19/22 | 95,000.00 Shares | 95,000.00 | 91,865.71 | |||||||
BAKER HUGHES 2.773% 12/15/22 | 185,000.00 Shares | 185,000.00 | 177,478.65 | |||||||
BANCO SANTANDER SA 3.8% 02/28 | 200,000.00 Shares | 199,078.00 | 177,999.05 | |||||||
BANK OF AMERICA 6.1% VAR PERP | 135,000.00 Shares | 139,387.50 | 132,975.00 | |||||||
BANK OF AMR CORP 6.3% VAR PERP | 80,000.00 Shares | 83,332.31 | 81,252.00 | |||||||
BANK AMER FDG CORP 4% 04/01/24 | 123,000.00 Shares | 128,050.93 | 123,673.02 | |||||||
BANK AMER CORP 4.25% 10/22/26 | 170,000.00 Shares | 172,914.05 | 165,426.56 | |||||||
BK OF AMER 3.419%/VAR 12/20/28 | 342,000.00 Shares | 340,166.01 | 319,479.13 | |||||||
BANK NEW YORK 4.950/ VAR PERP | 120,000.00 Shares | 125,012.70 | 117,000.00 | |||||||
BARCLAYSPLC 3.65% 03/16/25 | 205,000.00 Shares | 201,206.97 | 188,956.50 | |||||||
BRINKS 4.625% 10/15/27 144A | 125,000.00 Shares | 115,887.50 | 114,091.25 | |||||||
BUNGE LTD FIN 3.25% 8/15/26 | 135,000.00 Shares | 133,771.32 | 118,343.90 | |||||||
COMMUNITY HLTH 5.125 8/21 | 115,000.00 Shares | 115,102.51 | 106,662.50 | |||||||
CNH INDUSTRIAL 3.85% 11/15/27 | 155,000.00 Shares | 147,155.45 | 140,982.90 | |||||||
CNA FINANCIAL CORP 3.45% 08/27 | 100,000.00 Shares | 99,963.38 | 93,093.37 | |||||||
CVS HEALTH CORP 4.3% 03/25/28 | 300,000.00 Shares | 294,989.80 | 293,756.27 | |||||||
CAPITAL ONE FIN 5.55%/VAR PERP | 145,000.00 Shares | 148,942.19 | 139,650.95 | |||||||
CAPITAL ONE FINAN 3.75% 3/9/27 | 180,000.00 Shares | 174,144.60 | 167,273.38 | |||||||
CENTENE ESCRO 5.375% 6/26 144A | 85,000.00 Shares | 85,000.00 | 82,662.50 | |||||||
CHEMOURS CO 5.375% 05/15/2027 | 85,000.00 Shares | 85,724.55 | 76,500.00 | |||||||
CITIGROUP INC 4.5% 1/14/22 | 230,000.00 Shares | 248,286.44 | 234,988.90 | |||||||
CITIGROUP INC 3.75% 06/16/24 | 80,000.00 Shares | 82,663.59 | 79,433.22 | |||||||
CITIGROUP 4.3% 11/26 | 175,000.00 Shares | 177,242.67 | 168,370.43 | |||||||
CITIGROUP 3.2% 10/21/26 | 90,000.00 Shares | 86,533.29 | 83,114.97 | |||||||
COMCAST CORP 6.4% 5/15/38 | 70,000.00 Shares | 89,678.40 | 82,204.27 | |||||||
CONOCOPHILLIPS 6.5% 2/01/39 | 70,000.00 Shares | 88,361.70 | 87,030.31 | |||||||
CONSTELATION ENERGY5.15% 12/20 | 80,000.00 Shares | 88,368.00 | 81,750.79 |
9
Page 10 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
RABOBK NEDERLND 3.95% 11/09/22 | 120,000.00 Shares | 125,944.80 | 119,602.18 | |||||||
COX COMM 3.35% 9/15/26 144A | 210,000.00 Shares | 193,617.90 | 193,847.21 | |||||||
CREDIT AGRC 7.875/VAR PRP 144A | 270,000.00 Shares | 309,487.50 | 269,647.38 | |||||||
CREDIT SUIS 7.5%/VAR PERP 144A | 200,000.00 Shares | 200,000.00 | 195,000.00 | |||||||
CROWN AMER IV 4.5 1/15/23 WI | 60,000.00 Shares | 58,800.00 | 58,575.00 | |||||||
CROWN CASTLE 3.7% 6/15/26 | 90,000.00 Shares | 89,725.50 | 85,898.91 | |||||||
CUMMINS INC 4.875% 10/01/43 | 120,000.00 Shares | 132,666.00 | 132,278.42 | |||||||
DEERE JOHN CAPIT 2.65% 6/24/24 | 180,000.00 Shares | 180,164.20 | 172,640.64 | |||||||
DEUTSCHE AG NY 4.875/VAR 12/32 | 280,000.00 Shares | 279,932.80 | 217,711.20 | |||||||
DOMTAR CORP 6.75% 02/15/44 | 130,000.00 Shares | 141,254.10 | 131,941.99 | |||||||
EBAY INC 3.8% 03/09/2022 | 125,000.00 Shares | 126,525.55 | 125,515.51 | |||||||
ENDO/FINC VAR 1/23 144A | 110,000.00 Shares | 89,100.00 | 83,600.00 | |||||||
ENSCO PLC 5.2% 3/15/25 | 100,000.00 Shares | 77,000.00 | 66,500.00 | |||||||
ENTERPRISE PRODS 2.8% 2/15/21 | 130,000.00 Shares | 129,929.80 | 128,569.12 | |||||||
FEDEX CORP 3.25% 04/01/2026 | 110,000.00 Shares | 110,738.91 | 104,475.58 | |||||||
FIRSTENERGY 4.35% 01/25 144A | 130,000.00 Shares | 135,714.80 | 131,411.91 | |||||||
GE CAP INTL 4.418% 11/15/35 | 65,000.00 Shares | 69,141.15 | 54,684.97 | |||||||
GENERAL ELECTRIC 5.0%/VAR PERP | 274,000.00 Shares | 255,733.94 | 209,610.00 | |||||||
GENERAL MTRS CO 4% 4/1/25 | 180,000.00 Shares | 169,916.40 | 168,259.69 | |||||||
GENWORTH HLDGS 4.8% 02/15/24 | 105,000.00 Shares | 90,979.05 | 86,625.00 | |||||||
GLENCORE FDG LLC 4% 3/27 144A | 65,000.00 Shares | 61,660.95 | 59,245.30 | |||||||
GSINC 5.25% 7/27/21 | 105,000.00 Shares | 115,307.85 | 108,995.37 | |||||||
GOLDMAN SACHS GP 5.75% 1/24/22 | 400,000.00 Shares | 456,312.39 | 418,796.13 | |||||||
GOLDMAN SCHS GRP INC 4% 3/3/24 | 145,000.00 Shares | 152,958.19 | 143,072.23 | |||||||
GOLDMAN SACHS GR 5.3%/VAR PERP | 120,000.00 Shares | 122,247.00 | 107,400.00 | |||||||
HCA INC 5.5% 06/15/47 | 50,000.00 Shares | 47,935.00 | 47,375.00 | |||||||
HSBC HOLDINGS 4.375% 11/23/26 | 200,000.00 Shares | 208,794.00 | 193,723.67 | |||||||
HARMAN INTL IND 4.15% 05/15/25 | 85,000.00 Shares | 85,398.65 | 85,207.92 | |||||||
HARVEST OPERA 4.2% 6/1/23 144A | 200,000.00 Shares | 199,838.00 | 205,233.34 | |||||||
HEINEKEN NV 3.5% 01/29/28 144A | 130,000.00 Shares | 130,686.66 | 125,434.65 | |||||||
HILTON DOMEST 5.125% 5/26 144A | 90,000.00 Shares | 90,025.00 | 86,400.00 | |||||||
HUNTINGTON BANCSHAR 4% 5/15/25 | 150,000.00 Shares | 149,529.00 | 150,848.69 | |||||||
ING GROEP NV 3.95% 03/29/27 | 130,000.00 Shares | 129,829.70 | 124,808.25 | |||||||
INTEL CORP 3.15% 05/11/27 | 130,000.00 Shares | 130,553.22 | 126,323.81 | |||||||
INTL PAPER CO GLB 8.7 6/15/38 | 110,000.00 Shares | 153,496.20 | 146,474.20 | |||||||
JPMC CO 4.5% 1/24/22 | 290,000.00 Shares | 314,722.54 | 298,799.02 | |||||||
JPM CHASE 6.75% PERP | 235,000.00 Shares | 258,742.83 | 242,813.75 | |||||||
JPMC CO 3.875% 09/10/24 | 450,000.00 Shares | 443,538.00 | 443,628.92 | |||||||
JPMC CO 4.26/VAR 02/22/48 | 130,000.00 Shares | 137,208.50 | 120,910.97 | |||||||
JEFFERIES GROUP 4.85% 1/15/27 | 180,000.00 Shares | 178,750.32 | 172,093.92 | |||||||
KEYCORP 5/VAR PERP | 155,000.00 Shares | 157,192.81 | 141,631.25 | |||||||
KRAFT HEINZ CO 4.375% 6/1/46 | 110,000.00 Shares | 108,095.66 | 90,738.30 | |||||||
LYB INTL FIN BV 4.0% 07/15/23 | 150,000.00 Shares | 158,405.87 | 150,709.76 | |||||||
LAND O LAKES INC 8% PERP 144A | 125,000.00 Shares | 125,000.00 | 132,187.50 | |||||||
LAZARD GROUP LLC 3.625% 3/1/27 | 220,000.00 Shares | 218,121.12 | 207,018.27 | |||||||
LEVEL 3 FIN INC 5.25% 03/15/26 | 90,000.00 Shares | 90,000.00 | 82,350.00 | |||||||
LIBERTY MUTUAL 4.95% 5/22 144A | 170,000.00 Shares | 185,322.10 | 175,266.12 | |||||||
LINCOLN NATIONAL 3.35% 3/9/25 | 200,000.00 Shares | 199,604.70 | 194,460.92 | |||||||
LLOYDS TSB BANK 4.45% 05/08/25 | 230,000.00 Shares | 229,862.00 | 228,479.69 | |||||||
LOWES COS INC 3.1% 05/03/2027 | 60,000.00 Shares | 60,075.11 | 54,855.38 | |||||||
MAPLE ESCR 4.417% 5/25/25 144A | 190,000.00 Shares | 190,000.00 | 189,202.46 | |||||||
METLIFE INC 3% 03/01/25 | 205,000.00 Shares | 196,882.00 | 196,429.41 | |||||||
METLIFE INC 5.25/VAR PERP | 145,000.00 Shares | 150,556.99 | 139,200.00 | |||||||
MICROSOFT 3.3% 02/06/27 | 130,000.00 Shares | 132,348.75 | 128,836.26 | |||||||
MDAMERICAN ENR 6.125% 4/01/36 | 121,000.00 Shares | 146,059.10 | 144,477.44 | |||||||
MILLICOM 5.125% 1/15/28 144A | 80,000.00 Shares | 80,562.50 | 71,200.00 | |||||||
MORGAN STANLEY 4% 07/23/25 | 110,000.00 Shares | 116,068.15 | 108,568.98 |
10
Page 11 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
MORGAN STANLEY 5.5% 7/28/21 | 95,000.00 Shares | 108,633.45 | 99,482.55 | |||||||
MORGAN STANLEY 3.95% 04/23/27 | 310,000.00 Shares | 304,775.36 | 292,425.38 | |||||||
NABORS IND 5.5% 01/15/23 | 100,000.00 Shares | 99,847.06 | 79,368.02 | |||||||
NAVIENT CORP 6.75% 6/15/26 | 65,000.00 Shares | 65,000.00 | 53,950.00 | |||||||
NBCUNIVERSAL MEDIA 2.875% 1/23 | 250,000.00 Shares | 248,306.10 | 245,416.68 | |||||||
NORDEA BANK AB 6.125 PERP 144A | 200,000.00 Shares | 205,960.00 | 187,500.00 | |||||||
NORTHERN TR CRP 3.95% 10/30/25 | 135,000.00 Shares | 144,771.64 | 137,590.65 | |||||||
NOVA CHEMICALS 5.25% 8/23 144A | 105,000.00 Shares | 108,412.50 | 99,225.00 | |||||||
O REILLY AUTOMO 4.875% 1/14/21 | 205,000.00 Shares | 221,151.95 | 210,487.88 | |||||||
OCEANEERING INTL 6% 02/01/2028 | 60,000.00 Shares | 60,000.00 | 48,405.26 | |||||||
1011778 BC 5% 10/15/25 144A | 45,000.00 Shares | 45,000.00 | 41,400.00 | |||||||
OWENS CORNING 4.2% 12/15/22 | 150,000.00 Shares | 154,356.00 | 148,923.84 | |||||||
PNC FIN SERVICES 3.15% 5/19/27 | 150,000.00 Shares | 148,787.80 | 143,218.45 | |||||||
PARK AEROSPACE 5.25% 8/22 144 | 125,000.00 Shares | 124,375.00 | 120,937.50 | |||||||
PETRO-CANADA 6.8% 5/15/38 | 105,000.00 Shares | 136,071.60 | 122,272.25 | |||||||
PETROLEOS MEXICA 6.5% 03/13/27 | 145,000.00 Shares | 141,375.00 | 136,300.00 | |||||||
PIEDMONT OPERTG 4.45% 03/15/24 | 120,000.00 Shares | 123,422.40 | 120,926.82 | |||||||
PRUDENTIAL FN 5.2%/VAR 3/15/44 | 130,000.00 Shares | 132,247.98 | 121,712.50 | |||||||
QUEST DIAGNOSTI 4.25% 04/01/24 | 125,000.00 Shares | 131,794.22 | 127,565.20 | |||||||
QUICKEN 5.25% 1/15/28 144A | 95,000.00 Shares | 88,825.00 | 84,075.00 | |||||||
QWEST CORP 6.75% 12/01/21 | 145,000.00 Shares | 161,715.29 | 148,255.69 | |||||||
ROCKWELL COLLINS 3.5% 03/15/27 | 175,000.00 Shares | 176,075.36 | 164,360.33 | |||||||
SES 3.6% 04/04/23 144A | 95,000.00 Shares | 97,425.35 | 93,143.42 | |||||||
SABINE PASS LQ 5.875% 06/30/26 | 80,000.00 Shares | 89,600.00 | 84,742.34 | |||||||
SCHWAB CHARLES 2.65% 01/25/23 | 265,000.00 Shares | 264,576.00 | 258,671.10 | |||||||
SEMPRA ENERGY 3.4% 2/01/28 | 140,000.00 Shares | 137,117.59 | 127,994.38 | |||||||
SIEMENS FINA 3.4% 3/16/27 144A | 250,000.00 Shares | 248,282.50 | 243,308.50 | |||||||
SMITHFIELD FD 4.25% 2/27 144A | 110,000.00 Shares | 111,870.78 | 102,593.03 | |||||||
SOCIETE 6.75/VAR PERP 144A | 200,000.00 Shares | 200,000.00 | 170,050.00 | |||||||
STATE STREET 5.25% VAR PERP | 120,000.00 Shares | 126,500.00 | 117,750.00 | |||||||
SUNTRUST BANK 2.45% 8/01/22 | 170,000.00 Shares | 170,139.48 | 163,881.92 | |||||||
SUNTRUST BANKS 5.05%/VAR PERP | 130,000.00 Shares | 130,543.89 | 114,075.00 | |||||||
SYMETRA 4.25% 07/15/24 | 105,000.00 Shares | 106,881.60 | 102,994.37 | |||||||
SYSCO CORP 3.3% 07/15/2026 | 110,000.00 Shares | 110,150.87 | 104,736.36 | |||||||
TARGA RES LP/FI 4.25% 11/15/23 | 60,000.00 Shares | 57,825.00 | 55,575.00 | |||||||
TELEFONICA EMISION 4.103% 3/27 | 150,000.00 Shares | 153,357.75 | 144,636.03 | |||||||
TEVA PH FIN NV 6.75% 03/01/28 | 120,000.00 Shares | 120,600.00 | 116,272.92 | |||||||
TEXAS INSTRUMENTS 2.9% 11/27 | 110,000.00 Shares | 108,727.30 | 104,339.91 | |||||||
TIME WARNER INC 3.875% 1/15/26 | 90,000.00 Shares | 90,449.31 | 85,999.48 | |||||||
TYSON FOODS INC 3.95% 08/15/24 | 195,000.00 Shares | 196,121.15 | 193,854.58 | |||||||
UNION PACIFIC C 4.5% 09/10/48 | 85,000.00 Shares | 84,914.15 | 83,934.23 | |||||||
UNITED RENTALS NA 6.5% 12/26 | 75,000.00 Shares | 75,000.00 | 73,875.00 | |||||||
UNITED STATES STEEL 6.25% 3/26 | 65,000.00 Shares | 65,247.00 | 56,875.00 | |||||||
UNITED HEALTH 4.75% 7/15/45 | 150,000.00 Shares | 157,040.00 | 158,915.72 | |||||||
UNUM GROUP 4% 03/15/24 | 105,000.00 Shares | 109,555.74 | 104,211.87 | |||||||
VOC CRUISE LTD 5% 2/15/28 144A | 120,000.00 Shares | 120,000.00 | 110,700.00 | |||||||
VALERO ENERGY CO 3.4% 9/15/26 | 215,000.00 Shares | 197,580.70 | 197,018.69 | |||||||
VERIZON COMM 4.125% 8/15/46 | 225,000.00 Shares | 198,766.56 | 198,786.70 | |||||||
VISA INC 3.15% 12/14/25 | 200,000.00 Shares | 193,308.00 | 196,633.16 | |||||||
VODAFONE 4.375% 05/30/2028 | 155,000.00 Shares | 153,068.70 | 150,450.13 | |||||||
VOYA FIN INC 3.65% 6/15/26 | 120,000.00 Shares | 119,650.80 | 113,497.08 | |||||||
VOYA FINANCIAL 6.125%/VAR PERP | 105,000.00 Shares | 105,000.00 | 99,618.75 | |||||||
WALGREEN CO 3.1% 9/15/22 | 200,000.00 Shares | 194,726.00 | 195,090.20 | |||||||
WELLPOINT INC 3.125% 5/15/22 | 200,000.00 Shares | 195,886.00 | 197,051.65 | |||||||
WELLS FARGO MTN 4.6% 4/01/21 | 195,000.00 Shares | 210,924.69 | 199,676.73 | |||||||
WESTERN GAS PAR 4.5% 3/01/28 | 85,000.00 Shares | 84,740.64 | 79,497.26 | |||||||
WILLIS NORTH AMER 3.6% 5/15/24 | 110,000.00 Shares | 109,905.40 | 107,391.82 |
11
Page 12 of 12
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2018
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value | ||||||
XLIT LTD 4.45% 03/31/2025 | 170,000.00 Shares | 169,192.50 | 169,012.52 | |||||||
WOODSIDE FIN 3.65% 3/5/25 144A | 90,000.00 Shares | 87,212.70 | 85,521.15 | |||||||
SPRINT SPECTRM 3.36% 3/23 144A | 137,500.00 Shares | 137,497.73 | 135,781.25 | |||||||
|
| |||||||||
Total Corporate Debt Securities | 24,763,409.69 | 23,502,146.00 | ||||||||
|
| |||||||||
Other Debt Securities | ||||||||||
AMERICAN AIR_L 3.575% 07/15/29 | 153,743.96 Shares | 156,242.29 | 150,941.41 | |||||||
BACCT 2017-A1 A1 1.95% 08/22 | 320,000.00 Shares | 319,907.97 | 316,180.70 | |||||||
BAYV 2006-D 1A3 5.932% 12/36 | 40,390.24 Shares | 40,087.32 | 40,557.63 | |||||||
CABMT 15-2015-2 A1 2.25% 07/23 | 205,000.00 Shares | 201,596.68 | 202,541.00 | |||||||
CARMX 2018-2 A3 2.98% 01/23 | 250,000.00 Shares | 248,769.53 | 251,457.23 | |||||||
CCCIT 2014-A1 A1 2.88% 01/23 | 375,000.00 Shares | 383,920.90 | 374,796.56 | |||||||
DCENT 2017-A2 A2 2.39% 07/24 | 185,000.00 Shares | 184,913.48 | 182,160.38 | |||||||
DPABS 17-1A A2I 3ML+125 07/47 | 291,312.50 Shares | 292,158.05 | 291,038.67 | |||||||
DPABS 17-1A A2II 3.082% 07/47 | 222,187.50 Shares | 222,187.50 | 216,477.28 | |||||||
FITAT 2017-1 A3 1.8% 02/22 | 310,000.00 Shares | 309,992.03 | 306,622.67 | |||||||
FOCUS 17-1A A2II 5.093% 04/47 | 241,325.00 Shares | 248,685.96 | 244,563.58 | |||||||
FORDR 14-1 A 2.26% 11/25 | 300,000.00 Shares | 302,390.62 | 299,077.20 | |||||||
FORDR 2015-2 A 2.44% 01/27 | 205,000.00 Shares | 202,269.34 | 203,277.39 | |||||||
IHSFR 18-SFR2 A 1ML+90 06/37 | 257,761.66 Shares | 257,761.66 | 254,761.47 | |||||||
IHSFR 17-SFR2 A 1ML+85 12/36 | 141,969.85 Shares | 141,969.85 | 140,236.67 | |||||||
IHSFR 18-SFR3 A 1ML+100 07/37 | 199,243.52 Shares | 199,243.52 | 198,091.79 | |||||||
NRART 17-T1 DT1 4.0024% 02/51 | 185,000.00 Shares | 184,999.13 | 183,621.38 | |||||||
NRZT 2017-6A A1 4% 08/57 | 206,414.69 Shares | 213,378.36 | 208,410.12 | |||||||
NAROT 2016-A A3 1.34% 10/15/20 | 105,081.83 Shares | 104,864.28 | 104,528.87 | |||||||
OMART 2016-T2 DT2 4.45% 08/49 | 225,000.00 Shares | 224,999.69 | 223,926.30 | |||||||
SWH 17-1 A 1ML+95 01/35 | 241,461.43 Shares | 241,461.43 | 241,082.34 | |||||||
SYNIT 2018-A1 A1 3.38% 09/24 | 245,000.00 Shares | 245,028.71 | 247,226.12 | |||||||
BELL 16-1A A2II 4.377% 05/46 1 | 123,125.00 Shares | 129,454.40 | 124,151.86 | |||||||
TAH 17-SFR1 A 2.716% 09/34 | 180,000.00 Shares | 179,994.76 | 173,949.84 | |||||||
VALET 2018-1 A2A 2.81% 07/21 | 230,000.00 Shares | 229,998.11 | 229,689.78 | |||||||
BX 2018-MCSF A 1ML+58 04/15/35 | 250,000.00 Shares | 248,750.00 | 245,165.05 | |||||||
BACM 2015-UBS7 D 3.167% 9/48 | 160,000.00 Shares | 117,675.00 | 132,326.27 | |||||||
BANK 2017-BNK4 A4 3.625% 05/50 | 280,000.00 Shares | 289,431.75 | 279,048.28 | |||||||
CWALT 2003-J3 1A3 5.25% 11/33 | 95,987.49 Shares | 97,127.34 | 96,958.27 | |||||||
COLD 2017-ICE3 A 1ML+1 4/36 | 310,000.00 Shares | 310,968.75 | 304,457.45 | |||||||
FSMT 2017-2 A5 3.50% 10/47 | 201,267.78 Shares | 204,286.81 | 200,105.86 | |||||||
FSMT 2018-4 A4 4% 07/48 | 253,561.86 Shares | 254,631.20 | 255,035.16 | |||||||
JPMCC 17-JP5 A5 3.7232% 03/50 | 260,000.00 Shares | 266,703.13 | 261,682.20 | |||||||
JPMCC 17-MAUI A 1ML+83 07/34 | 255,000.00 Shares | 255,000.00 | 252,213.26 | |||||||
MSBAM 15-C22 D 4.24368% 05/46 | 140,000.00 Shares | 111,464.06 | 120,804.50 | |||||||
MSBAM 14-C16 D CSTR 06/47 | 165,000.00 Shares | 135,293.55 | 147,302.13 | |||||||
SEQUOIA TR 18-CH4 4.5% 10/48 | 166,273.17 Shares | 168,612.50 | 169,747.08 | |||||||
SCOT 2017-2 A4 3.5% 10/47 144A | 304,684.73 Shares | 312,682.70 | 300,838.85 | |||||||
WFRBS 2012-C10 A3 2.875% 12/45 | 250,000.00 Shares | 252,822.27 | 246,135.83 | |||||||
WFCM 2015-C29 A4 3.637% 06/48 | 300,000.00 Shares | 306,632.81 | 302,721.60 | |||||||
WFCM 2015-C30 D VAR 09/58 144A | 115,000.00 Shares | 92,745.70 | 106,404.73 | |||||||
GERMANY FED REP0.5%2/15/28RGS | 500,000.00 Shares | 594,473.14 | 589,639.61 | |||||||
GERMANY GOVT 0.25% 2/15/27 RGS | 430,000.00 Shares | 476,991.37 | 500,290.20 | |||||||
EGYPT GOVT 5.577% 2/21/23 144A | 200,000.00 Shares | 200,000.00 | 189,532.00 | |||||||
ARGENTINA GOVT 6.875% 1/11/48 | 85,000.00 Shares | 84,201.00 | 59,181.25 | |||||||
OMAN SULTANAT 5.625% 1/28 144A | 200,000.00 Shares | 199,606.00 | 176,075.20 | |||||||
MIAMI-DADE AVI 4.28% 10/01/41 | 175,000.00 Shares | 169,187.00 | 177,014.25 | |||||||
MUNICIPAL ELE GA 7.055% 4/1/57 | 100,000.00 Shares | 108,838.00 | 112,326.00 | |||||||
US LONG BOND(CBT) MAR19 USH9 | 5.00 Shares | — | 2,343.75 | |||||||
US ULTRA BOND CBT MAR19 WNH9 | 11.00 Shares | — | 6,531.25 | |||||||
US 10YR ULTRA FUT MAR19 UXYH9 | (16.00) Shares | — | (7,500.00) | |||||||
US 10YR NOTE (CBT)MAR19 TYH9 | (27.00) Shares | — | (10,546.88) | |||||||
|
| |||||||||
Total Other Debt Securities | 10,724,399.65 | 10,625,201.39 | ||||||||
|
| |||||||||
Notes Receivable | ||||||||||
* / ** | Participants | Participant Loans | 33,638,895.20 | 33,638,895.20 | ||||||
|
| |||||||||
$ 2,061,578,667.12 | $ 2,283,809,960.83 | |||||||||
|
|
* | Investment represents allowable transaction with a party-in-interest. |
** | Interest rates vary from 4.00% to 10.50% on loans maturing through 2028. |
12
SIGNATURE
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustee (or other persons who administer the employee benefit plan) has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
AMEREN CORPORATION | ||
SAVINGS INVESTMENT PLAN | ||
By: AMEREN ADMINISTRATIVE COMMITTEE | ||
(Administrator) | ||
By: | /s/ Marla J. Langenhorst | |
Marla J. Langenhorst | ||
Member of the Administrative Committee |
October 27, 2023