UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM 11-K
(Mark One)
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| | |
| | ý | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2017
OR
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| | |
| | ¨ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Commission file number 001-37702
THE RETIREMENT AND SAVINGS PLAN FOR
AMGEN MANUFACTURING, LIMITED
State Road 31, Kilometer 24.6, Juncos, Puerto Rico 00777
(Full title and address of the plan)
AMGEN INC.
(Name of issuer of the securities held)
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| | |
| | | |
| One Amgen Center Drive, | | 91320-1799 |
| Thousand Oaks, California | | (Zip Code) |
| (Address of principal executive offices) | | |
The Retirement and Savings Plan for
Amgen Manufacturing, Limited
Audited Financial Statements
and Supplemental Schedule
Years Ended December 31, 2017 and 2016
Contents
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| Audited Financial Statements: | |
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| Supplemental Schedule: | |
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Report of Independent Registered Public Accounting Firm
To the Plan Participants and the Plan Administrator of The Retirement and Savings Plan for Amgen Manufacturing, Limited
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of The Retirement and Savings Plan for Amgen Manufacturing, Limited (the Plan) as of December 31, 2017 and 2016, and 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 at December 31, 2017 and 2016, and the changes in its net assets available for benefits for the years then ended, in conformity with U.S. generally accepted accounting principles.
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. 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.
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.
Supplemental Schedule
The accompanying supplemental schedule of assets (held at end of year) as of December 31, 2017, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The information in the supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the information 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 schedule. In forming our opinion on the information, we evaluated whether such information, including its form and content, is 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 information is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ ERNST & YOUNG LLP
We have served as the Plan’s auditor since 1992.
Los Angeles, California
June 18, 2018
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Statements of Net Assets Available for Benefits
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| | | | | | | | |
| | | December 31, |
| | | 2017 | | 2016 |
| Assets | | | | |
| Investments at fair value | | $ | 441,446,107 |
| | $ | 356,840,368 |
|
| Notes receivable from participants | | 15,675,786 |
| | 15,370,923 |
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| Other – principally due from broker | | 1,530,307 |
| | 1,083,321 |
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| Total assets | | 458,652,200 |
| | 373,294,612 |
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| Liabilities | | | | |
| Other – principally due to broker | | 278,567 |
| | 232,476 |
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| Total liabilities | | 278,567 |
| | 232,476 |
|
| Net assets available for benefits | | $ | 458,373,633 |
| | $ | 373,062,136 |
|
See accompanying notes.
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Statements of Changes in Net Assets Available for Benefits
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| | | | | | | | |
| | | Years Ended December 31, |
| | | 2017 | | 2016 |
| Additions to (deductions from) net assets: | | | | |
| Employer contributions | | $ | 14,909,331 |
| | $ | 14,309,107 |
|
| Participant contributions | | 13,505,368 |
| | 12,882,679 |
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| Rollover contributions | | 887,746 |
| | 657,271 |
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| Interest and dividend income | | 4,261,615 |
| | 4,045,139 |
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| Net realized/unrealized gains | | 60,953,540 |
| | 14,163,614 |
|
| Interest income on notes receivable from participants | | 671,549 |
| | 621,317 |
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| Benefits paid | | (9,297,793 | ) | | (10,928,488 | ) |
| Investment and administrative fees | | (579,859 | ) | | (486,082 | ) |
| Net increase | | 85,311,497 |
| | 35,264,557 |
|
| Net assets available for benefits at beginning of year | | 373,062,136 |
| | 337,797,579 |
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| Net assets available for benefits at end of year | | $ | 458,373,633 |
| | $ | 373,062,136 |
|
See accompanying notes.
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements
December 31, 2017
1. Description of the Plan
The following description of The Retirement and Savings Plan for Amgen Manufacturing, Limited (the Plan) provides only general information. Participants should refer to the Plan document for a more complete description of the Plan’s provisions.
General
The Plan was established effective May 1, 1992, and was most recently amended and restated effective January 1, 2017, and subsequently amended, with the most recent amendment adopted on May 30, 2018. The Plan is a defined contribution plan covering substantially all Puerto Rico resident employees of Amgen Manufacturing, Limited (the Company), a wholly owned subsidiary of Amgen Inc. (Amgen). The Plan, as amended and restated, is intended to qualify under Section 1081.01 of the Puerto Rico Internal Revenue Code of 2011, as amended (the PR Code) (see Note 4, Income Tax Status) and section 407(d)(3)(A) of the Employee Retirement Income Security Act of 1974 (ERISA).
Contributions
Subject to certain limitations (as defined in the Plan), participants may elect to contribute up to 30% of their eligible compensation in pre-tax contributions and after-tax contributions or a combination of these types of contributions. A participant’s pre-tax contributions are subject to PR Code and Plan limitations and could not exceed $15,000 in 2017 and 2016. Participants may elect to contribute after-tax contributions beginning January 1 of the year following the year the participant was hired. Participant after-tax contributions are subject to PR Code and Plan limitations and could not exceed $1,500 in 2017 and 2016. Unless an employee has voluntarily enrolled in the Plan or has declined to participate in the Plan within the first 30 days of employment, all newly eligible participants are automatically enrolled in the Plan, and contributions equal to 5% of their eligible compensation are withheld and contributed to the Plan as pre-tax contributions; such contributions are automatically increased by 1% per year until their contributions reach 10% of their eligible compensation. Participants may elect to adjust, cease or resume their contributions at any time.
Participants who are at least age 50 by the close of the Plan year may also elect to make certain additional pre-tax contributions, referred to as catch-up contributions, that are subject to PR Code and Plan limitations and could not exceed $1,500 in 2017 and 2016. Participants may also contribute pre-tax and after-tax amounts representing distributions from certain other retirement plans qualified in Puerto Rico, referred to as rollover contributions (as defined in the Plan).
Each pay period, the Company makes a non-elective contribution for all eligible participants, whether or not they have elected to make contributions to the Plan, equal to 4% of each participant’s eligible compensation up to a maximum of $10,800 in 2017 and $10,600 in 2016 (Core Contributions). In addition, the Company makes a contribution equal to amounts contributed by the participant as pre-tax contributions, including catch-up contributions, of up to 5% of eligible compensation (Matching Contributions). Matching Contributions could not exceed $13,500 in 2017 and $13,250 in 2016.
Participants select the investments in which their contributions, including their Core Contributions and Matching Contributions (collectively, Company Contributions), are to be invested, electing among various alternatives, including Amgen common stock (Amgen stock). Participants may direct a maximum of 20% of contributions to be invested in Amgen stock. In addition, participants may transfer amounts among the investment options at any time, subject to certain limitations. Notwithstanding the foregoing, if 20% or more of the value of a participant’s Plan account is invested in Amgen stock, the Plan document provides that no transfers from other investment options can be made to invest in Amgen stock.
The accounts of participants who had never made an investment election are allocated to investments under a qualified default investment alternative, which is intended to be compliant with ERISA regulations. At any time, participants may elect to alter the investments in their accounts made under a qualified default investment alternative.
Vesting
Participants are immediately vested with respect to their contributions, Company Contributions, and earnings and losses (hereafter referred to as earnings) thereon.
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)
Participant Accounts
Each participant’s account is credited with: (a) the participant’s contributions; (b) an allocation of Company Contributions; and (c) earnings. The benefit to which a participant is entitled is the benefit that can be provided from the participant’s account.
Plan Investments
Participants can invest in any of 16 different asset classes as well as Amgen stock or may actively manage their account under a self-directed brokerage arrangement in which a wider array of investment options are available. The value of an investment in an asset class is determined by its underlying investment vehicles, which may include one or more of the following: mutual funds, collective trust funds and portfolios, which are separately managed exclusively for the benefit of Plan participants and their beneficiaries (separately managed portfolios). The separately managed portfolios are primarily composed of investments in publicly traded common and preferred stocks. The asset classes are designed to provide participants with choices among a variety of investment objectives.
Payments of Benefits
Subject to Plan limitations, upon termination of employment, including termination due to disability (as defined in the Plan) or retirement, a participant may elect to receive an amount equal to the entire value of his or her account balance in: (a) a single payment in cash; (b) a single distribution in full shares of Amgen stock (with any fractional shares paid in cash); (c) a single distribution paid in a combination of cash and full shares of Amgen stock; or (d) a rollover distribution to an eligible retirement plan. Participants may also elect to receive a partial distribution of his or her account balance no more than once per year.
If a participant dies before receiving the value of his or her account balance, the participant’s named beneficiary may elect to receive the distribution of remaining funds from among the alternatives described above, subject to certain Plan limitations.
Subsequent to termination of employment, participants may also elect to maintain their account balance in the Plan, provided that their account balance is greater than $1,000.
Certain restrictions apply to withdrawals from the Plan while a participant continues to be employed by the Company.
Notes Receivable from Participants
Subject to certain restrictions, a participant can have up to two loans outstanding at any one time from his or her Plan account with a combined maximum loan amount which may not exceed the lesser of: (a) 50% of the participant’s account balance or (b) $50,000 less certain adjustments, as applicable (as defined in the Plan). A participant’s loan is secured by his or her Plan account balance. Loans made prior to January 1, 2006, bear interest at fixed rates based on the average borrowing rates of certain major banks. Loans made on or after January 1, 2006, bear interest at fixed rates which, until changed by the Company, are based on the prime rate plus one percentage point as published in The Wall Street Journal, determined as of the last day of the calendar quarter preceding origination or such other rate as may be required by law. Loans are generally payable in installments over periods ranging from one to five years, unless the loan is used to acquire a principal residence for which the term of the loan may be up to 20 years. Principal and interest payments are allocated to the participant’s account.
Plan Termination
Although it has not expressed any intent to do so, the Company has the right under the Plan to terminate the Plan subject to the provisions of ERISA. Upon termination, participants would receive distributions of their account balances.
Trustee
Banco Popular de Puerto Rico is the Plan’s trustee.
2. Summary of Significant Accounting Policies
Basis of Accounting
The accompanying financial statements are prepared on the accrual basis of accounting.
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)
Fair Value Measurement
The investments of the Plan are reported at fair value. Fair value is generally defined as the price that would be received to sell an asset or paid to transfer a liability (the exit price) in an orderly transaction between market participants at the measurement date (see Note 3, Fair Value Measurements).
Investment Income and Losses
Dividend income is recognized on the ex-dividend date, and interest income is recorded on an accrual basis. Unrealized gains and losses on investments are measured by the change in the difference between the fair value and cost of the securities held at the beginning of the year (or date purchased if acquired during the Plan year) and the end of the year. Realized gains and losses from security transactions are recorded based on the weighted-average cost of securities sold.
Notes Receivable from Participants
Notes receivable from participants are carried at their unpaid balance plus accrued but unpaid interest, as applicable.
Due from/to Brokers
Purchases and sales of investments are recorded on a trade-date basis. Amounts due from and due to brokers arise from unsettled sale and purchase transactions as of December 31, 2017 and 2016.
Use of Estimates
The preparation of financial statements in conformity with U.S. generally accepted accounting principles (GAAP) requires management to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Actual results could differ from those estimates.
3. Fair Value Measurements
The Plan uses various valuation approaches in determining the fair value of investments within a hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by requiring that observable inputs be used when available. Observable inputs are inputs that market participants would use in pricing the investment based on market data obtained from independent sources. Unobservable inputs are inputs that reflect assumptions about the inputs that market participants would use in pricing the investment and are developed based on the best information available in the circumstances. The fair value hierarchy is divided into three levels based on the source of inputs as follows:
Level 1 – Valuations based on unadjusted quoted prices in active markets for identical investments that the Plan has the ability to access;
Level 2 – Valuations for which all significant inputs are observable, either directly or indirectly, other than Level 1 inputs;
Level 3 – Valuations based on inputs that are unobservable and significant to the overall fair value measurement.
The availability of observable inputs can vary among the various types of investments. To the extent that the valuation is based on models or inputs that are less observable or unobservable in the market, the determination of fair value requires more judgment. In certain cases, the inputs used for measuring fair value may fall into different levels of the fair value hierarchy. In such cases, for financial statement disclosure purposes, the level in the fair value hierarchy within which the fair value measurement is categorized is based on the lowest level of input used that is significant to the overall fair value measurement.
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)
The following fair value hierarchy table presents information about each major class/category of the Plan’s investments measured at fair value:
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| | | | | | | | | | | | | | | | |
| | | Fair value measurements at December 31, 2017, using |
| | | Quoted prices in active markets for identical assets (Level 1) | | Significant other observable inputs (Level 2) | | Significant unobservable inputs (Level 3) | | Total |
| Amgen stock | | $ | 82,461,642 |
| | $ | — |
| | $ | — |
| | $ | 82,461,642 |
|
| Cash and cash equivalents | | 320 |
| | — |
| | — |
| | 320 |
|
| Common and preferred stocks | | 81,566,175 |
| | 79,015 |
| | — |
| | 81,645,190 |
|
| Mutual funds | | 39,694,134 |
| | — |
| | — |
| | 39,694,134 |
|
| Self-directed brokerage accounts | | 2,416,707 |
| | — |
| | — |
| | 2,416,707 |
|
| Other | | 6,560 |
| | — |
| | — |
| | 6,560 |
|
| | | $ | 206,145,538 |
| | $ | 79,015 |
| | $ | — |
| | $ | 206,224,553 |
|
| Collective trust funds measured at net asset value | | | | | | | | 235,221,554 |
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| Total investments measured at fair value | | | | | | | | $ | 441,446,107 |
|
|
| | | | | | | | | | | | | | | | |
| | | Fair value measurements at December 31, 2016, using |
| | | Quoted prices in active markets for identical assets (Level 1) | | Significant other observable inputs (Level 2) | | Significant unobservable inputs (Level 3) | | Total |
| Amgen stock | | $ | 68,813,568 |
| | $ | — |
| | $ | — |
| | $ | 68,813,568 |
|
| Cash and cash equivalents | | 821 |
| | — |
| | — |
| | 821 |
|
| Common and preferred stocks | | 68,352,683 |
| | 563,592 |
| | — |
| | 68,916,275 |
|
| Mutual funds | | 30,275,433 |
| | — |
| | — |
| | 30,275,433 |
|
| Self-directed brokerage accounts | | 1,263,948 |
| | — |
| | — |
| | 1,263,948 |
|
| | | $ | 168,706,453 |
| | $ | 563,592 |
| | $ | — |
| | $ | 169,270,045 |
|
| Collective trust funds measured at net asset value | | | | | | | | 187,570,323 |
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| Total investments measured at fair value | | | | | | | | $ | 356,840,368 |
|
The fair values of common stocks (including Amgen stock), preferred stocks and mutual funds are valued using quoted market prices in active markets with no valuation adjustment.
Collective trust funds represent interests in pooled investment vehicles designed typically for collective investment of employee benefit trusts. The fair values of these investments are determined by reference to the net asset value per unit provided by the fund managers as a practical expedient. The unit values are based on the fair values of the trusts’ underlying assets, which are principally equity and fixed income securities and short-term investments. The only redemption restriction with respect to these investments is on the Wells Fargo Stable Value Fund W (fair value of $29,165,484 as of December 31, 2017), which requires a one-year notice to be given in the event of complete liquidation.
4. Income Tax Status
The Plan received an opinion letter from the Puerto Rico Treasury Department (PRTD) dated February 26, 2018, with an effective date of January 1, 2017, stating that the Plan meets the requirements of Section 1081.01 of the PR Code and the regulations thereunder, and, therefore the related trust forming part of the Plan is exempt from taxation. Subsequent to this opinion by the
The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)
PRTD, the Plan was amended. Once qualified, the Plan is required to operate in conformity with the PR Code to maintain its qualification.
For taxable years 2017 and 2016, the Company believes the Plan satisfied, and operated in compliance with, the applicable requirements of the PR Code and therefore believes that the Plan, as amended, is qualified and the related trust is tax exempt. The Company has indicated that it currently intends to continue to take the necessary steps to maintain the Plan’s compliance with the applicable requirements of the PR Code.
5. Services Provided by the Company
During 2017 and 2016, the Company paid trustee fees and certain other administrative costs on behalf of the Plan.
6. Reconciliation of Financial Statements to Form 5500
The reconciliation of net assets available for benefits per the financial statements to the Form 5500 as of December 31, 2017 and 2016, consisted of the following:
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| | | | | | | | |
| | | December 31, |
| | | 2017 | | 2016 |
| Net assets available for benefits per the financial statements | | $ | 458,373,633 |
| | $ | 373,062,136 |
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| Deemed loans | | (421,752 | ) | | (332,044 | ) |
| Net assets per the Form 5500 | | $ | 457,951,881 |
| | $ | 372,730,092 |
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For the year ended December 31, 2017, the following is a reconciliation of distributions per the financial statements to the Form 5500:
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| | | | |
| | | Year Ended
December 31,
2017 |
| Benefits paid | | $ | (9,297,793 | ) |
| Investment and administrative fees | | (579,859 | ) |
| Total distributions per the financial statements | | (9,877,652 | ) |
| Add prior year deemed loan balance | | 332,044 |
|
| Less current year deemed loan balance | | (421,752 | ) |
| Total distributions per the Form 5500 | | $ | (9,967,360 | ) |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
Supplemental Schedule
The Retirement and Savings Plan for Amgen Manufacturing, Limited
EIN: 98-0210484 Plan: #001
As of December 31, 2017
Schedule H, line 4i – Schedule of Assets (Held at End of Year)
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| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | | | | | | |
| Amgen stock | | Employer Securities 474,190 shares | | $ | 82,461,642 |
| |
| | | | | | | $ | 82,461,642 |
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| Capital Preservation Asset Class: | | | | | |
| | Wells Fargo Stable Value Fund W* | | Collective trust fund 534,532 units | | 29,165,484 |
| |
| | NT Collective Short Term Investment Fund* | | Collective trust fund 2,062,324 units | | 2,062,324 |
|
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| Total Capital Preservation Asset Class | | | | | 31,227,808 |
|
| | | | | | | |
| Emerging Markets Equity Asset Class: | | | | | |
| | J.P. Morgan Emerging Markets Equity Focus Fund* | | Collective trust fund 213,189 units | | 5,078,154 |
| |
| | Blackrock FTSE RAFI Emerging Index Non Lendable Fund F* | | Collective trust fund 385,430 units | | 5,046,167 |
| |
| | NT Collective Emerging Markets Fund - Non Lending* | | Collective trust fund 3,739 units | | 721,892 |
| |
| Total Emerging Markets Equity Asset Class | | | | | 10,846,213 |
|
| | | | | | | |
| Fixed Income Asset Class: | | | | | |
| | J.P. Morgan Core Bond Fund* | | Collective trust fund 533,199 units | | 9,928,158 |
| |
| | Metropolitan West Funds Floating Rate Income Fund Class I | | Mutual Fund 983,825 shares | | 9,867,765 |
| |
| | Blackrock High Yield Bond Fund Class A | | Mutual Fund 582,216 shares | | 4,541,282 |
| |
| | NT Collective Aggregate Bond Index Fund - Non Lending* | | Collective trust fund 17,575 units | | 2,468,255 |
|
|
| Total Fixed Income Asset Class | | | | | 26,805,460 |
|
| | | | | | |
|
| Fixed Income Index Asset Class: | | | | | |
| | NT Collective Aggregate Bond Index Fund - Non Lending* | | Collective trust fund 74,152 units | | 10,413,948 |
|
|
| | NT Collective Short Term Investment Fund* | | Collective trust fund 596 units | | 596 |
| |
| Total Fixed Income Index Asset Class | | | | | 10,414,544 |
|
| | | | | | |
|
| High Yield Asset Class: | | | | | |
| | Mackay Shields High Yield Bond Fund* | | Collective trust fund 435,051 units | | 4,559,331 |
| |
| Total High Yield Asset Class | | | | | 4,559,331 |
|
| | | | | | |
|
| Inflation Protection Asset Class: | | | | | |
| | NT Collective Treasury Inflation-Protected Securities Index Fund - Non Lending* | | Collective trust fund 31,367 units | | 4,440,296 |
| |
| Total Inflation Protection Asset Class | | | | | 4,440,296 |
|
| | | | | | |
|
| International Growth Asset Class: | | | | | |
| | MFS Institutional International Equity Fund | | Mutual Fund 203,590 shares | | 5,183,397 |
| |
| | Artisan International Fund* | | Collective trust fund 217,693 units | | 5,181,104 |
| |
| | NT Collective EAFE Index Fund - Non Lending* | | Collective trust fund 1,471 units | | 478,552 |
| |
| | Cash | | Cash 82 units | | 82 |
| |
| Total International Growth Asset Class | | | | | 10,843,135 |
|
| | | | | | |
|
| International Index Asset Class: | | | | | |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | NT Collective All Country World Index (ACWI) Ex/US Fund - Non Lending* | | Collective trust fund 87,537 units | | 13,908,781 |
| |
| Total International Index Asset Class | | | | | 13,908,781 |
|
| | | | | | |
|
| International Value Asset Class: | | | | | |
| | | | | | | |
| | Dodge & Cox International Fund | | Mutual Fund 176,780 shares | | 8,188,431 |
| |
| | Altrinsic International Equity Fund Class C* | | Collective trust fund 690,124 units | | 8,164,783 |
| |
| | NT Collective EAFE Index Fund - Non Lending* | | Collective trust fund 2,693 units | | 876,190 |
| |
| Total International Value Asset Class | | | | | 17,229,404 |
|
| | | | | | | |
| Large Cap Growth Asset Class: | | | | | |
| | NT Collective Russell 1000 Growth Index Fund - Non Lending* | | Collective trust fund 7,235 units | | 2,981,555 |
| |
| | Amazon.com, Inc. | | Common and preferred stock 1,683 shares | | 1,968,219 |
| |
| | Visa Inc. Class A | | Common and preferred stock 16,658 shares | | 1,899,345 |
| |
| | Facebook, Inc. | | Common and preferred stock 8,194 shares | | 1,445,913 |
| |
| | salesforce.com, inc. | | Common and preferred stock 9,825 shares | | 1,004,410 |
| |
| | Alphabet Inc. Class A | | Common and preferred stock 933 shares | | 982,822 |
| |
| | Netflix, Inc. | | Common and preferred stock 4,919 shares | | 944,251 |
| |
| | The Priceline Group Inc. | | Common and preferred stock 481 shares | | 835,853 |
| |
| | NT Collective Short Term Investment Fund* | | Collective trust fund 818,421 units | | 818,421 |
| |
| | Alibaba Group Holding Limited | | Common and preferred stock 4,450 shares | | 767,314 |
| |
| | Regeneron Pharmaceuticals, Inc. | | Common and preferred stock 1,927 shares | | 724,475 |
| |
| | FleetCor Technologies, Inc. | | Common and preferred stock 3,744 shares | | 720,458 |
| |
| | The Charles Schwab Corporation | | Common and preferred stock 13,290 shares | | 682,707 |
| |
| | ServiceNow, Inc. | | Common and preferred stock 4,920 shares | | 641,519 |
| |
| | Starbucks Corporation | | Common and preferred stock 9,954 shares | | 571,658 |
| |
| | Apple Inc. | | Common and preferred stock 3,233 shares | | 547,121 |
| |
| | Red Hat, Inc. | | Common and preferred stock 4,233 shares | | 508,383 |
| |
| | Alexion Pharmaceuticals, Inc. | | Common and preferred stock 3,945 shares | | 471,783 |
| |
| | Ecolab Inc. | | Common and preferred stock 3,310 shares | | 444,136 |
| |
| | Activision Blizzard Inc. | | Common and preferred stock 6,915 shares | | 437,858 |
| |
| | Nike, Inc. Class B | | Common and preferred stock 6,989 shares | | 437,162 |
| |
| | Monster Beverage Corp | | Common and preferred stock 6,730 shares | | 425,942 |
| |
| | UnitedHealth Group Inc. | | Common and preferred stock 1,867 shares | | 411,599 |
| |
| | Illumina, Inc. | | Common and preferred stock 1,865 shares | | 407,484 |
| |
| | Baidu, Inc. | | Common and preferred stock 1,725 shares | | 404,012 |
| |
| | Chipotle Mexican Grill, Inc. | | Common and preferred stock 1,392 shares | | 402,330 |
| |
| | Alphabet Inc. Class C | | Common and preferred stock 384 shares | | 401,818 |
| |
| | Novo Nordisk A/S | | Common and preferred stock 7,417 shares | | 398,070 |
| |
| | Adobe Systems Inc. | | Common and preferred stock 2,200 shares | | 385,528 |
| |
| | Caterpillar Inc. | | Common and preferred stock 2,422 shares | | 381,659 |
| |
| | Autodesk Inc. | | Common and preferred stock 3,637 shares | | 381,267 |
| |
| | Ulta Salon, Cosmetics & Fragrance, Inc. | | Common and preferred stock 1,665 shares | | 372,394 |
| |
| | Lowes Companies, Inc. | | Common and preferred stock 3,927 shares | | 364,975 |
| |
| | Equinix Inc. | | Common and preferred stock 789 shares | | 357,591 |
| |
| | SAP SE | | Common and preferred stock 3,140 shares | | 352,810 |
| |
| | Schlumberger Limited | | Common and preferred stock 5,181 shares | | 349,148 |
| |
| | Microsoft Corporation | | Common and preferred stock 4,049 shares | | 346,351 |
| |
| | J.B. Hunt Transport Services Inc. | | Common and preferred stock 2,977 shares | | 342,295 |
| |
| | Alliance Data Systems Corporation | | Common and preferred stock 1,348 shares | | 341,691 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | TJX Companies, Inc. | | Common and preferred stock 4,419 shares | | 337,877 |
| |
| | Mondelez International, Inc. | | Common and preferred stock 7,848 shares | | 335,894 |
| |
| | Yum! Brands Inc. | | Common and preferred stock 4,060 shares | | 331,337 |
| |
| | Incyte Corporation | | Common and preferred stock 3,465 shares | | 328,170 |
| |
| | Edwards Lifesciences Corporation | | Common and preferred stock 2,485 shares | | 280,084 |
| |
| | Biomarin Pharmaceutical Inc. | | Common and preferred stock 3,100 shares | | 276,427 |
| |
| | Cerner Corporation | | Common and preferred stock 4,087 shares | | 275,423 |
| |
| | Palo Alto Networks, Inc. | | Common and preferred stock 1,825 shares | | 264,516 |
| |
| | Applied Materials, Inc. | | Common and preferred stock 5,137 shares | | 262,603 |
| |
| | The Estee Lauder Companies Inc. | | Common and preferred stock 2,060 shares | | 262,114 |
| |
| | Automatic Data Processing, Inc. | | Common and preferred stock 2,205 shares | | 258,404 |
| |
| | CoStar Group Inc. | | Common and preferred stock 851 shares | | 252,704 |
| |
| | Core Laboratories N.V. | | Common and preferred stock 2,273 shares | | 249,007 |
| |
| | Mastercard Inc. Class A | | Common and preferred stock 1,602 shares | | 242,479 |
| |
| | Biogen Inc. | | Common and preferred stock 760 shares | | 242,113 |
| |
| | Intuitive Surgical, Inc. | | Common and preferred stock 661 shares | | 241,225 |
| |
| | Dollar Tree, Inc. | | Common and preferred stock 2,230 shares | | 239,301 |
| |
| | S&P Global Inc. | | Common and preferred stock 1,316 shares | | 222,930 |
| |
| | Walt Disney Company | | Common and preferred stock 2,040 shares | | 219,320 |
| |
| | Diamondback Energy Inc. | | Common and preferred stock 1,732 shares | | 218,665 |
| |
| | Baxter International Inc. | | Common and preferred stock 3,370 shares | | 217,837 |
| |
| | Wynn Resorts, Limited | | Common and preferred stock 1,271 shares | | 214,278 |
| |
| | Royal Caribbean Cruises Limited | | Common and preferred stock 1,760 shares | | 209,933 |
| |
| | Deere & Company | | Common and preferred stock 1,281 shares | | 200,489 |
| |
| | Splunk Inc. | | Common and preferred stock 2,400 shares | | 198,816 |
| |
| | Citizens Financial Group, Inc. | | Common and preferred stock 4,577 shares | | 192,142 |
| |
| | SBV Financial Group | | Common and preferred stock 810 shares | | 189,354 |
| |
| | FMC Corporation | | Common and preferred stock 1,920 shares | | 181,747 |
| |
| | FedEx Corporation | | Common and preferred stock 725 shares | | 180,917 |
| |
| | Lam Resh Corporation | | Common and preferred stock 907 shares | | 166,951 |
| |
| | Thermo Fisher Corporation | | Common and preferred stock 877 shares | | 166,525 |
| |
| | Broadcom Ltd | | Common and preferred stock 648 shares | | 166,471 |
| |
| | Vertex Pharmaceuticals Inc. | | Common and preferred stock 1,070 shares | | 160,350 |
| |
| | PVH Corp | | Common and preferred stock 1,150 shares | | 157,792 |
| |
| | Arista Networks Inc. | | Common and preferred stock 623 shares | | 146,766 |
| |
| | Rockwell Automation | | Common and preferred stock 739 shares | | 145,103 |
| |
| | XPO Logistics Inc. | | Common and preferred stock 1,450 shares | | 132,806 |
| |
| | Cummins Inc. | | Common and preferred stock 730 shares | | 128,947 |
| |
| | Knight-Swift Transportation Holdings Inc. | | Common and preferred stock 2,940 shares | | 128,537 |
| |
| | The Chemours Company | | Common and preferred stock 2,440 shares | | 122,146 |
| |
| | Urban Outfitters Inc. | | Common and preferred stock 3,430 shares | | 120,256 |
| |
| | Take Two Interactive Software Inc | | Common and preferred stock 1,039 shares | | 114,061 |
| |
| | Stanley Black & Decker Inc. | | Common and preferred stock 670 shares | | 113,692 |
| |
| | Air Products and Chemicals Inc. | | Common and preferred stock 690 shares | | 113,215 |
| |
| | Capital One Financial Corporation | | Common and preferred stock 1,130 shares | | 112,525 |
|
|
| | Wal-Mart Stores, Inc. | | Common and preferred stock 1,130 shares | | 111,588 |
| |
| | The Sherwin-Williams Company | | Common and preferred stock 270 shares | | 110,711 |
| |
| | Micron Technology, Inc. | | Common and preferred stock 2,692 shares | | 110,695 |
| |
| | Loxo Oncology Inc. | | Common and preferred stock 1,277 shares | | 107,498 |
|
|
| | Align Technology, Inc. | | Common and preferred stock 470 shares | | 104,429 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Universal Display Corporation | | Common and preferred stock 600 shares | | 103,590 |
| |
| | Square Inc. Class A | | Common and preferred stock 2,920 shares | | 101,236 |
| |
| | Idexx Laboratories, Inc. | | Common and preferred stock 622 shares | | 97,268 |
| |
| | Continental Resources Inc. | | Common and preferred stock 1,640 shares | | 86,871 |
| |
| | Vantiv, Inc. | | Common and preferred stock 1,030 shares | | 75,757 |
| |
| Total Large Cap Growth Asset Class | | | | | 36,994,219 |
|
| | | | | | | |
| Large Cap Index Asset Class: | | | | | |
| | NT Collective S&P 500 Index Fund – Non Lending* | | Collective trust fund 10,488 units | | 96,030,642 |
| |
| Total Large Cap Index Asset Class | | | | | 96,030,642 |
|
| | | | | | | |
| Large Cap Value Asset Class: | | | | | |
| | Oracle Corporation | | Common and preferred stock 13,615 shares | | 643,716 |
| |
| | NT Collective Russell 1000 Value Index Fund - Non Lending* | | Collective trust fund 1,714 units | | 618,563 |
| |
| | National Oilwell Varco, Inc. | | Common and preferred stock 14,835 shares | | 534,357 |
| |
| | NT Collective Short Term Investment Fund* | | Collective trust fund 449,759 units | | 449,759 |
| |
| | AmerisourceBergen Corp. | | Common and preferred stock 4,806 shares | | 441,287 |
| |
| | CVS Health Corp | | Common and preferred stock 5,454 shares | | 395,415 |
| |
| | McKesson Corporation | | Common and preferred stock 2,144 shares | | 334,357 |
| |
| | Alphabet Inc. Class C | | Common and preferred stock 319 shares | | 333,802 |
| |
| | Visa Inc. Class A | | Common and preferred stock 2,753 shares | | 313,897 |
| |
| | The Charles Schwab Corporation | | Common and preferred stock 6,000 shares | | 308,220 |
| |
| | Mastercard Inc. Class A | | Common and preferred stock 2,029 shares | | 307,109 |
| |
| | Capital One Financial Corporation | | Common and preferred stock 3,000 shares | | 298,740 |
| |
| | Bank of America Corporation* | | Common and preferred stock 10,000 shares | | 295,200 |
| |
| | Wells Fargo & Company* | | Common and preferred stock 4,800 shares | | 291,216 |
| |
| | State Street Corporation | | Common and preferred stock 2,972 shares | | 290,097 |
| |
| | Skyworks Solutions Inc | | Common and preferred stock 2,811 shares | | 266,904 |
| |
| | Qorvo, Inc. | | Common and preferred stock 3,828 shares | | 254,945 |
| |
| | Cardinal Health, Inc. | | Common and preferred stock 4,055 shares | | 248,450 |
| |
| | Comcast Corporation Class A | | Common and preferred stock 6,200 shares | | 248,310 |
| |
| | GKN PLC | | Common and preferred stock 55,980 shares | | 241,872 |
| |
| | Microsoft Corporation | | Common and preferred stock 2,650 shares | | 226,681 |
| |
| | European Aeronautic Defense and Space Company | | Common and preferred stock 2,227 shares | | 221,497 |
| |
| | Swiss Re AG | | Common and preferred stock 2,353 shares | | 220,330 |
| |
| | Charter Communications, Inc. Class A | | Common and preferred stock 647 shares | | 217,366 |
| |
| | Alphabet Inc. Class C | | Common and preferred stock 200 shares | | 209,280 |
| |
| | J.P. Morgan Chase & Company* | | Common and preferred stock 1,900 shares | | 203,186 |
| |
| | Novartis AG | | Common and preferred stock 2,400 shares | | 201,504 |
| |
| | Autozone Inc. | | Common and preferred stock 283 shares | | 201,318 |
| |
| | Axis Capital Holdings Limited | | Common and preferred stock 3,923 shares | | 197,170 |
| |
| | Bank of New York Mellon Corporation | | Common and preferred stock 3,640 shares | | 196,050 |
| |
| | Anthem Inc. | | Common and preferred stock 865 shares | | 194,634 |
| |
| | Sanofi-Aventis | | Common and preferred stock 4,500 shares | | 193,500 |
| |
| | The Goldman Sachs Group Inc. | | Common and preferred stock 750 shares | | 191,070 |
| |
| | American Express Company | | Common and preferred stock 1,850 shares | | 183,724 |
| |
| | Express Scripts Holding Company | | Common and preferred stock 2,400 shares | | 179,136 |
| |
| | Everest Re Group Ltd | | Common and preferred stock 806 shares | | 178,336 |
| |
| | FedEx Corporation | | Common and preferred stock 700 shares | | 174,678 |
| |
| | Bank of New York Mellon Corporation | | Common and preferred stock 3,000 shares | | 161,580 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Anadarko Petroleum Corporation | | Common and preferred stock 3,000 shares | | 160,920 |
| |
| | Cisco Systems, Inc. | | Common and preferred stock 4,200 shares | | 160,860 |
| |
| | Twenty-First Century Fox, Inc. Class A | | Common and preferred stock 4,500 shares | | 155,385 |
| |
| | Cigna Corporation | | Common and preferred stock 700 shares | | 142,163 |
| |
| | Hewlett Packard Enterprise Company | | Common and preferred stock 9,750 shares | | 140,010 |
| |
| | MetLife, Inc.* | | Common and preferred stock 2,750 shares | | 139,040 |
| |
| | AstraZeneca PLC | | Common and preferred stock 4,000 shares | | 138,800 |
| |
| | O'Reilly Automotive Inc. | | Common and preferred stock 572 shares | | 137,589 |
| |
| | Time Warner Inc. | | Common and preferred stock 1,500 shares | | 137,205 |
| |
| | UnitedHealth Group Inc. | | Common and preferred stock 600 shares | | 132,276 |
| |
| | Schlumberger Limited | | Common and preferred stock 1,950 shares | | 131,411 |
| |
| | Moody's Corporation | | Common and preferred stock 876 shares | | 129,306 |
| |
| | Union Pacific Corporation | | Common and preferred stock 950 shares | | 127,395 |
| |
| | Johnson Controls International PLC | | Common and preferred stock 3,293 shares | | 125,496 |
| |
| | GlaxoSmithKline PLC | | Common and preferred stock 3,400 shares | | 120,598 |
| |
| | Parker-Hannifin Corporation | | Common and preferred stock 602 shares | | 120,147 |
| |
| | Hilton Worldwide Holdings Inc. | | Common and preferred stock 1,494 shares | | 119,311 |
| |
| | Eli Lilly and Company | | Common and preferred stock 1,400 shares | | 118,244 |
| |
| | Northern Trust Corporation* | | Common and preferred stock 1,174 shares | | 117,271 |
| |
| | Bristol-Myers Squibb Company | | Common and preferred stock 1,900 shares | | 116,432 |
| |
| | Booking Holdings Inc. | | Common and preferred stock 67 shares | | 116,429 |
| |
| | CBRE Group Inc. Class A | | Common and preferred stock 2,672 shares | | 115,724 |
| |
| | S&P Global Inc. | | Common and preferred stock 682 shares | | 115,531 |
| |
| | Aetna Inc. | | Common and preferred stock 619 shares | | 111,661 |
| |
| | HP Inc. | | Common and preferred stock 5,250 shares | | 110,303 |
| |
| | TE Connectivity Limited | | Common and preferred stock 1,100 shares | | 104,544 |
| |
| | SS&C Technologies Holdings Inc. | | Common and preferred stock 2,377 shares | | 96,221 |
| |
| | Medtronic PLC | | Common and preferred stock 1,190 shares | | 96,093 |
| |
| | Roche Holdings Ltd. | | Common and preferred stock 3,000 shares | | 94,740 |
| |
| | InterContinental Hotels Group PLC | | Common and preferred stock 1,481 shares | | 94,058 |
| |
| | The Priceline Group Inc. | | Common and preferred stock 50 shares | | 86,887 |
| |
| | Apache Corporation | | Common and preferred stock 2,000 shares | | 84,440 |
| |
| | Celanese Corporation | | Common and preferred stock 750 shares | | 80,310 |
| |
| | Baker Hughes | | Common and preferred stock 2,500 shares | | 79,100 |
| |
| | Swiss Re AG | | Common and preferred stock 851 shares | | 79,015 |
| |
| | Gilead Sciences Inc. | | Common and preferred stock 1,100 shares | | 78,804 |
| |
| | WPP PLC | | Common and preferred stock 4,320 shares | | 78,366 |
| |
| | Target Corporation | | Common and preferred stock 1,200 shares | | 78,300 |
| |
| | Dell Technologies Inc. Class V | | Common and preferred stock 912 shares | | 74,127 |
| |
| | Occidental Petroleum Corporation | | Common and preferred stock 1,000 shares | | 73,660 |
| |
| | National Oilwell Varco, Inc. | | Common and preferred stock 2,000 shares | | 72,040 |
| |
| | BB&T Corporation | | Common and preferred stock 1,400 shares | | 69,608 |
| |
| | United Technologies Corporation | | Common and preferred stock 519 shares | | 66,209 |
| |
| | Maxim Integrated Products, Inc. | | Common and preferred stock 1,250 shares | | 65,350 |
| |
| | Sabre Corp | | Common and preferred stock 3,179 shares | | 65,170 |
| |
| | Alnylam Pharmaceuticals, Inc. | | Common and preferred stock 500 shares | | 63,525 |
| |
| | Juniper Networks, Inc. | | Common and preferred stock 2,200 shares | | 62,700 |
| |
| | Concho Resources Inc. | | Common and preferred stock 400 shares | | 60,088 |
|
|
| | Zayo Group Holdings Inc. | | Common and preferred stock 1,500 shares | | 55,200 |
| |
| | Liberty Interactive Corporation | | Common and preferred stock 2,250 shares | | 54,945 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Merck & Co., Inc. | | Common and preferred stock 950 shares | | 53,457 |
| |
| | Sprint Corporation | | Common and preferred stock 9,024 shares | | 53,151 |
| |
| | Dish Network Corporation Class A | | Common and preferred stock 1,100 shares | | 52,525 |
| |
| | Micro Focus International PLC | | Common and preferred stock 1,488 shares | | 49,982 |
| |
| | Alphabet Inc. Class A | | Common and preferred stock 40 shares | | 42,136 |
|
|
| | NetApp, Inc. | | Common and preferred stock 700 shares | | 38,724 |
|
|
| | Danaher Corporation | | Common and preferred stock 400 shares | | 37,128 |
| |
| | Aegon N.V.* | | Common and preferred stock 5,700 shares | | 35,910 |
| |
| | Corning Inc. | | Common and preferred stock 1,100 shares | | 35,189 |
|
|
| | Synopsys, Inc. | | Common and preferred stock 400 shares | | 34,096 |
| |
| | Axalta Coating Systems Limited | | Common and preferred stock 1,018 shares | | 32,942 |
| |
| | Mattel Inc. | | Common and preferred stock 2,100 shares | | 32,298 |
| |
| | Harley-Davidson | | Common and preferred stock 600 shares | | 30,528 |
|
|
| | Twenty-First Century Fox, Inc. Class B | | Common and preferred stock 800 shares | | 27,296 |
| |
| | News Corporation Class A | | Common and preferred stock 900 shares | | 14,589 |
| |
| | Brighthouse Financial Inc. | | Common and preferred stock 227 shares | | 13,311 |
| |
| | Weatherford International Ltd. | | Common and preferred stock 2,000 shares | | 8,340 |
| |
| Total Large Cap Value Asset Class | | | | | 16,411,865 |
|
| | | | | | | |
| Participant Self-Directed Accounts | | Various Investments | | 2,416,707 |
| |
| | | | | | | 2,416,707 |
|
| Real Estate Investment Trust (REIT) Asset Class: | | | | | |
| | Vanguard Specialized Portfolios REIT Index Fund Institutional Class | | Mutual Fund 531,242 shares | | 9,663,299 |
| |
| | NT Collective Global Real Estate Index Fund - Non Lending* | | Collective trust fund 4,306 units | | 871,276 |
| |
| Total Real Estate Investment Trust (REIT) Asset Class | | | | | 10,534,575 |
|
| | | | | | | |
| Small-Mid Cap Growth Asset Class: | | | | | |
| | Wasatch Small Cap Growth Fund | | Mutual Fund 51,890 shares | | 2,249,961 |
| |
| | NT Collective Russell 2000 Growth Index Fund - Non Lending* | | Collective trust fund 1,146 units | | 392,984 |
| |
| | Universal Display Corporation | | Common and preferred stock 599 shares | | 103,415 |
| |
| | FMC Corporation | | Common and preferred stock 736 shares | | 69,670 |
| |
| | AMETEK, Inc. | | Common and preferred stock 762 shares | | 55,222 |
| |
| | Diamondback Energy Inc. | | Common and preferred stock 426 shares | | 53,783 |
| |
| | Comerica Inc. | | Common and preferred stock 619 shares | | 53,735 |
| |
| | Teradyne, Inc. | | Common and preferred stock 1,215 shares | | 50,872 |
| |
| | WABCO Holdings Inc. | | Common and preferred stock 350 shares | | 50,225 |
| |
| | WellCare Health Plans, Inc. | | Common and preferred stock 247 shares | | 49,674 |
| |
| | E*TRADE Financial Corporation | | Common and preferred stock 977 shares | | 48,430 |
| |
| | D R Horton Inc. | | Common and preferred stock 930 shares | | 47,495 |
| |
| | Zions Bancorporation | | Common and preferred stock 927 shares | | 47,119 |
| |
| | Norwegian Cruise Line Holdings Limited | | Common and preferred stock 851 shares | | 45,316 |
| |
| | G-III Apparel Group Limited | | Common and preferred stock 1,159 shares | | 42,756 |
| |
| | Wynn Resorts, Limited | | Common and preferred stock 248 shares | | 41,810 |
| |
| | Teladoc Inc. | | Common and preferred stock 1,181 shares | | 41,158 |
| |
| | Mimecast Limited | | Common and preferred stock 1,406 shares | | 40,310 |
| |
| | 2U Inc. | | Common and preferred stock 612 shares | | 39,480 |
| |
| | Brink's Company | | Common and preferred stock 495 shares | | 38,957 |
| |
| | Vocera Communications Inc. | | Common and preferred stock 1,249 shares | | 37,745 |
| |
| | Grubhub Inc. | | Common and preferred stock 510 shares | | 36,618 |
| |
| | Trimble Inc. | | Common and preferred stock 875 shares | | 35,560 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | The Chemours Company | | Common and preferred stock 699 shares | | 34,992 |
| |
| | Melco Resorts & Entertainment Limited | | Common and preferred stock 1,190 shares | | 34,558 |
| |
| | Skechers U.S.A Inc. | | Common and preferred stock 904 shares | | 34,207 |
| |
| | Chegg Inc. | | Common and preferred stock 2,079 shares | | 33,929 |
| |
| | MKS Instruments, Inc. | | Common and preferred stock 358 shares | | 33,831 |
| |
| | IPG Photonics Corporation | | Common and preferred stock 157 shares | | 33,618 |
| |
| | Vail Resorts Inc. | | Common and preferred stock 157 shares | | 33,358 |
| |
| | RingCentral, Inc. Class A | | Common and preferred stock 684 shares | | 33,106 |
| |
| | East West Bancorp Inc. | | Common and preferred stock 528 shares | | 32,118 |
| |
| | Middleby Corporation | | Common and preferred stock 226 shares | | 30,499 |
| |
| | bluebird bio Inc. | | Common and preferred stock 171 shares | | 30,455 |
| |
| | Mohawk Industries Inc. | | Common and preferred stock 110 shares | | 30,349 |
| |
| | Santander Consumer USA Holdings, Inc. | | Common and preferred stock 1,627 shares | | 30,295 |
| |
| | Zebra Technologies Corporation | | Common and preferred stock 277 shares | | 28,753 |
| |
| | BorgWarner Inc. | | Common and preferred stock 557 shares | | 28,457 |
| |
| | Square Inc. Class A | | Common and preferred stock 820 shares | | 28,429 |
| |
| | Guess Inc. | | Common and preferred stock 1,677 shares | | 28,308 |
| |
| | Polaris Industries Inc. | | Common and preferred stock 228 shares | | 28,270 |
| |
| | CoStar Group Inc. | | Common and preferred stock 95 shares | | 28,210 |
| |
| | Aerie Pharmaceuticals Inc. | | Common and preferred stock 472 shares | | 28,202 |
| |
| | Radian Group Inc. | | Common and preferred stock 1,360 shares | | 28,030 |
| |
| | FLIR Systems Inc. | | Common and preferred stock 582 shares | | 27,133 |
| |
| | Yum China Holdings Inc. | | Common and preferred stock 677 shares | | 27,094 |
| |
| | SBV Financial Group | | Common and preferred stock 115 shares | | 26,884 |
| |
| | Cognex Corporation | | Common and preferred stock 434 shares | | 26,543 |
| |
| | U.S. Concrete, Inc. | | Common and preferred stock 306 shares | | 25,597 |
| |
| | IAC/InterActiveCorp | | Common and preferred stock 204 shares | | 24,945 |
| |
| | Steel Dynamics Inc. | | Common and preferred stock 570 shares | | 24,584 |
| |
| | Owens Corning | | Common and preferred stock 267 shares | | 24,548 |
| |
| | Terex Corporation | | Common and preferred stock 509 shares | | 24,544 |
| |
| | Five9 Inc. | | Common and preferred stock 969 shares | | 24,109 |
| |
| | TransUnion | | Common and preferred stock 432 shares | | 23,743 |
| |
| | ServiceNow, Inc. | | Common and preferred stock 179 shares | | 23,340 |
| |
| | Inter Parfums, Inc. | | Common and preferred stock 518 shares | | 22,507 |
| |
| | On Assignment Inc. | | Common and preferred stock 327 shares | | 21,016 |
| |
| | John Bean Technologies Corporation | | Common and preferred stock 174 shares | | 19,279 |
| |
| | Celanese Corporation | | Common and preferred stock 175 shares | | 18,739 |
| |
| | Darden Restaurants Inc. | | Common and preferred stock 193 shares | | 18,532 |
| |
| | Neurocrine Biosciences, Inc. | | Common and preferred stock 237 shares | | 18,389 |
| |
| | Coherent, Inc. | | Common and preferred stock 65 shares | | 18,344 |
| |
| | Insulet Corporation | | Common and preferred stock 263 shares | | 18,147 |
| |
| | Splunk Inc. | | Common and preferred stock 219 shares | | 18,142 |
|
|
| | Nektar Therapeutics | | Common and preferred stock 296 shares | | 17,677 |
| |
| | Lululemon Athletica Inc. | | Common and preferred stock 224 shares | | 17,604 |
| |
| | First Solar Inc. | | Common and preferred stock 258 shares | | 17,420 |
| |
| | Kennametal Inc. | | Common and preferred stock 334 shares | | 16,169 |
|
|
| | Cree Inc. | | Common and preferred stock 380 shares | | 14,113 |
| |
| | Floor & Decor Holdings Inc. | | Common and preferred stock 265 shares | | 12,900 |
|
|
| | Take Two Interactive Software Inc | | Common and preferred stock 114 shares | | 12,515 |
| |
| | NT Collective Short Term Investment Fund* | | Collective trust fund 12,442 units | | 12,442 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Olin Corporation | | Common and preferred stock 346 shares | | 12,311 |
| |
| | Shopify Inc. | | Common and preferred stock 119 shares | | 12,019 |
| |
| | Lumber Liquidators Holdings Inc. | | Common and preferred stock 368 shares | | 11,552 |
| |
| | Tractor Supply Company | | Common and preferred stock 136 shares | | 10,166 |
| |
| Total Small-Mid Cap Growth Asset Class | | | | | 4,967,316 |
|
| | | | | | | |
| Small-Mid Cap Index Asset Class: | | | | | |
| | NT Collective Extended Equity Market Index Fund - Non Lending* | | Collective trust fund 148,241 units | | 28,302,122 |
| |
| Total Small-Mid Cap Index Asset Class | | | | | 28,302,122 |
|
| | | | | | | |
| Small-Mid Cap Value Asset Class: | | | | | |
| | NT Collective Russell 2000 Value Index Fund - Non Lending* | | Collective trust fund 5,337 units | | 1,653,303 |
| |
| | Tri Pointe Homes, Inc. | | Common and preferred stock 35,815 shares | | 641,789 |
| |
| | Citigroup Inc. | | Common and preferred stock 11,530 shares | | 567,622 |
| |
| | Hewlett Packard Enterprise Company | | Common and preferred stock 34,900 shares | | 501,164 |
| |
| | NT Collective Short Term Investment Fund* | | Collective trust fund 586,086 units | | 586,086 |
| |
| | Popular, Inc. | | Common and preferred stock 13,600 shares | | 482,664 |
| |
| | EQT Corporation | | Common and preferred stock 7,930 shares | | 451,376 |
| |
| | Carrizo Oil & Gas Inc. | | Common and preferred stock 20,395 shares | | 434,006 |
| |
| | ARRIS International PLC | | Common and preferred stock 15,810 shares | | 406,159 |
| |
| | Whiting Petroleum Corporation | | Common and preferred stock 15,025 shares | | 397,862 |
| |
| | Mellanox Technologies Limited | | Common and preferred stock 5,955 shares | | 385,289 |
| |
| | ERICSSON Inc. | | Common and preferred stock 55,600 shares | | 371,408 |
| |
| | The Bank of N.T. Butterfield & Son Limited | | Common and preferred stock 9,935 shares | | 360,541 |
| |
| | Citizens Financial Group, Inc. | | Common and preferred stock 8,200 shares | | 344,236 |
| |
| | Albany International Corporation Class A | | Common and preferred stock 5,530 shares | | 339,819 |
| |
| | Mitel Networks Corporation | | Common and preferred stock 41,265 shares | | 339,611 |
| |
| | Bio-Rad Laboratories, Inc. Class A | | Common and preferred stock 1,405 shares | | 335,331 |
| |
| | Goodyear Tire & Rubber Company | | Common and preferred stock 10,200 shares | | 329,562 |
| |
| | Kosmos Energy Limited | | Common and preferred stock 47,800 shares | | 327,430 |
| |
| | Western Alliance Bancorporation | | Common and preferred stock 5,656 shares | | 320,243 |
| |
| | Axis Capital Holdings Limited | | Common and preferred stock 6,215 shares | | 312,366 |
| |
| | Coherent, Inc. | | Common and preferred stock 1,090 shares | | 307,620 |
| |
| | Royal Mail PLC | | Common and preferred stock 23,900 shares | | 295,165 |
| |
| | Reliance Steel & Aluminum Company | | Common and preferred stock 3,400 shares | | 291,686 |
| |
| | Cairn Energy PLC | | Common and preferred stock 48,100 shares | | 279,480 |
| |
| | Ferroglobe PLC | | Common and preferred stock 16,870 shares | | 273,294 |
| |
| | Haverty Furniture Companies, Inc. | | Common and preferred stock 11,935 shares | | 270,328 |
| |
| | 1st Horizon National Corporation | | Common and preferred stock 13,230 shares | | 264,466 |
| |
| | Office Depot, Inc. | | Common and preferred stock 72,800 shares | | 257,712 |
| |
| | Gulfport Energy Corporation | | Common and preferred stock 19,520 shares | | 249,075 |
| |
| | MDC Partners Inc. Class A | | Common and preferred stock 24,910 shares | | 242,873 |
| |
| | Boise Cascade Co | | Common and preferred stock 6,075 shares | | 242,393 |
| |
| | Ophir Energy Company | | Common and preferred stock 124,400 shares | | 233,250 |
| |
| | Newfield Exploration Company | | Common and preferred stock 7,390 shares | | 233,007 |
| |
| | Innospec Inc. | | Common and preferred stock 3,270 shares | | 230,862 |
| |
| | KBR, Inc. | | Common and preferred stock 11,560 shares | | 229,235 |
| |
| | Ameris Bancorp | | Common and preferred stock 4,730 shares | | 227,986 |
| |
| | PPDC Energy Inc. | | Common and preferred stock 4,380 shares | | 225,745 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Ramco-Gershenson Properties Trust | | Common and preferred stock 15,070 shares | | 221,981 |
| |
| | Taylor Morrison Home Corporation | | Common and preferred stock 8,870 shares | | 217,049 |
| |
| | Discovery Communications Inc. Series A | | Common and preferred stock 9,500 shares | | 212,610 |
| |
| | Bed Bath & Beyond Inc. | | Common and preferred stock 9,500 shares | | 208,905 |
| |
| | NRG Energy, Inc. | | Common and preferred stock 7,300 shares | | 207,904 |
| |
| | Orbital ATK Inc. | | Common and preferred stock 1,575 shares | | 207,113 |
| |
| | Globus Medical Inc. | | Common and preferred stock 5,015 shares | | 206,117 |
| |
| | Navistar International Corporation | | Common and preferred stock 4,800 shares | | 205,824 |
| |
| | Popular, Inc. | | Common and preferred stock 5,610 shares | | 199,099 |
| |
| | Harley-Davidson | | Common and preferred stock 3,770 shares | | 191,818 |
| |
| | Kohl's Corporation | | Common and preferred stock 3,500 shares | | 189,805 |
| |
| | Lattice Semiconductor Company | | Common and preferred stock 32,740 shares | | 189,237 |
| |
| | Calpine Corporation | | Common and preferred stock 12,500 shares | | 189,125 |
| |
| | United Financial Bancorp Inc. | | Common and preferred stock 10,670 shares | | 188,219 |
| |
| | Tetra Tech, Inc. | | Common and preferred stock 43,840 shares | | 187,197 |
| |
| | EnerSys | | Common and preferred stock 2,685 shares | | 186,957 |
| |
| | Allegheny Technologies Inc. | | Common and preferred stock 7,680 shares | | 185,395 |
| |
| | First Foundation Inc. | | Common and preferred stock 9,950 shares | | 184,473 |
| |
| | Equity Commonwealth | | Common and preferred stock 6,040 shares | | 184,280 |
| |
| | Ally Financial Inc. | | Common and preferred stock 6,300 shares | | 183,708 |
| |
| | Tutor Perini Corporation | | Common and preferred stock 7,210 shares | | 182,774 |
| |
| | Corning Inc. | | Common and preferred stock 5,700 shares | | 182,343 |
| |
| | National Bank Holdings Corporation Class A | | Common and preferred stock 5,600 shares | | 181,608 |
| |
| | Meridian Bancorp, Inc. | | Common and preferred stock 8,410 shares | | 173,246 |
| |
| | State Bank Financial Corporation | | Common and preferred stock 5,770 shares | | 172,177 |
| |
| | SuperValu Inc. | | Common and preferred stock 7,950 shares | | 171,720 |
| |
| | C&J Energy Services Inc. | | Common and preferred stock 5,100 shares | | 170,697 |
| |
| | Avnet, Inc. | | Common and preferred stock 4,300 shares | | 170,366 |
| |
| | Teradyne, Inc. | | Common and preferred stock 4,050 shares | | 169,574 |
| |
| | Kennedy-Wilson Holdings, Inc. | | Common and preferred stock 9,750 shares | | 169,163 |
| |
| | Pacwest Bancorp Company | | Common and preferred stock 3,330 shares | | 167,832 |
| |
| | Gramercy Property Trust | | Common and preferred stock 6,290 shares | | 167,691 |
| |
| | Reinsurance Group of America, Inc. | | Common and preferred stock 1,070 shares | | 166,845 |
| |
| | Ardmore Shipping Corporation | | Common and preferred stock 20,790 shares | | 166,320 |
| |
| | Brandywine Realty Trust | | Common and preferred stock 9,112 shares | | 165,747 |
| |
| | Kemper Corporation | �� | Common and preferred stock 2,400 shares | | 165,360 |
| |
| | Central Pacific Financial Corporation | | Common and preferred stock 5,540 shares | | 165,258 |
| |
| | FreightCar America, Inc. | | Common and preferred stock 9,660 shares | | 164,993 |
| |
| | Great Lakes Dredge & Dock Corporation | | Common and preferred stock 30,240 shares | | 163,296 |
| |
| | Scorpio Tankers Inc. | | Common and preferred stock 53,440 shares | | 162,992 |
| |
| | CNO Financial Group, Inc. | | Common and preferred stock 6,510 shares | | 160,732 |
| |
| | HomeStreet Inc. | | Common and preferred stock 5,410 shares | | 156,620 |
| |
| | Barrett Bill Corporation | | Common and preferred stock 30,350 shares | | 155,696 |
| |
| | Discover Financial Services | | Common and preferred stock 2,000 shares | | 153,840 |
| |
| | Embraer SA | | Common and preferred stock 6,400 shares | | 153,152 |
| |
| | Fulton Financial Corporation | | Common and preferred stock 8,480 shares | | 151,792 |
| |
| | Synchrony Financial | | Common and preferred stock 3,900 shares | | 150,579 |
| |
| | Murphy Oil Corporation | | Common and preferred stock 4,800 shares | | 149,040 |
| |
| | YRC Worldwide Inc. | | Common and preferred stock 10,340 shares | | 148,689 |
| |
| | Qorvo, Inc. | | Common and preferred stock 2,225 shares | | 148,185 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | CNO Financial Group, Inc. | | Common and preferred stock 6,000 shares | | 148,140 |
| |
| | Mallinckrodt PLC | | Common and preferred stock 6,300 shares | | 142,128 |
| |
| | Cypress Semiconductor Corporation | | Common and preferred stock 9,080 shares | | 138,379 |
| |
| | Covanta Holding Corporation | | Common and preferred stock 8,160 shares | | 137,904 |
| |
| | Marathon Oil Corporation | | Common and preferred stock 8,100 shares | | 137,133 |
| |
| | Cummins Inc. | | Common and preferred stock 770 shares | | 136,013 |
| |
| | Northfield Bancorp Inc. | | Common and preferred stock 7,950 shares | | 135,786 |
| |
| | LivaNova PLC | | Common and preferred stock 1,685 shares | | 134,665 |
| |
| | Banner Corporation | | Common and preferred stock 2,430 shares | | 133,942 |
| |
| | Weatherford International Ltd. | | Common and preferred stock 32,100 shares | | 133,857 |
| |
| | Materion Corporation | | Common and preferred stock 2,735 shares | | 132,921 |
| |
| | John B. Sanfilippo & Son, Inc. | | Common and preferred stock 2,074 shares | | 131,181 |
| |
| | Santander Consumer USA Holdings, Inc. | | Common and preferred stock 6,900 shares | | 128,478 |
| |
| | Ladder Capital Corporation | | Common and preferred stock 9,420 shares | | 128,395 |
| |
| | The Geo Group, Inc. | | Common and preferred stock 5,250 shares | | 123,900 |
| |
| | MGIC Investment Corporation | | Common and preferred stock 8,730 shares | | 123,180 |
| |
| | Deckers Outdoor Corporation | | Common and preferred stock 1,530 shares | | 122,783 |
| |
| | News Corporation Class A | | Common and preferred stock 7,500 shares | | 121,575 |
| |
| | Bunge Limited | | Common and preferred stock 1,800 shares | | 120,744 |
| |
| | Orion Marine Group, Inc. | | Common and preferred stock 15,390 shares | | 120,504 |
| |
| | MedEquities Realty Trust Inc. | | Common and preferred stock 10,740 shares | | 120,503 |
| |
| | Superior Energy Services Inc. | | Common and preferred stock 12,500 shares | | 120,375 |
| |
| | Smart Sand Inc. | | Common and preferred stock 13,880 shares | | 120,201 |
| |
| | Texas Capital Bancshares, Inc. | | Common and preferred stock 1,345 shares | | 119,571 |
| |
| | ViaSat, Inc. | | Common and preferred stock 1,595 shares | | 119,386 |
| |
| | Snap-On Incorporated | | Common and preferred stock 675 shares | | 117,653 |
| |
| | Accuray Inc. | | Common and preferred stock 27,000 shares | | 116,100 |
| |
| | Cedar Realty Trust, Inc. | | Common and preferred stock 18,880 shares | | 114,790 |
| |
| | Team Inc. | | Common and preferred stock 7,420 shares | | 110,558 |
| |
| | McDermott International Inc. | | Common and preferred stock 16,610 shares | | 109,294 |
| |
| | Ameris Bancorp | | Common and preferred stock 2,250 shares | | 108,450 |
| |
| | PH Glatfelter Company | | Common and preferred stock 5,025 shares | | 107,736 |
| |
| | Microsemi Corporation | | Common and preferred stock 1,965 shares | | 101,492 |
| |
| | Getty Realty Corporation | | Common and preferred stock 3,680 shares | | 99,949 |
| |
| | Deltic Timber Corporation | | Common and preferred stock 1,080 shares | | 98,874 |
| |
| | Magna International Inc. | | Common and preferred stock 1,700 shares | | 96,339 |
| |
| | Teradata Corporation | | Common and preferred stock 2,500 shares | | 96,150 |
| |
| | Tri Pointe Group Inc. | | Common and preferred stock 5,330 shares | | 95,514 |
| |
| | Acacia Communications Inc. | | Common and preferred stock 2,600 shares | | 94,198 |
| |
| | Xi Group Ltd. | | Common and preferred stock 2,665 shares | | 93,701 |
| |
| | McDermott International, Inc. | | Common and preferred stock 14,200 shares | | 93,436 |
| |
| | Apogee Enterprises, Inc. | | Common and preferred stock 2,000 shares | | 91,460 |
| |
| | KEYW Holding Corporation | | Common and preferred stock 15,490 shares | | 90,926 |
| |
| | Matrix Service Company | | Common and preferred stock 5,090 shares | | 90,602 |
| |
| | QAD Inc. Class A | | Common and preferred stock 2,310 shares | | 89,744 |
| |
| | Euronet Worldwide, Inc. | | Common and preferred stock 1,055 shares | | 88,905 |
| |
| | Haynes International Inc. | | Common and preferred stock 2,760 shares | | 88,458 |
| |
| | Fluor Corporation | | Common and preferred stock 1,700 shares | | 87,805 |
| |
| | Generac Holdings Inc. | | Common and preferred stock 1,720 shares | | 85,174 |
| |
| | VASCO Data Security International Inc. | | Common and preferred stock 6,020 shares | | 83,678 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Aerohive Networks Inc. | | Common and preferred stock 14,070 shares | | 82,028 |
| |
| | Portland General Electric Company | | Common and preferred stock 1,790 shares | | 81,588 |
| |
| | Discovery Communications, Inc. Series C | | Common and preferred stock 3,800 shares | | 80,446 |
| |
| | Stealthgas Inc. | | Common and preferred stock 18,330 shares | | 79,919 |
| |
| | Adient PLC | | Common and preferred stock 1,000 shares | | 78,700 |
| |
| | Essent Group Limited | | Common and preferred stock 1,810 shares | | 78,590 |
| |
| | Kearny Financial Corporation | | Common and preferred stock 5,420 shares | | 78,319 |
| |
| | Smart & Final Stores Inc. | | Common and preferred stock 8,870 shares | | 75,839 |
| |
| | Ooma Inc. | | Common and preferred stock 6,340 shares | | 75,763 |
| |
| | United Community Bank Blairsville Georgia | | Common and preferred stock 2,670 shares | | 75,134 |
| |
| | Chuy's Holdings Inc. | | Common and preferred stock 2,670 shares | | 74,894 |
| |
| | Avis Budget Group Inc. | | Common and preferred stock 1,700 shares | | 74,596 |
| |
| | Regions Financial Corporation | | Common and preferred stock 4,300 shares | | 74,304 |
| |
| | Hibbett Sports Inc. | | Common and preferred stock 3,580 shares | | 73,032 |
| |
| | ProPetro Holding Corporation | | Common and preferred stock 3,580 shares | | 72,173 |
| |
| | Trinity Biotech PLC | | Common and preferred stock 13,640 shares | | 69,700 |
| |
| | ALLETE Inc. | | Common and preferred stock 920 shares | | 68,411 |
| |
| | NorthWestern Corporation | | Common and preferred stock 1,140 shares | | 68,058 |
| |
| | The Hanover Insurance Group, Inc. | | Common and preferred stock 620 shares | | 67,010 |
| |
| | Veeco Instruments Inc. | | Common and preferred stock 4,430 shares | | 65,786 |
| |
| | Celadon Group, Inc. | | Common and preferred stock 10,250 shares | | 65,600 |
| |
| | FirstCash Inc. | | Common and preferred stock 950 shares | | 64,078 |
| |
| | Nomad Foods Limited | | Common and preferred stock 3,780 shares | | 63,920 |
| |
| | Ribbon Communications Inc. | | Common and preferred stock 8,240 shares | | 63,695 |
| |
| | Extraction Oil & Gas Inc. | | Common and preferred stock 4,430 shares | | 63,393 |
| |
| | Daseke Inc. | | Common and preferred stock 4,420 shares | | 63,162 |
| |
| | Fred's Inc. Class A | | Common and preferred stock 15,240 shares | | 61,722 |
| |
| | Hess Corporation LLC | | Common and preferred stock 1,300 shares | | 61,711 |
| |
| | Sanchez Energy Corporation | | Common and preferred stock 11,600 shares | | 61,596 |
| |
| | Investors Bancorp, Inc. | | Common and preferred stock 4,420 shares | | 61,350 |
| |
| | Resolute Energy Corporation | | Common and preferred stock 1,940 shares | | 61,052 |
| |
| | BMC Stock Holdings Inc. | | Common and preferred stock 2,380 shares | | 60,214 |
| |
| | Alleghany Corporation | | Common and preferred stock 100 shares | | 59,609 |
| |
| | BJ's Restaurants Inc. | | Common and preferred stock 1,630 shares | | 59,332 |
| |
| | Landec Corporation | | Common and preferred stock 4,570 shares | | 57,582 |
| |
| | Schweitzer-Mauduit International Inc. | | Common and preferred stock 1,260 shares | | 57,154 |
| |
| | El Paso Electric Company | | Common and preferred stock 1,030 shares | | 57,011 |
| |
| | Treehouse Foods, Inc. | | Common and preferred stock 1,145 shares | | 56,632 |
| |
| | Allison Transmission Holdings, Inc. | | Common and preferred stock 1,300 shares | | 55,991 |
| |
| | Bemis Company Inc. | | Common and preferred stock 1,170 shares | | 55,914 |
| |
| | The Chefs' Warehouse Holdings, Inc. | | Common and preferred stock 2,720 shares | | 55,760 |
| |
| | Century Communities, Inc. | | Common and preferred stock 1,790 shares | | 55,669 |
| |
| | The Geo Group, Inc. | | Common and preferred stock 2,350 shares | | 55,460 |
| |
| | Heritage Financial Corporation | | Common and preferred stock 1,790 shares | | 55,132 |
| |
| | DSW Inc. | | Common and preferred stock 2,570 shares | | 55,024 |
| |
| | Libbey, Inc. | | Common and preferred stock 7,300 shares | | 54,896 |
| |
| | Carpenter Technology Corporation | | Common and preferred stock 1,070 shares | | 54,559 |
| |
| | PNM Resources, Inc. | | Common and preferred stock 1,310 shares | | 52,990 |
| |
| | Eclipse Resources Corporation | | Common and preferred stock 21,860 shares | | 52,464 |
| |
| | Carrols Restaurant Group Inc. | | Common and preferred stock 4,310 shares | | 52,367 |
| |
Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)
|
| | | | | | | | | | |
| | Identity of Issue | | Description of Investment | | Current Value |
| | Astronics Corporation | | Common and preferred stock 1,250 shares | | 51,838 |
| |
| | Commvault Systems Inc. | | Common and preferred stock 980 shares | | 51,450 |
| |
| | Del Taco Restaurants Inc. | | Common and preferred stock 4,220 shares | | 51,146 |
| |
| | Pacific Ethanol, Inc. | | Common and preferred stock 11,070 shares | | 50,369 |
| |
| | Seritage Growth Properties Class A | | Common and preferred stock 1,220 shares | | 49,361 |
| |
| | ICF International, Inc. | | Common and preferred stock 940 shares | | 49,350 |
| |
| | Zimmer Biomet Holdings Inc | | Common and preferred stock 400 shares | | 48,268 |
|
|
| | DHT Holdings Inc. | | Common and preferred stock 13,120 shares | | 47,101 |
| |
| | Astec Industries Inc. | | Common and preferred stock 800 shares | | 46,800 |
| |
| | Lumentum Holdings Inc. | | Common and preferred stock 911 shares | | 44,548 |
| |
| | Flotek Industries Inc. | | Common and preferred stock 9,230 shares | | 43,012 |
| |
| | Green Plains Inc. | | Common and preferred stock 2,510 shares | | 42,294 |
| |
| | Foundation Building Materials Inc. | | Common and preferred stock 2,720 shares | | 40,229 |
| |
| | Enstar Group Ltd. | | Common and preferred stock 200 shares | | 40,150 |
|
|
| | Franks International NV | | Common and preferred stock 5,900 shares | | 39,235 |
|
|
| | SunTrust Banks, Inc. | | Common and preferred stock 600 shares | | 38,754 |
| |
| | ARC Document Solutions Inc. | | Common and preferred stock 13,120 shares | | 33,456 |
| |
| | Fifth Third Bancorp | | Common and preferred stock 1,000 shares | | 30,340 |
| |
| | Invacare Corporation | | Common and preferred stock 1,620 shares | | 27,297 |
| |
| | Cadiz Inc. | | Common and preferred stock 1,830 shares | | 26,078 |
| |
| | Regis Corporation | | Common and preferred stock 1,540 shares | | 23,654 |
| |
| | Apache Corporation | | Common and preferred stock 500 shares | | 21,110 |
| |
| | Rent-A-Center, Inc. | | Common and preferred stock 1,800 shares | | 19,980 |
| |
| | LifePoint Hospitals, Inc. | | Common and preferred stock 400 shares | | 19,920 |
| |
| | Approach Resources Inc. | | Common and preferred stock 6,460 shares | | 19,122 |
| |
| | Sequential Brands Group, Inc. | | Common and preferred stock 7,780 shares | | 13,848 |
| |
| | Super Com Limited | | Common and preferred stock 2,780 shares | | 10,870 |
| |
| | Tetra Tech, Inc. | | Rights/Warrents 6,560 units | | 6,560 |
| |
| | Destination XL Group, Inc. | | Common and preferred stock 2,790 shares | | 6,138 |
| |
| Total Small-Mid Cap Value Asset Class | | | | | 33,041,424 |
|
| | | | | | |
|
| Notes Receivable from Participants | | Interest Rate 4.25% - 10.70% | | 15,254,034 |
| |
| | | | | | | 15,254,034 |
|
| Other: | | | | | |
|
| | NT Collective Short Term Investment Fund* | | Collective trust fund 10,386 units | | 10,386 |
| |
| | Cash | | Cash 237 units | | 237 |
| |
| Total Other | | | | | 10,623 |
|
| | | | | | |
|
| | | | | | | |
| Grand Total | | | | | $ | 456,700,141 |
|
|
| | | | |
| | | | | |
| * Indicates party-in-interest | | | | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
|
| | | | | | |
| | | | | The Retirement and Savings Plan for Amgen Manufacturing, Limited (Name of Plan) |
| | | | | | | |
| Date: | June 18, 2018 | | | By: | | /s/ DAVID W. MELINE |
| | | | | | | David W. Meline |
| | | | | | | Deputy Chairman and Chief Financial Officer |
| | | | | | | Amgen Manufacturing, Limited |
THE RETIREMENT AND SAVINGS PLAN FOR
AMGEN MANUFACTURING, LIMITED
INDEX TO EXHIBIT
|
| | |
| Consent of Independent Registered Public Accounting Firm | | Exhibit 23.1 |
