UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 11-K
(Mark One)
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 1-7657
A. Full title of the plan and the address of the plan, if different from that of the issuer named below:
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
B. Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
AMERICAN EXPRESS COMPANY
200 Vesey Street
New York, New York 10285
New York, New York 10285
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Financial Statements and Supplemental Schedule
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FINANCIAL STATEMENTS | |
1 | |
2 | |
3 | |
16 | |
62 | |
63 | |
E-1 |
* | Other supplemental schedules required by the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974, as amended, have been omitted because they are not applicable or not required. |
To the Administrator and Plan Participants of American Express Retirement Savings Plan
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of American Express Retirement Savings Plan (the “Plan”) as of December 31, 2018 and 2017 and the related statement of changes in net assets available for benefits for the year ended December 31, 2018, including 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 year ended December 31, 2018 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 of these financial statements 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.
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 Information
The supplemental schedule of assets (held at end of year) as of December 31, 2018 and the schedule of assets acquired and disposed of within year) for the year ended December 31, 2018 have been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental schedules are the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedules reconcile 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/ PricewaterhouseCoopers LLP
Minneapolis, Minnesota
June 20, 2019
We have served as the Plan’s auditor since 2006.
as of December 31, 2018 and 2017
(Thousands) | 2018 | 2017 | ||||||
Assets | ||||||||
Investments, at fair value: | ||||||||
Money market funds | $ | 39,198 | $ | 55,811 | ||||
Corporate debt instruments | 84,623 | 91,782 | ||||||
Common stocks | 1,823,770 | 2,074,740 | ||||||
U.S. Government and agency obligations | 214,378 | 167,456 | ||||||
Common/collective trusts | 1,622,061 | 1,311,735 | ||||||
Mutual funds | 370,265 | 720,064 | ||||||
Self-directed brokerage accounts | 123,618 | 147,313 | ||||||
Other investments | 136,786 | 130,301 | ||||||
Total investments, at fair value | 4,414,699 | 4,699,202 | ||||||
Fully benefit responsive investment contracts, at contract value | 523,756 | 529,458 | ||||||
Due from brokers | 3,439 | 2,526 | ||||||
Cash (non-interest bearing) | 4,257 | 2,857 | ||||||
Receivables: | ||||||||
Notes receivable from participants | 81,802 | 79,947 | ||||||
Investment income accrued | 3,137 | 2,902 | ||||||
Employer contributions: | ||||||||
Profit sharing | 62,277 | 109,553 | ||||||
Other than profit sharing | 27,834 | 26,975 | ||||||
Total Assets | 5,121,201 | 5,453,420 | ||||||
Liabilities | ||||||||
Accrued expenses | 2,755 | 2,734 | ||||||
Due to brokers | 7,526 | 4,476 | ||||||
Total Liabilities | 10,281 | 7,210 | ||||||
Net assets available for benefits | $ | 5,110,920 | $ | 5,446,210 |
See accompanying notes to the financial statements.
for the Year Ended December 31, 2018
(Thousands) | 2018 | |||
Contributions | ||||
Employer | ||||
Profit sharing | $ | 62,283 | ||
Other than profit sharing | 134,476 | |||
Employee | 172,342 | |||
Rollovers | 13,718 | |||
Total contributions | 382,819 | |||
Investment income | ||||
Net depreciation of investments | (330,176 | ) | ||
Interest and dividends | 67,358 | |||
Other income | 221 | |||
Total investment loss | (262,597 | ) | ||
Interest on notes receivable from participants | 4,026 | |||
Total additions to net assets | 124,248 | |||
Withdrawal payments | (445,097 | ) | ||
Administrative expenses | (14,441 | ) | ||
Total deductions to net assets | (459,538 | ) | ||
Net decrease in net assets available for benefits | (335,290 | ) | ||
Net assets available for benefits at beginning of year | 5,446,210 | |||
Net assets available for benefits at end of year | $ | 5,110,920 |
See accompanying notes to the financial statements.
1. | Description of the Plan |
General
The American Express Retirement Savings Plan (the “Plan”), which became effective June 11, 1973, is a defined contribution pension plan. Under the terms of the Plan, regular full-time and certain part-time employees of American Express Company and its participating subsidiaries (the “Company”) can make elective contributions to the Plan beginning as soon as practicable after their date of hire, and eligible employees hired for the first time on or after January 1, 2017 are covered by the Plan’s automatic enrollment provisions. Eligible employees can qualify to receive Company contributions, if any, upon completion of six months of service.
The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). The following is not a comprehensive description of the Plan, and therefore does not include all situations and limitations covered by the Plan. The Plan Document (“Plan Document”) is the exclusive governing document and should be referred to for more complete information.
Administration
Wells Fargo Bank, N.A. is the Trustee and Recordkeeper for the Plan. The Plan is administered by the Company’s Employee Benefits Administration Committee (“EBAC”) and the Company’s Retirement Savings Plan Investment Committee (“RSPIC”). The Plan Document requires that the American Express Company Stock Fund be offered as an investment option, subject to compliance with ERISA. RSPIC has the power to select the other investment options available under the Plan and the manner in which these investment options are invested. Subject to Plan limits, RSPIC also has the power to appoint investment managers to make investment decisions. Under the terms of the Plan Document, the members of EBAC and RSPIC are appointed by the Company’s Vice President, Benefits and Mobility.
Compensation
The participant compensation (commonly referred to as “Total Pay”) that is used in the calculation of Plan contributions generally includes an employee’s base pay plus overtime, shift differentials, most commissions and most cash incentives. For participants above certain salary grades, as defined by the Plan, Total Pay does not include any incentive pay which, in the aggregate, is in excess of one times their base salary when calculating Company contributions.
For purposes of the Plan, compensation is limited to a participant’s regular cash remuneration up to a maximum of $275,000 in 2018 and $270,000 in 2017, before tax deductions and certain other withholdings.
Contributions
The Plan currently provides for the following contributions:
Elective Contributions
Each pay period, participants may make Before-Tax Contributions, Roth Contributions, and/or After-Tax Contributions up to 10% of eligible compensation, or a combination thereof, not to exceed 80% of their Total Pay, to the Plan through payroll deductions. Roth Contributions are a special type of after-tax contribution and are subject to most of the same rules as Before-Tax Contributions. The Internal Revenue Code of 1986, as amended (the “Code”) imposes a limitation that is adjusted annually for cost of living increases on participants’ pre-tax and Roth contributions to plans which are qualified under Code Section 401(k) and other specified tax-favored plans. For 2018 and 2017, this limit was $18,500 and $18,000, respectively, for participants under age 50 and $24,500 and $24,000, respectively, for participants age 50 or older. The Plan complied with non-discrimination requirements under the Code during 2018 and 2017 by utilizing the safe harbor design for deferrals and matching contributions in accordance with Sections 401(k)(12) and 401(m)(11) of the Code.
Eligible employees hired for the first time on or after January 1, 2017 are automatically enrolled to make Before-Tax Contributions equal to 3% of base pay, with a 1% automatic increase each year until the rate reaches 10%, unless the employee makes an alternative election to contribute at a different rate or opt out of automatic enrollment.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Company Matching Contributions
The Company matches 100% of a participant’s Before-Tax Contributions and/or Roth Contributions up to 6% of Total Pay after a participant’s completion of six months of service.
Profit Sharing Contributions
Upon a participant’s completion of six months of service, additional Company contributions may be made annually at the Company’s discretion which can be based, in part, on the Company’s performance. Participants must be employed on the last working day of the Plan year (or be disabled under the terms of the Plan) to be eligible for any Profit Sharing Contributions made for that Plan year. Profit Sharing Contributions to eligible participants are made regardless of whether the eligible participant contributes to the Plan. Profit Sharing Contributions comprised 3.00% and 5.50% of eligible participants’ Total Pay in 2018 and 2017, respectively. The 2017 Profit Sharing Contribution included an annual contribution equal to 3.00% of Total Pay plus a 2.50% one-time contribution.
Qualified Non-Elective Contributions
The Company may make Qualified Non-Elective Contributions (“QNEC”). A QNEC is a discretionary, fully vested contribution. The Company may designate all or part of a Company profit sharing contribution as a QNEC. Alternatively, the Company may, in its sole discretion, make an additional contribution designated as a QNEC. Any QNECs are fully vested when made and distributable only under circumstances that permit distributions of Before-Tax Contributions or Roth Contributions (excluding hardship withdrawals). QNECs may be allocated as a uniform percentage of eligible compensation for designated employees and may be restricted to only such employees employed on the last day of the Plan year. Alternatively, the Company may direct that QNECs be allocated among specifically designated non-highly compensated employees in varying percentages of compensation as permitted by law.
Conversion Contributions
For eligible employees on the Company’s United States payroll or on unpaid leave of absence on July 1, 2007 and who generally commenced service prior to April 1, 2007, the Company has made Conversion Contributions equal to a percentage of compensation. The amount of the participant’s Conversion Contributions was based on his/her projected attained age plus completed years of service with the Company as of December 31, 2008. Conversion Contributions ranged from 0.5% to 8.0% of Total Pay. Effective January 1, 2018, the Company phased out Conversion Contributions. No Conversion Contributions will be provided for periods after December 31, 2018.
Disability Contributions
Certain qualifying participants who become disabled, as defined by the Plan Document, are eligible to receive contributions similar to Company Conversion Contributions (discontinued for periods after December 31, 2018 as mentioned above), Profit Sharing Contributions and/or Matching Contributions.
Transfer of Account Balances
A participant’s account balance may be transferred among the Plan’s investment options upon receipt of instructions from the participant. Account balances may be allocated among the Plan’s investment options on a daily basis.
Participant Rollovers
A rollover contribution is a transfer to the Plan of a qualified distribution in accordance with the provisions of the Plan. Rollovers are accepted into the Plan, but are not subject to Company contributions.
In-Plan Roth Conversions
The Plan allows for in-Plan Roth conversions.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Vesting
Participants are immediately vested in their elective Before-Tax, Roth and After-Tax Contributions and rollovers, if any, as well as the investment earnings on the foregoing. Other contributions become vested as set forth below:
Company Matching Contributions
Company Matching Contributions and investment earnings thereon are immediately 100% vested.
Discretionary Profit Sharing Contributions
Profit Sharing Contributions and investment earnings thereon are 100% vested after the earlier of three years of service or, if still employed by the Company or an affiliate, at or after attainment of age 65, disability or death.
Qualified Non-Elective Contributions
QNECs are immediately 100% vested and investment earnings thereon are immediately 100% vested.
Conversion Contributions
Conversion Contributions and investment earnings thereon are 100% vested after the earlier of three years of service or, if still employed by the Company or an affiliate, at or after attainment of age 65, disability or death.
Disability Contributions
Disability Contributions are immediately 100% vested.
Forfeitures
Forfeitures of terminated participants’ non-vested accounts, as well as amounts attributable to outstanding checks as to which the payee cannot be located, are used to pay Plan expenses or to reduce future Company contributions. Amounts attributable to uncashed checks may, in accordance with EBAC’s direction, be allocated wholly or partly to a reserve to cover future claims for these benefits or be treated in accordance with the normal rules for forfeitures. Forfeited non-vested balances were $1.6 million and $1.1 million as of December 31, 2018 and 2017, respectively. Accrued 2018 Profit Sharing Contributions made to the Plan in March 2019 were reduced by $1.0 million from forfeited account balances. Profit Sharing Contributions made to the Plan in March 2018 were reduced by $0.8 million from forfeited account balances.
Plan Termination
Although it has not expressed any intent to do so, the Company has the right under the Plan to discontinue its contributions at any time and to terminate the Plan subject to the provisions of ERISA. In the event of Plan termination, participants will become 100% vested in their accounts and Plan assets will be distributed in accordance with the Plan Document.
Notes Receivable from Participants
Notes receivable from participants (loans) are carried at their unpaid principal balance plus any accrued but unpaid interest. Participants are allowed to apply for a loan from the Plan for a minimum amount of $500 up to the lesser of $50,000 or 50% of their vested balance, subject to certain restrictions set forth in the Plan and the Code. General purpose loans are limited to terms of 59 months. Loans to purchase a principal residence have a maximum term of 359 months. Loan repayment amounts, including principal and interest, are deducted each pay period and allocated to participants’ investment accounts in accordance with the election in effect for new contributions at the time of repayment. Terminated participants who have an outstanding loan may make arrangements with the Recordkeeper to pay the loan in full, or make installment payments. If arrangements are not made for the payment of the outstanding loan balance, the loan amount will be considered in default and the outstanding loan balance will be offset from the account balance, subject to income tax regulations.
Loans are collateralized by the participant’s remaining vested account balance and the interest rate is fixed for the life of the loan. The interest rate determination is based on the prime rate plus one percentage point. In the event of a loan default, the loan is treated as a distribution (i.e., as an early withdrawal of funds from the Plan for tax purposes), which subjects the participant to income tax plus any penalties imposed by the Code based on the loan balance. If the participant is still employed, the loan balance is taxed as a “deemed distribution” but remains outstanding as an obligation of the participant until it is either repaid or the participant terminates employment. In the event of a termination, either voluntary or involuntary, the loan balance is treated as an actual distribution and deducted from the participant’s Plan account balance. Loans outstanding to participants at December 31, 2018, carried interest rates varying from 3.25% to 9.50% and will mature at various dates through March 2049.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Tax Deferrals
As long as the Plan remains qualified and the related Trust (the “Trust”) remains tax exempt, amounts invested in the Plan through Before-Tax Contributions and Company contributions and rollovers, as well as the investment earnings on such amounts, are not subject to federal income tax until distributed to the participant. After-Tax Contributions are taxed when contributed, with earnings taxed upon distribution. Roth Contributions are taxed when contributed, and earnings on Roth Contributions and rolled-in Roth amounts qualify for tax-free distribution if a participant (i) reaches age 59-1/2, dies or becomes disabled (as defined by federal law) and (ii) has a Roth Contribution account with the Plan (or another plan from which a direct rollover of Roth contributions is received) for at least five taxable years. If those conditions are not met, earnings on Roth Contributions are taxed when distributed. Amounts that are converted to Roth status through an in-plan Roth conversion are taxed when converted (with the exception of After-Tax Contributions; however, earnings on After-Tax Contributions are subject to tax when converted), and thereafter are subject to the Roth taxation rules.
Distributions and Withdrawals
Upon termination of employment due to disability, death or retirement at or after attainment of the Plan’s normal retirement age (65), participants or their beneficiaries are fully vested and eligible to receive a distribution of the full value of their accounts. If employment ends for other reasons, participants are eligible to receive a distribution of their vested account balance. When employment ends, participants (or their beneficiaries) may elect to receive their vested balance as a lump sum cash amount, American Express Company common shares, if applicable, shares of any investment available through the Self-Directed Brokerage Account (“SDA”), if applicable, or a combination of cash and shares. If the account balance is greater than $1,000, a participant may elect to defer distribution until April 1st of the year following the year in which the participant attains age 70-1/2. If the account balance is $1,000 or less, a distribution will be made in a lump sum following the end of employment. Participants may request a withdrawal of all or a portion of their vested account balance subject to limitations under the terms of the Plan and certain tax penalties imposed by the Code. Distributions and withdrawals are recorded when paid. Distributions may be rolled over to a qualified Individual Retirement Account (“IRA”) or other qualified employer retirement plan, if that plan allows rollovers.
Expenses
The Company, in its discretion, may pay certain administrative expenses, with any expenses not paid by the Company being charged to the Plan. Expenses related to separately managed investment funds are generally paid out of the applicable investment funds. Fees, commissions, and other charges and administrative expenses that are attributable to the investment funds as a whole are generally paid from the Plan. All such expenses that are paid by the Plan are included within the administrative expenses on the Statement of Changes in Net Assets Available for Benefits. Fees and expenses incurred indirectly by the Plan from the underlying mutual funds and collective trusts in which the Plan may invest are not included in the Statement of Changes in Net Assets Available for Benefits as expenses, but reduce the asset value of that mutual fund or collective trust. Additional expenses are associated with the SDA, and participants electing to invest through the SDA are charged directly for these fees through their SDA.
Wells Fargo Institutional Retirement & Trust charges the Plan for recordkeeping of participant accounts, as well as trust and custody of plan assets. The Plan’s fee structure provides for a flat per-participant fee. The Plan’s investment adviser, NEPC, LLC, receives its compensation primarily in the form of a flat fee for its investment advisory services, which is paid by the Plan, plus an additional flat fee related to the oversight of the asset allocation of the Retirement Funds, which is charged to the Plan’s Retirement Funds on a pro rata basis. Additionally, as described in Note 8, the Plan reimburses the Company for direct expenses (salary and benefit costs) associated with a Company employee dedicated to servicing the Company’s qualified retirement plans for time spent providing services to the Plan.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
2. | Summary of Significant Accounting Policies |
Use of Estimates
The accompanying financial statements have been prepared on the accrual basis of accounting in conformity with accounting principles generally accepted in the United States of America (“GAAP”). Accounting estimates are an integral part of the financial statements. These estimates are based, in part, on management’s assumptions concerning future events. Among the more significant assumptions are those that relate to fair value measurements. These accounting estimates reflect the best judgment of management, but actual results could differ.
Investment Valuation and Income Recognition
Investments are generally reported at fair value, with the exception of fully benefit responsive investment contracts, which are reported at contract value. Investments traded on securities exchanges, including common and preferred stocks, are valued at the year-end closing market prices or, in the absence of a closing price, the last reported trade price at the financial statement date. The fair value of the Plan’s corporate debt instruments, U.S. Government and agency securities, municipal bonds and foreign bonds, is valued using a variety of observable market inputs, depending on the type of security being priced, and are obtained from pricing services engaged by the Plan’s Trustee. See Note 3 (Fair Value Measurements) for a detailed discussion of the valuation techniques.
Purchases and sales of securities are reflected on a trade-date basis. Dividend income is recorded on the ex-dividend date. Interest income is recorded on an accrual basis. As required by the Plan, all dividend and interest income is reinvested into the same investment option in which the dividends and interest income arose, provided that restrictions may apply to investments held under the SDA, and with the exception of the American Express Company Stock Fund, which is an investment option and an Employee Stock Ownership Plan (“ESOP”). The ESOP holds shares of American Express Company stock on behalf of participants. Dividends are automatically reinvested in the American Express Company Stock Fund, unless participants elect that the dividends paid with respect to their interest in the fund be distributed in cash.
The Plan presents in the Statement of Changes in Net Assets Available for Benefits the net appreciation in the fair value of its investments, which consists of the realized gains or losses and the unrealized appreciation or depreciation on those investments.
Subsequent Events
The Plan has evaluated subsequent events for potential recognition and disclosure through the date the financial statements were issued. There were no subsequent events to report.
Recently Issued Accounting Standards
In August 2018, the Financial Accounting Standards Board (FASB) issued new accounting guidance on fair value disclosures, effective January 1, 2020, with early adoption permitted. The guidance amends the disclosure requirements primarily around Level 3 fair value measurements and transfers between levels of the fair value hierarchy; adding new disclosure requirements, eliminating some existing disclosure requirements and modifying others. New disclosure requirements, as well as any modifications of disclosures, require prospective application and all other amendments must be applied retrospectively to all periods presented. The Plan elected to early adopt the guidance which did not have a significant impact on the Plan’s disclosures.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
3. | Fair Value Measurements |
Fair value is defined as 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, based on the Plan’s principal or, in the absence of a principal, most advantageous market for the specific asset or liability.
GAAP provides for a three-level hierarchy of inputs to valuation techniques used to measure fair value, defined as follows:
• | Level 1 – Inputs that are quoted prices (unadjusted) for identical assets or liabilities in active markets that the Plan can access. |
• | Level 2 – Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly, for substantially the full term of the asset or liability, including: |
– | Quoted prices for similar assets or liabilities in active markets; |
– | Quoted prices for identical or similar assets or liabilities in markets that are not active; |
– | Inputs other than quoted prices that are observable for the asset or liability; and |
– | Inputs that are derived principally from or corroborated by observable market data by correlation or other means. |
• | Level 3 – Inputs that are unobservable and reflect the Plan’s own assumptions about the assumptions market participants would use in pricing the asset or liability based on the best information available in the circumstances (e.g., internally derived assumptions surrounding the timing and amount of expected cash flows). |
The Plan monitors the market conditions and evaluates the fair value hierarchy levels at least annually.
The Plan corroborates the prices provided by its Trustee’s pricing services to test their reasonableness by comparing their prices to valuations from a different pricing source. In instances where price discrepancies are identified between different pricing sources, the Plan would evaluate such discrepancies to ensure that the prices used for its calculation represent the fair value of the underlying investment securities.
Financial Assets Carried at Fair Value
Financial assets disclosed in the tables below represent two types of assets. Assets held in funds (either mutual funds or common/collective trusts) are disclosed in the table according to the appropriate fund category (the underlying securities of those funds are not disclosed separately). Assets held in separate accounts (which are wholly owned by the Plan) are disclosed according to the appropriate category of the individual securities of those separately managed accounts; these individual securities include common stocks and fixed income securities. As such, the classification of financial assets in the table does not correspond to the classification of the investment options available to Plan participants, as discussed in Note 4 (Investments).
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
The following table summarizes the Plan’s financial assets measured at fair value on a recurring basis, categorized by GAAP’s valuation hierarchy (as described above), as of December 31, 2018:
Description (Thousands) | Total | Level 1 | Level 2 | |||||||||
Money market funds | $ | 39,198 | $ | 39,198 | $ | ― | ||||||
Corporate debt instruments | 84,623 | ― | 84,623 | |||||||||
Common stocks | 1,823,770 | 1,823,770 | ― | |||||||||
Common/Collective trusts | 769,204 | ― | 769,204 | |||||||||
U.S. Government and agency obligations | 214,378 | ― | 214,378 | |||||||||
Mutual funds | 370,265 | 370,265 | ― | |||||||||
Self-directed brokerage accounts | 123,618 | 123,618 | ― | |||||||||
Other investments | 136,786 | ― | 136,786 | |||||||||
Total assets in the fair value hierarchy | $ | 3,561,842 | $ | 2,356,851 | $ | 1,204,991 | ||||||
Common/collective trusts measured at net asset value ("NAV") | 852,857 | |||||||||||
Total investments, at fair value | $ | 4,414,699 |
The following table summarizes the Plan’s financial assets measured at fair value on a recurring basis, categorized by GAAP’s valuation hierarchy (as described above), as of December 31, 2017:
Description (Thousands) | Total | Level 1 | Level 2 | |||||||||
Money market funds | $ | 55,811 | $ | 55,811 | $ | ― | ||||||
Corporate debt instruments | 91,782 | ― | 91,782 | |||||||||
Common stocks | 2,074,740 | 2,074,740 | ― | |||||||||
Common/Collective trusts | 806,203 | ― | 806,203 | |||||||||
U.S. Government and agency obligations | 167,456 | ― | 167,456 | |||||||||
Mutual funds | 720,064 | 720,064 | ― | |||||||||
Self-directed brokerage accounts | 147,313 | 147,313 | ― | |||||||||
Other investments | 130,301 | ― | 130,301 | |||||||||
Total assets in the fair value hierarchy | $ | 4,193,670 | $ | 2,997,928 | $ | 1,195,742 | ||||||
Common/collective trusts measured at NAV | 505,532 | |||||||||||
Total investments, at fair value | $ | 4,699,202 |
Valuation Techniques Used in the Fair Value Measurement of Financial Assets Carried at Fair Value
For the financial assets measured at fair value on a recurring basis (categorized in the valuation hierarchy table above), the Plan applies the following valuation techniques:
Level 1:
• | Money market funds are valued at NAV, which represents the exit price. |
• | Investments in American Express Company common stock, other stock and active publicly traded equity securities are valued at the official closing price of U.S. public exchanges or, if there is no official closing price that day, at the last reported trade price at the financial statement date. |
• | Mutual funds held within the Plan are open-end mutual funds that are registered with the Securities and Exchange Commission (“SEC”) under the Investment Company Act of 1940. These investments are required to make publicly available the daily NAV of the fund and to transact at this price. Hence, open-end mutual funds transact at quoted prices. In addition, the mutual funds held by the Plan are actively traded. |
• | The Plan’s self-directed brokerage accounts are primarily comprised of mutual funds and in some cases Ameriprise Financial common stock, and are valued at fair value using the corresponding valuation techniques as previously described. |
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Level 2:
• | The fair values for the Plan’s corporate debt instruments, U.S. Government and agency obligations (which also include state and local government obligations) and Other investments (asset-backed securities, foreign sovereign debt and private placement bonds), are obtained primarily from pricing services engaged by the Plan’s Trustee. The fair values provided by the pricing service are estimated using pricing models, where the inputs to those models are based on observable market inputs or recent trades of similar securities. The inputs to the valuation techniques applied by the pricing service vary depending on the type of security being priced but are typically benchmark yields, benchmark security prices, credit spreads, prepayment speeds, reported trades, and broker-dealer quotes, all with reasonable levels of transparency. The Trustee does not apply any adjustments to the pricing models used. In addition, the Plan did not apply any adjustments to the prices received from the pricing services for 2018 and 2017. The Plan reaffirms its understanding of the valuation techniques used by the Trustee’s pricing services at least annually. The Plan classifies the prices obtained from the pricing services within Level 2 of the fair value hierarchy because the underlying inputs are directly observable from active markets or recent trades of similar securities in inactive markets. However, the pricing models used do entail a certain amount of subjectivity, and therefore differing judgments in how the underlying inputs are modeled could result in different estimates of fair value. |
• | Common/collective trusts are investment funds formed by the pooling of investments by institutional investors, such as a group of not necessarily affiliated pension or retirement plans, typically with the intention of achieving cost savings over similar investment options such as mutual funds. Common/collective trusts are similar to mutual funds, with a named investment manager and documented investment objective. These investments, however, are not registered with the SEC (unlike mutual funds, which are registered with the SEC), and participation is not open to the public. The NAV is measured by the custodian or investment manager as of the close of regular daily trading and is corroborated with observable inputs provided by pricing services for the securities. To the extent the NAV is made publicly available, these common/collective trusts are classified within level 2 of the fair value hierarchy and the NAVs represent the exit price for the funds. |
Level 3:
There are no Level 3 securities held by the Plan.
Assets Measured at NAV:
For common/collective trusts whose NAVs are communicated only to investors in the trusts and are not publicly available, the NAVs are being used as practical expedient for fair value and represent the exit price for the funds.
The fair values of the financial instruments are estimates based upon the market conditions and perceived risks as of December 31, 2018 and 2017, and require management judgment. The Plan’s valuation techniques used to measure the fair value of its investments may produce fair values that may not be indicative of a future sale, or reflective of future fair values. The use of different techniques to determine the fair value of these types of investments could result in different estimates of fair value at the reporting date.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
4. | Investments |
The investment options available to participants include nine core investment options (the “Core Investment Options”), of which five are actively managed and four are passively managed (also known as index funds). In addition, target date funds (the “Retirement Funds”) that invest in a mix of the actively managed Core Investment Options based on target retirement dates are also available, and the age-appropriate Retirement Fund for the year in which a participant turns 65 generally serves as the Plan’s “default investment” to the extent a participant does not have a valid investment election on file. Additional investment options include an SDA and the American Express Company Stock Fund. A participant may currently elect to invest contributions in any combination of investment options in increments of 1% and change investment elections for future contributions on any business day the New York Stock Exchange is open. Participants are only able to allocate 10% of their future contributions to the American Express Company Stock Fund, and transfers of balances from other investment options into the American Express Company Stock Fund are only permitted to the extent the participant’s investment in the American Express Company Stock Fund after the transfer does not exceed 10% of the participant’s overall Plan balance. Special rules and restrictions may apply to the SDA.
A brief description of the investment options available to participants at December 31, 2018, is set forth below:
Core Investment Options
RSPIC has created five actively managed Core Investment Options to provide diversified and actively managed options to participants. Four of these actively managed Core Investment Options (The Diversified Bond Fund, The U.S. Large-Cap Equity Fund, The U.S. Small/Mid-Cap Equity Fund, and The International Equity Fund) represent a broad asset class (e.g., U.S. Large-Cap Equity, U.S. Small/Mid-Cap Equity, Bonds, etc.) using several managers (and in some cases, also including a passively managed component) within each Fund. These actively managed Core Investment Options seek to outperform a broad market index by buying and selling a limited number of investments (stocks, bonds, or other investments) using the underlying investment managers’ investment management skills.
The actively managed Stable Value Fund invests in diversified pools of U.S. Government and agency fixed income securities together with book value wrap agreements issued by creditworthy insurance companies or banks with the objective to protect a participant’s original investment while offering a competitive rate of interest with minimum risk.
The Stable Value Fund holds a portfolio of book value wrap contracts that are fully benefit-responsive and comprised of both an investment and a contractual component. The investment component consists of units of common/collective trusts, fixed income strategies and a portfolio of actively managed fixed income securities, referred to as the Stable Value Fund assets. Under the book value wrap contracts, the book value wrap provider is obligated to provide sufficient funds to cover participant benefit withdrawals and certain types of investment transfers regardless of the market value of the Stable Value Fund assets. A portion of the Stable Value Fund assets are held in a separate account at MetLife as a condition for MetLife to provide its life insurance separate account contract, which provides similar participant benefit payments as a book value wrap contract. The assets in the MetLife separate account are not subject to the liabilities of the general account of MetLife. While the contracts are designed to protect the Stable Value Fund against interest rate risk, the Stable Value Fund is still exposed to risk if issuers of the Stable Value Fund assets default on payment of interest or principal, but this risk is mitigated because the underlying Stable Value Fund assets in the Stable Value Fund bond portfolio are backed by the U.S. Government. The contracts may not cover participant benefit payments at contract value upon the occurrence of certain events, described below, involving the Stable Value Fund, American Express as its plan sponsor (“Plan Sponsor”) or Ameriprise Trust Company, an affiliate of Ameriprise Financial, Inc., its investment manager.
Fully benefit-responsive book value wrap contracts held by a separately managed account created for a defined contribution plan are now required to be reported at contract value, rather than fair value, on the Statements of Net Assets. Contract value is the relevant measure for fully benefit-responsive investment contracts because contract value is the amount participants 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.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Certain events might limit the ability of the Plan to transact at contract value with the contract issuer and therefore also limit the ability of the Plan to transact at contract value with the participants of the Plan. These events may be different under each contract. Examples of such events include the following:
| The Plan’s failure to qualify under Section 401(a) of the Internal Revenue Code or the failure of the trust to be tax-exempt under Section 501(a) of the Internal Revenue Code; |
| Premature termination of the contracts; |
| Plan termination or merger; |
| Changes to the Plan’s administration of competing investment options; and |
| Bankruptcy of the Plan Sponsor or other Plan Sponsor events (for example, divestitures or spinoffs of a subsidiary) that significantly affect the Plan’s normal operations. |
The Plan believes no such events are probable of occurring.
In addition, certain events allow the issuer to terminate the contracts with the Plan and settle at an amount different from contract value. Those events may be different under each contract. Examples of such events include the following:
| An uncured violation of the Plan’s investment guidelines; |
| A breach of material obligation under the contract; |
| A material misrepresentation; and |
| A material amendment to the agreements without the consent of the issuer. |
The Plan believes no such events are probable of occurring.
RSPIC has also created four passively-managed (index) Core Investment Options: The Diversified Bond Index Fund, The U.S. Large-Cap Equity Index Fund, The U.S. Small/Mid-Cap Equity Index Fund, and The International Equity Index Fund, which currently use a single index fund as the underlying investment in each Fund. Each passively-managed Core Investment Option seeks to mirror the investments and track the performance of a broad market index that includes hundreds or thousands of stocks or bonds. During 2018, RSPIC changed the investment vehicle for The Diversified Bond Index Fund, The U.S. Small/Mid-Cap Equity Index Fund, and The International Equity Index Fund from a mutual fund to a collective trust. The U.S. Large-Cap Equity Index Fund was already invested in a collective trust.
Self-Directed Accounts
The SDA gives participants the opportunity to invest in a wide variety of mutual funds in addition to the specific investment options mentioned above. Participants may request a Prospectus for any of the funds available through the SDA.
American Express Company Stock Fund
The Plan Document requires that this Fund be offered as an investment option under the Plan, subject to compliance with ERISA. The American Express Company Stock Fund is an ESOP. This Fund invests primarily in American Express Company common shares and holds a small amount of cash or other short-term cash equivalents to meet requests for investment transfers, withdrawals, and distributions. Participants have full voting rights for the common shares underlying the units that are allocated to the American Express Company Stock Fund.
A full, detailed description of the Plan’s investment options, and associated terms and conditions, is available to all participants.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
5. | Risks and Uncertainties |
The Plan invests in various investment securities. Investment securities are exposed to various risks such as interest rate, market, and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities will continue to occur in the near term and that such changes could materially affect the amounts reported in the Statements of Net Assets Available for Benefits and the Statement of Changes in Net Assets Available for Benefits.
6. | Income Tax Status |
The Plan has received a favorable determination letter from the Internal Revenue Service (“IRS”) dated November 21, 2016, stating that the Plan is qualified under section 401(a) of the Code, and therefore, the related trust is exempt from taxation. The Plan has been amended after the period covered by the determination letter. Although the Plan has been amended since receiving the determination letter, the Company believes the Plan, as amended, is currently designed and being operated in compliance with the applicable requirements of the Code, and therefore, believes that the Plan, as amended, is qualified, the related trust is tax-exempt, and the Plan satisfies the requirements of Section 4975(e)(7) of the Code.
GAAP requires 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 IRS. The Company has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2018, 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, the Plan is no longer subject to examination for tax years prior to 2016, which is the earliest open year for U.S. federal tax purposes.
7. | Reconciliation of Financial Statements to Form 5500 |
The following is a reconciliation of net assets available for benefits per the financial statements to Form 5500 as of December 31, 2018 and 2017:
(Thousands) | 2018 | 2017 | ||||||
Net assets available for benefits per the financial statements | $ | 5,110,920 | $ | 5,446,210 | ||||
Difference between contract value and fair value of fully benefit-responsive investment contracts | (6,531 | ) | (4,169 | ) | ||||
Loans deemed distributed | (471 | ) | (703 | ) | ||||
Net assets available for benefits per the Form 5500 | $ | 5,103,918 | $ | 5,441,338 |
The following is a reconciliation of net income per the financial statements to Form 5500 for the year ended December 31, 2018:
(Thousands) | 2018 | |||
Net decrease in net assets available for benefits per the financial statements | $ | (335,290 | ) | |
Adjustment for difference between contract value and fair value of fully benefit-responsive investment contracts | (2,362 | ) | ||
Change in deemed distributions of participant loans | 232 | |||
Net income per the Form 5500 | $ | (337,420 | ) |
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
8. | Related Parties and Parties-In-Interest Transactions |
The Plan allows for transactions with, and certain investments in, certain parties that may perform services for, or have fiduciary responsibilities to, the Plan, including Wells Fargo Bank, N.A., the Trustee, and its affiliates as well as investment managers appointed by RSPIC. Transactions with these parties are considered party-in-interest transactions, but not considered prohibited transactions under ERISA. As noted in Supplemental Schedule H, Line 4i, the Plan held investments with parties-in-interest in Wells Fargo Bank, N.A. and its affiliates, Ameriprise Financial, Inc. and its affiliates, J.P. Morgan Investment Management, Inc. and its affiliates, and Vanguard Fiduciary Trust as of both December 31, 2018 and 2017, Fidelity Investment Management as of December 31, 2018, and the Vanguard Group as of December 31, 2017. The Plan also held investments in Morgan Stanley and its affiliates, and Morgan Stanley became an investment manager and fiduciary in 2017. Notes Receivable from Participants, as discussed in Note 1 (Description of the Plan), are also considered party-in-interest transactions.
Additionally, the Company is considered a party-in-interest as well as a related party. As of December 31, 2018 and 2017, the Plan held 5,706,139 shares of American Express Company common stock valued at $544 million and 6,189,243 shares valued at $615 million, respectively. During the 2018 plan year the Plan acquired 86,046 shares of American Express Company common stock valued at $9 million through dividend reinvestments and sold 334,335 shares valued at $34 million. The Plan reimburses the Company for direct expenses (salary and benefits costs) associated with a Company employee dedicated to servicing the Company’s qualified retirement plans for time spent providing services to the Plan.
SUPPLEMENTAL SCHEDULES
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
Money Market Funds | ||||||
* | FIDELITY MM GOVT PORTFOLIO #57 | 39,199 | 39,198 | |||
Corporate Debt Instruments | ||||||
21ST CENTY FOX AMER 7.625% 11/30/28 | 200 | 260 | ||||
ABBOTT LABORATORIES 3.875% 9/15/25 | 71 | 72 | ||||
ABBVIE INC 3.200% 11/06/22 | 50 | 49 | ||||
ABBVIE INC 4.500% 5/14/35 | 160 | 148 | ||||
ACE INA HOLDINGS 2.700% 3/13/23 | 200 | 195 | ||||
ACE INA HOLDINGS 3.350% 5/03/26 | 30 | 29 | ||||
AEP TRANSMISSION CO 4.000% 12/01/46 | 62 | 59 | ||||
AETNA INC 2.800% 6/15/23 | 42 | 40 | ||||
AFLAC INC 3.250% 3/17/25 | 200 | 195 | ||||
AGL CAPITAL CORP 5.250% 8/15/19 | 180 | 181 | ||||
AIR LEASE CORP 3.250% 3/01/25 | 81 | 74 | ||||
AIRCASTLE LTD 4.400% 9/25/23 | 130 | 128 | ||||
ALABAMA POWER CO 5.700% 2/15/33 | 200 | 232 | ||||
ALBEMARLE CORP 5.450% 12/01/44 | 50 | 50 | ||||
ALBERTA ENERGY CO LT 7.375% 11/01/31 | 50 | 58 | ||||
ALLERGAN INC 2.800% 3/15/23 | 620 | 594 | ||||
AMAZON.COM INC 2.800% 8/22/24 | 250 | 243 | ||||
AMAZON.COM INC 3.875% 8/22/37 | 110 | 106 | ||||
AMAZON.COM INC 4.800% 12/05/34 | 150 | 161 | ||||
AMER AIRLINE 16-2 AA 3.200% 6/15/28 | 180 | 169 | ||||
AMER AIRLINE 16-3 AA 3.000% 10/15/28 | 216 | 204 | ||||
AMER AIRLINE 17-1 AA 3.650% 2/15/29 | 64 | 63 | ||||
AMER AIRLINE 17-2B 3.700% 10/15/25 | 188 | 182 | ||||
AMER AIRLN 13-1 A PA 4.000% 7/15/25 | 75 | 74 | ||||
AMER AIRLN 14-1 A PT 3.700% 10/01/26 | 117 | 113 | ||||
AMERICAN FINANCIAL 3.500% 8/15/26 | 150 | 141 | ||||
AMERICAN HONDA FINAN 2.150% 3/13/20 | 100 | 99 | ||||
AMERICAN HONDA FINAN 2.450% 9/24/20 | 99 | 98 | ||||
AMERICAN HONDA FINAN 2.600% 11/16/22 | 150 | 146 | ||||
AMERICAN INTL GROUP 3.875% 1/15/35 | 200 | 172 | ||||
AMERICAN INTL GROUP 4.125% 2/15/24 | 200 | 201 | ||||
AMERICAN INTL GROUP 4.200% 4/01/28 | 55 | 53 | ||||
AMERICAN TOWER CORP 2.250% 1/15/22 | 100 | 96 | ||||
AMERICAN TOWER CORP 3.375% 10/15/26 | 56 | 52 | ||||
AMERICAN TOWER CORP 4.000% 6/01/25 | 100 | 98 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
AMERICAN WATER CAPIT 3.400% 3/01/25 | 152 | 150 | ||||
* | AMERIPRISE FINANCIAL 2.875% 9/15/26 | 89 | 83 | |||
AMERN AIRLINE 16-2 3.650% 6/15/28 | 20 | 19 | ||||
AMGEN INC 3.625% 5/15/22 | 100 | 101 | ||||
ANALOG DEVICES INC 3.125% 12/05/23 | 61 | 59 | ||||
ANALOG DEVICES INC 4.500% 12/05/36 | 95 | 90 | ||||
ANHEUSER-BUSCH INBEV 3.300% 2/01/23 | 636 | 618 | ||||
ANHEUSER-BUSCH INBEV 4.375% 4/15/38 | 190 | 170 | ||||
ANHEUSER-BUSCH INBEV 4.439% 10/06/48 | 50 | 43 | ||||
ANHEUSER-BUSCH INBEV 4.750% 4/15/58 | 115 | 100 | ||||
ANTHEM INC 3.350% 12/01/24 | 70 | 68 | ||||
ANTHEM INC 4.101% 3/01/28 | 140 | 137 | ||||
AON PLC 3.500% 6/14/24 | 100 | 98 | ||||
APACHE COPORATION 6.000% 1/15/37 | 28 | 29 | ||||
APPLE INC 2.700% 5/13/22 | 516 | 510 | ||||
APPLE INC 2.750% 1/13/25 | 150 | 144 | ||||
APPLE INC 2.850% 5/11/24 | 47 | 46 | ||||
APPLE INC 2.900% 9/12/27 | 124 | 116 | ||||
APPLE INC 3.000% 2/09/24 | 146 | 144 | ||||
APPLE INC 3.000% 6/20/27 | 131 | 125 | ||||
APPLE INC 3.200% 5/11/27 | 69 | 67 | ||||
APPLE INC 3.250% 2/23/26 | 80 | 78 | ||||
APPLE INC 3.350% 2/09/27 | 126 | 123 | ||||
APPLE INC 3.450% 5/06/24 | 95 | 95 | ||||
APPLE INC 3.750% 9/12/47 | 180 | 165 | ||||
APPLE INC 3.850% 8/04/46 | 129 | 120 | ||||
APPLE INC 4.500% 2/23/36 | 72 | 76 | ||||
ARC PROP OPER PART 4.600% 2/06/24 | 205 | 207 | ||||
ARROW ELECTRONICS IN 3.250% 9/08/24 | 66 | 61 | ||||
ARROW ELECTRONICS IN 3.875% 1/12/28 | 55 | 50 | ||||
ASSURANT INC 4.200% 9/27/23 | 105 | 105 | ||||
AT&T INC 3.400% 5/15/25 | 237 | 223 | ||||
AT&T INC 3.950% 1/15/25 | 196 | 192 | ||||
AT&T INC 4.125% 2/17/26 | 197 | 192 | ||||
AT&T INC 4.300% 2/15/30 | 326 | 308 | ||||
AT&T INC 4.900% 8/15/37 | 324 | 302 | ||||
AT&T INC 5.150% 11/15/46 | 200 | 186 | ||||
AT&T INC 5.250% 3/01/37 | 100 | 98 | ||||
AT&T INC 5.350% 9/01/40 | 300 | 291 | ||||
ATHENE HOLDINGS LTD 4.125% 1/12/28 | 115 | 104 | ||||
ATMOS ENERGY CORP 5.500% 6/15/41 | 100 | 114 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
AVALONBAY COMMUNITIE 2.850% 3/15/23 | 90 | 88 | ||||
AVALONBAY COMMUNITIE 3.450% 6/01/25 | 40 | 39 | ||||
BAKER HUGHES A GE CO 5.125% 9/15/40 | 50 | 48 | ||||
BALTIMORE GAS & ELEC 3.500% 8/15/46 | 70 | 62 | ||||
BANK OF AMERICA CORP 2.625% 10/19/20 | 450 | 445 | ||||
BANK OF AMERICA CORP 3.300% 1/11/23 | 481 | 474 | ||||
BANK OF AMERICA CORP 3.419% 12/20/28 | 659 | 616 | ||||
BANK OF AMERICA CORP 3.950% 4/21/25 | 300 | 291 | ||||
BANK OF MONTREAL 1.500% 7/18/19 | 78 | 77 | ||||
BANK OF MONTREAL 2.350% 9/11/22 | 120 | 116 | ||||
BANK OF NOVA SCOTIA 2.450% 9/19/22 | 200 | 193 | ||||
BANK OF NY MELLON CO 2.200% 8/16/23 | 100 | 95 | ||||
BANK OF NY MELLON CO 2.450% 11/27/20 | 78 | 77 | ||||
BANK OF NY MELLON CO 2.500% 4/15/21 | 55 | 54 | ||||
BANK OF NY MELLON CO 2.600% 8/17/20 | 229 | 227 | ||||
BARCLAYS PLC 3.684% 1/10/23 | 317 | 304 | ||||
BARCLAYS PLC 4.375% 1/12/26 | 200 | 190 | ||||
BAT CAPITAL CORP 4.390% 8/15/37 | 68 | 56 | ||||
BAXALTA INC 3.600% 6/23/22 | 15 | 15 | ||||
BAXALTA INC 5.250% 6/23/45 | 7 | 7 | ||||
BB&T CORPORATION 2.625% 6/29/20 | 180 | 178 | ||||
* | BERKSHIRE HATHAWAY 5.750% 1/15/40 | 300 | 358 | |||
BHP FIN USA LTD 6.420% 3/01/26 | 300 | 348 | ||||
BOSTON PROPERTIES LP 3.125% 9/01/23 | 30 | 29 | ||||
BOSTON PROPERTIES LP 3.200% 1/15/25 | 76 | 73 | ||||
BOSTON PROPERTIES LP 3.650% 2/01/26 | 74 | 72 | ||||
BP CAP MARKETS AMERI 3.017% 1/16/27 | 135 | 127 | ||||
BP CAP MARKETS AMERI 3.224% 4/14/24 | 140 | 137 | ||||
BP CAP MARKETS AMERI 3.245% 5/06/22 | 200 | 198 | ||||
BP CAPITAL MARKETS 3.279% 9/19/27 | 80 | 76 | ||||
BP CAPITAL MARKETS 3.814% 2/10/24 | 200 | 202 | ||||
BPCE SA 2.500% 7/15/19 | 250 | 249 | ||||
BRIXMOR OPERATING PA 3.850% 2/01/25 | 120 | 116 | ||||
BROOKFIELD FINANCE 3.900% 1/25/28 | 55 | 52 | ||||
BROOKFIELD FINANCE 4.700% 9/20/47 | 64 | 59 | ||||
BUCKEYE PARTNERS LP 5.850% 11/15/43 | 195 | 179 | ||||
BUNGE LTD FINANCE CO 3.500% 11/24/20 | 40 | 40 | ||||
BURLINGTN NORTH SANT 3.000% 3/15/23 | 400 | 397 | ||||
BURLINGTN NORTH SANT 3.650% 9/01/25 | 100 | 101 | ||||
BURLINGTON NORTH SAN 6.150% 5/01/37 | 60 | 73 | ||||
CAMPBELL SOUP CO 3.950% 3/15/25 | 110 | 105 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
CANADIAN NATL RESOUR 5.850% 2/01/35 | 200 | 212 | ||||
CANADIAN PACIFIC RR 5.750% 3/15/33 | 70 | 80 | ||||
CANADIAN PACIFIC RR 6.125% 9/15/15 | 10 | 12 | ||||
CAPITAL ONE FINANCIA 3.750% 4/24/24 | 200 | 195 | ||||
CAPITAL ONE FINANCIA 3.750% 7/28/26 | 88 | 81 | ||||
CAPITAL ONE FINANCIA 4.200% 10/29/25 | 60 | 58 | ||||
CARDINAL HEALTH INC 4.900% 9/15/45 | 39 | 35 | ||||
CATERPILLAR INC 6.050% 8/15/36 | 300 | 361 | ||||
CBS CORP 4.000% 1/15/26 | 292 | 283 | ||||
CELGENE CORP 3.625% 5/15/24 | 173 | 169 | ||||
CELGENE CORP 5.700% 10/15/40 | 91 | 97 | ||||
CENOVUS ENERGY INC 3.800% 9/15/23 | 150 | 145 | ||||
CENOVUS ENERGY INC 5.250% 6/15/37 | 47 | 41 | ||||
CENOVUS ENERGY INC 6.750% 11/15/39 | 90 | 88 | ||||
CENTERPOINT ENER HOU 3.000% 2/01/27 | 91 | 87 | ||||
CHARLES SCHWAB CORP 3.200% 3/02/27 | 150 | 143 | ||||
CHARTER COMM OPT LLC 4.908% 7/23/25 | 532 | 529 | ||||
CHARTER COMM OPT LLC 5.375% 4/01/38 | 48 | 45 | ||||
CHARTER COMM OPT LLC 6.384% 10/23/35 | 52 | 53 | ||||
CHARTER COMM OPT LLC 6.834% 10/23/55 | 70 | 71 | ||||
CHEVRON CORP 2.566% 5/16/23 | 210 | 205 | ||||
CHEVRON CORP 2.895% 3/03/24 | 81 | 79 | ||||
CHUBB INA HOLDINGS 2.875% 11/03/22 | 47 | 47 | ||||
CINCINNATI FINL CORP 6.920% 5/15/28 | 50 | 60 | ||||
CISCO SYSTEMS INC 1.850% 9/20/21 | 70 | 68 | ||||
CISCO SYSTEMS INC 2.200% 2/28/21 | 150 | 148 | ||||
CISCO SYSTEMS INC 2.950% 2/28/26 | 73 | 70 | ||||
CISCO SYSTEMS INC 3.000% 6/15/22 | 139 | 139 | ||||
CITIGROUP INC 2.750% 4/25/22 | 400 | 389 | ||||
CITIGROUP INC 3.200% 10/21/26 | 65 | 60 | ||||
CITIGROUP INC 4.400% 6/10/25 | 188 | 184 | ||||
CITIGROUP INC 4.450% 9/29/27 | 21 | 20 | ||||
CITIGROUP INC 4.750% 5/18/46 | 100 | 92 | ||||
CITIZENS BANK NA/RI 2.550% 5/13/21 | 250 | 245 | ||||
CITIZENS FINANCIAL 2.375% 7/28/21 | 20 | 20 | ||||
CITIZENS FINANCIAL 4.300% 12/03/25 | 47 | 46 | ||||
CLEVELAND ELECTRIC 5.950% 12/15/36 | 40 | 45 | ||||
CME GROUP INC 3.000% 3/15/25 | 200 | 195 | ||||
CMS ENERGY CORP 2.950% 2/15/27 | 39 | 36 | ||||
CMS ENERGY CORP 3.875% 3/01/24 | 180 | 181 | ||||
CNOOC FINANCE 2013 3.000% 5/09/23 | 400 | 386 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
COMCAST CORP 3.000% 2/01/24 | 58 | 57 | ||||
COMCAST CORP 3.150% 3/01/26 | 168 | 161 | ||||
COMCAST CORP 3.200% 7/15/36 | 200 | 172 | ||||
COMCAST CORP 3.375% 2/15/25 | 138 | 135 | ||||
COMCAST CORP 3.550% 5/01/28 | 97 | 94 | ||||
COMCAST CORP 3.900% 3/01/38 | 55 | 51 | ||||
COMCAST CORP 3.950% 10/15/25 | 157 | 159 | ||||
COMCAST CORP 4.200% 8/15/34 | 100 | 96 | ||||
COMCAST CORP 4.600% 10/15/38 | 190 | 192 | ||||
COMCAST CORP 4.950% 10/15/58 | 240 | 244 | ||||
COMCAST CORP 6.500% 11/15/35 | 123 | 147 | ||||
COMERICA BANK 4.000% 7/27/25 | 300 | 298 | ||||
COMMONWEALTH EDISON 3.650% 6/15/46 | 45 | 41 | ||||
COMMONWEALTH EDISON 3.750% 8/15/47 | 70 | 64 | ||||
COMMONWEALTH REIT 5.875% 9/15/20 | 350 | 359 | ||||
CONAGRA BRANDS INC 4.600% 11/01/25 | 65 | 65 | ||||
CONAGRA BRANDS INC 5.300% 11/01/38 | 140 | 132 | ||||
CONNECTICUT LIGHT & 3.200% 3/15/27 | 50 | 49 | ||||
CONNECTICUT LIGHT & 4.000% 4/01/48 | 53 | 52 | ||||
CONSTELLATION BRANDS 4.400% 11/15/25 | 75 | 75 | ||||
CONSTELLATION BRANDS 5.250% 11/15/48 | 40 | 40 | ||||
CONTL AIRLINES 2012- 4.000% 10/29/24 | 537 | 530 | ||||
CROWN CASTLE INTL CO 4.000% 3/01/27 | 24 | 23 | ||||
CROWN CASTLE INTL CO 4.875% 4/15/22 | 112 | 115 | ||||
CROWN CASTLE INTL CO 5.250% 1/15/23 | 70 | 73 | ||||
CSX CORP 6.000% 10/01/36 | 175 | 203 | ||||
CVS CAREMARK CORP 2.750% 12/01/22 | 60 | 58 | ||||
CVS CAREMARK CORP 4.000% 12/05/23 | 111 | 111 | ||||
CVS HEALTH CORP 4.100% 3/25/25 | 465 | 460 | ||||
CVS HEALTH CORP 4.300% 3/25/28 | 119 | 116 | ||||
CVS HEALTH CORP 4.780% 3/25/38 | 175 | 168 | ||||
CVS HEALTH CORP 5.050% 3/25/48 | 98 | 95 | ||||
CVS PASS-THROUGH TRU 6.036% 12/10/28 | 306 | 326 | ||||
DANAHER CORP 2.400% 9/15/20 | 36 | 36 | ||||
DDR CORP 3.625% 2/01/25 | 61 | 58 | ||||
DELTA AIR LINES 6.821% 8/10/22 | 377 | 405 | ||||
DEUTSCHE BANK NY 3.300% 11/16/22 | 100 | 93 | ||||
DEUTSCHE BANK NY 4.250% 10/14/21 | 184 | 180 | ||||
DIGITAL REALTY TRUST 3.700% 8/15/27 | 39 | 37 | ||||
DISCOVER BANK 4.200% 8/08/23 | 250 | 250 | ||||
DISCOVERY COMMUNICAT 3.450% 3/15/25 | 120 | 112 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
DISCOVERY COMMUNICAT 3.950% 3/20/28 | 53 | 49 | ||||
DOLLAR GENERAL CORP 4.125% 5/01/28 | 70 | 68 | ||||
DOMINION ENERGY INC 1.500% 7/01/20 | 70 | 69 | ||||
DOMINION GAS HLDGS 2.800% 11/15/20 | 112 | 110 | ||||
DOMINION RESOURCES 2.750% 9/15/22 | 66 | 64 | ||||
DOMINION RESOURCES 2.850% 8/15/26 | 76 | 70 | ||||
DOW CHEMICAL CO/THE 3.500% 10/01/24 | 200 | 193 | ||||
DOWDUPONT INC 4.493% 11/15/25 | 150 | 154 | ||||
DOWDUPONT INC 5.319% 11/15/38 | 70 | 72 | ||||
DR PEPPER SNAPPLE GR 3.130% 12/15/23 | 135 | 129 | ||||
DR PEPPER SNAPPLE GR 3.430% 6/15/27 | 35 | 32 | ||||
DUKE ENERGY CAROLINA 3.900% 6/15/21 | 100 | 101 | ||||
DUKE ENERGY CORP 2.650% 9/01/26 | 43 | 39 | ||||
DUKE ENERGY CORP 6.000% 12/01/28 | 80 | 94 | ||||
DUKE ENERGY INDIANA 3.750% 5/15/46 | 80 | 74 | ||||
DUKE ENERGY OHIO INC 3.700% 6/15/46 | 46 | 41 | ||||
DUKE ENERGY PROGRESS 3.250% 8/15/25 | 53 | 52 | ||||
DUKE ENERGY PROGRESS 3.700% 10/15/46 | 54 | 49 | ||||
DUKE ENERGY PROGRESS 4.200% 8/15/45 | 130 | 129 | ||||
DUKE REALTY LP 3.250% 6/30/26 | 23 | 22 | ||||
DUKE REALTY LP 3.875% 2/15/21 | 70 | 71 | ||||
DXC TECHNOLOGY CO 4.250% 4/15/24 | 47 | 46 | ||||
EATON CORP 4.000% 11/02/32 | 170 | 168 | ||||
ECOLAB INC 3.250% 1/14/23 | 88 | 88 | ||||
ECOLAB INC 3.250% 12/01/27 | 43 | 42 | ||||
ECOPETROL SA 5.375% 6/26/26 | 104 | 105 | ||||
ECOPETROL SA 5.875% 9/18/23 | 128 | 133 | ||||
EDISON INTERNATIONAL 2.950% 3/15/23 | 100 | 94 | ||||
EDISON INTERNATIONAL 4.125% 3/15/28 | 40 | 38 | ||||
EMERA US FINANCE LP 3.550% 6/15/26 | 70 | 66 | ||||
ENABLE MIDSTREAM PAR 4.950% 5/15/28 | 55 | 52 | ||||
ENBRIDGE INC 4.500% 6/10/44 | 50 | 48 | ||||
ENCANA CORP 7.200% 11/01/31 | 140 | 158 | ||||
ENERGY TRANSFER PART 3.600% 2/01/23 | 22 | 21 | ||||
ENERGY TRANSFER PART 4.050% 3/15/25 | 136 | 128 | ||||
ENERGY TRANSFER PART 4.750% 1/15/26 | 45 | 44 | ||||
ENERGY TRANSFER PART 4.900% 2/01/24 | 48 | 49 | ||||
ENERGY TRANSFER PART 6.050% 6/01/41 | 183 | 175 | ||||
ENLINK MIDSTREAM PAR 2.700% 4/01/19 | 100 | 99 | ||||
ENLINK MIDSTREAM PAR 4.150% 6/01/25 | 100 | 90 | ||||
ENLINK MIDSTREAM PAR 5.600% 4/01/44 | 50 | 41 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
ENTERGY ARKANSAS INC 3.500% 4/01/26 | 31 | 31 | ||||
ENTERGY CORP 2.950% 9/01/26 | 31 | 29 | ||||
ENTERGY LOUISIANA LL 2.400% 10/01/26 | 59 | 54 | ||||
ENTERGY LOUISIANA LL 3.050% 6/01/31 | 57 | 52 | ||||
ENTERGY LOUISIANA LL 3.120% 9/01/27 | 40 | 38 | ||||
ENTERGY LOUISIANA LL 4.000% 3/15/33 | 45 | 46 | ||||
ENTERGY MISSISSIPPI 2.850% 6/01/28 | 50 | 47 | ||||
ENTERPRISE PRODUCTS 3.900% 2/15/24 | 200 | 202 | ||||
ENTERPRISE PRODUCTS 6.650% 10/15/34 | 300 | 359 | ||||
ENTERPRISE PRODUCTS 7.550% 4/15/38 | 90 | 114 | ||||
EOG RESOURCES INC 4.150% 1/15/26 | 60 | 62 | ||||
EPR PROPERTIES 4.500% 6/01/27 | 75 | 72 | ||||
EPR PROPERTIES 4.950% 4/15/28 | 50 | 49 | ||||
EQT CORP 3.900% 10/01/27 | 60 | 52 | ||||
ERP OPERATING LP 2.850% 11/01/26 | 51 | 48 | ||||
ERP OPERATING LP 3.000% 4/15/23 | 100 | 98 | ||||
ERP OPERATING LP 3.500% 3/01/28 | 43 | 42 | ||||
EXELON CORP 3.400% 4/15/26 | 63 | 60 | ||||
EXELON GENERATION CO 3.400% 3/15/22 | 96 | 94 | ||||
EXELON GENERATION CO 4.250% 6/15/22 | 75 | 76 | ||||
EXELON GENERATION CO 6.250% 10/01/39 | 180 | 188 | ||||
EXPRESS SCRIPTS HOLD 3.000% 7/15/23 | 43 | 41 | ||||
EXPRESS SCRIPTS HOLD 4.500% 2/25/26 | 108 | 109 | ||||
EXPRESS SCRIPTS HOLD 4.800% 7/15/46 | 53 | 51 | ||||
EXXON MOBIL CORPORAT 4.114% 3/01/46 | 77 | 78 | ||||
FEDEX CORP 4.100% 4/15/43 | 40 | 35 | ||||
FIFTH THIRD BANCORP 3.950% 3/14/28 | 90 | 89 | ||||
FIRSTENERGY CORP 4.850% 7/15/47 | 26 | 26 | ||||
FLORIDA POWER & LIGH 3.125% 12/01/25 | 250 | 248 | ||||
FORD MOTOR COMPANY 7.450% 7/16/31 | 51 | 53 | ||||
FORD MOTOR CREDIT CO 3.200% 1/15/21 | 275 | 267 | ||||
FORD MOTOR CREDIT CO 4.134% 8/04/25 | 212 | 191 | ||||
FORTIS INC 3.055% 10/04/26 | 250 | 228 | ||||
GE CAPITAL INTL FUND 3.373% 11/15/25 | 287 | 255 | ||||
GE CAPITAL INTL FUND 4.418% 11/15/35 | 1,649 | 1,381 | ||||
GENERAL ELEC CAP COR 3.100% 1/09/23 | 115 | 107 | ||||
GENERAL MILLS INC 4.000% 4/17/25 | 80 | 79 | ||||
GENERAL MILLS INC 4.200% 4/17/28 | 50 | 49 | ||||
GENERAL MOTORS CO 5.150% 4/01/38 | 50 | 43 | ||||
GENERAL MOTORS CO 6.600% 4/01/36 | 137 | 133 | ||||
GENERAL MOTORS FINL 3.450% 4/10/22 | 182 | 176 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
GENERAL MOTORS FINL 3.500% 11/07/24 | 100 | 91 | ||||
GENERAL MOTORS FINL 3.950% 4/13/24 | 185 | 176 | ||||
GENERAL MOTORS FINL 4.000% 1/15/25 | 110 | 103 | ||||
GENERAL MOTORS FINL 4.300% 7/13/25 | 50 | 47 | ||||
GENERAL MOTORS FINL 4.350% 1/17/27 | 87 | 80 | ||||
GENERAL MOTORS FINL 4.350% 4/09/25 | 105 | 99 | ||||
GILEAD SCIENCES INC 3.500% 2/01/25 | 20 | 20 | ||||
GILEAD SCIENCES INC 3.700% 4/01/24 | 182 | 182 | ||||
GILEAD SCIENCES INC 4.000% 9/01/36 | 40 | 36 | ||||
GILEAD SCIENCES INC 4.600% 9/01/35 | 105 | 106 | ||||
GLAXOSMITHKLINE CAP 2.800% 3/18/23 | 150 | 147 | ||||
GOLDMAN SACHS GROUP 3.000% 4/26/22 | 500 | 484 | ||||
GOLDMAN SACHS GROUP 3.500% 11/16/26 | 150 | 139 | ||||
GOLDMAN SACHS GROUP 3.850% 1/26/27 | 224 | 211 | ||||
GOVERNMENT PROPERTIE 3.750% 8/15/19 | 400 | 400 | ||||
HALLIBURTON CO 4.850% 11/15/35 | 43 | 42 | ||||
HALLIBURTON COMPANY 3.500% 8/01/23 | 150 | 149 | ||||
HALLIBURTON COMPANY 6.700% 9/15/38 | 50 | 59 | ||||
HARRIS CORPORATION 3.832% 4/28/25 | 100 | 98 | ||||
HARRIS CORPORATION 4.854% 4/27/35 | 40 | 40 | ||||
HARTFORD FINL SVCS 4.300% 4/15/43 | 90 | 84 | ||||
HCP INC 4.200% 3/01/24 | 250 | 251 | ||||
HEALTH CARE REIT INC 4.000% 6/01/25 | 30 | 30 | ||||
HOME DEPOT INC 2.125% 9/15/26 | 79 | 71 | ||||
HOME DEPOT INC 3.900% 12/06/28 | 315 | 323 | ||||
HONEYWELL INTERNATIO 2.500% 11/01/26 | 200 | 187 | ||||
HSBC HOLDINGS PLC 2.650% 1/05/22 | 916 | 889 | ||||
HSBC HOLDINGS PLC 4.250% 3/14/24 | 400 | 397 | ||||
HSBC HOLDINGS PLC 5.100% 4/05/21 | 420 | 434 | ||||
HSBC HOLDINGS PLC 7.350% 11/27/32 | 224 | 274 | ||||
HUNTINGTON BANCSHARE 2.300% 1/14/22 | 115 | 111 | ||||
HUSKY ENERGY INC 3.950% 4/15/22 | 200 | 201 | ||||
IBM CREDIT CORP 2.650% 2/05/21 | 110 | 109 | ||||
IBM CREDIT CORP 3.000% 2/06/23 | 140 | 137 | ||||
ING GROEP NV 3.950% 3/29/27 | 200 | 192 | ||||
ING GROEP NV 4.100% 10/02/23 | 300 | 300 | ||||
INTEL CORP 3.150% 5/11/27 | 80 | 78 | ||||
INTEL CORP 3.700% 7/29/25 | 130 | 131 | ||||
INTEL CORP 4.100% 5/19/46 | 45 | 44 | ||||
INTERNATIONAL PAPER 3.000% 2/15/27 | 79 | 72 | ||||
INTL FLAVOR & FRAGRA 4.450% 9/26/28 | 65 | 66 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
INTL FLAVOR & FRAGRA 5.000% 9/26/48 | 74 | 74 | ||||
INTL LEASE FINANCE 5.875% 8/15/22 | 150 | 157 | ||||
INTL LEASE FINANCE 8.625% 1/15/22 | 100 | 111 | ||||
INTL PAPER CO 7.300% 11/15/39 | 50 | 59 | ||||
INTL PAPER CO 8.700% 6/15/38 | 40 | 53 | ||||
INVESCO FINANCE PLC 3.750% 1/15/26 | 78 | 76 | ||||
JB HUNT TRANSPRT SVC 3.850% 3/15/24 | 100 | 101 | ||||
JERSEY CENTRAL PWR 6.150% 6/01/37 | 30 | 35 | ||||
JOHN DEERE CAPITAL 2.800% 9/08/27 | 100 | 95 | ||||
JOHN DEERE CAPITAL 3.350% 6/12/24 | 179 | 178 | ||||
JOHNSON & JOHNSON 3.400% 1/15/38 | 123 | 114 | ||||
JOHNSON & JOHNSON 4.375% 12/05/33 | 22 | 24 | ||||
KANSAS CITY POWER & 4.200% 3/15/48 | 60 | 58 | ||||
KELLOGG CO 3.400% 11/15/27 | 52 | 48 | ||||
KERR MCGEE CORP 7.875% 9/15/31 | 200 | 240 | ||||
KEYCORP 2.900% 9/15/20 | 62 | 62 | ||||
KEYCORP 4.150% 10/29/25 | 100 | 102 | ||||
KIMBERLY-CLARK CORP 3.050% 8/15/25 | 50 | 49 | ||||
KINDER MORGAN INC 4.300% 3/01/28 | 175 | 171 | ||||
KINDER MORGAN INC 5.200% 3/01/48 | 40 | 38 | ||||
KRAFT FOODS GROUP IN 6.875% 1/26/39 | 137 | 153 | ||||
KRAFT HEINZ FOODS CO 5.000% 7/15/35 | 100 | 94 | ||||
LASMO USA INC DTD 7.300% 11/15/27 | 70 | 81 | ||||
LIBERTY PROPERTY LP 3.250% 10/01/26 | 27 | 25 | ||||
LINCOLN NATIONAL COR 4.200% 3/15/22 | 300 | 305 | ||||
LLOYDS BANKING GROUP 4.375% 3/22/28 | 200 | 190 | ||||
LLOYDS BANKING GROUP 4.450% 5/08/25 | 200 | 199 | ||||
LOCKHEED MARTIN CORP 3.100% 1/15/23 | 43 | 43 | ||||
LOCKHEED MARTIN CORP 4.500% 5/15/36 | 50 | 52 | ||||
LOUISVILLE GAS & ELE 3.300% 10/01/25 | 71 | 70 | ||||
LOWE'S COS INC 3.375% 9/15/25 | 42 | 40 | ||||
MAGELLAN HEALTH SRVC 4.400% 9/22/24 | 167 | 157 | ||||
MAGELLAN MIDSTREAM 4.250% 2/01/21 | 250 | 254 | ||||
MARTIN MARIETTA MATE 3.450% 6/01/27 | 73 | 67 | ||||
MASCO CORP 6.500% 8/15/32 | 110 | 122 | ||||
MCCORMICK & CO 3.150% 8/15/24 | 75 | 72 | ||||
MCDONALD'S CORP 4.700% 12/09/35 | 101 | 101 | ||||
MCDONALD'S CORP 6.300% 10/15/37 | 38 | 44 | ||||
MEAD JOHNSON NUTRITI 4.125% 11/15/25 | 120 | 123 | ||||
MEAD JOHNSON NUTRITI 4.600% 6/01/44 | 35 | 36 | ||||
* | METLIFE INC 4.368% 9/15/23 | 300 | 309 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
MICROSOFT CORP 2.400% 8/08/26 | 100 | 93 | ||||
MICROSOFT CORP 2.875% 2/06/24 | 90 | 89 | ||||
MICROSOFT CORP 3.300% 2/06/27 | 84 | 83 | ||||
MICROSOFT CORP 4.000% 2/12/55 | 120 | 118 | ||||
MICROSOFT CORP 4.100% 2/06/37 | 136 | 140 | ||||
MICROSOFT CORP 4.200% 11/03/35 | 77 | 80 | ||||
MICROSOFT CORP 4.500% 2/06/57 | 119 | 127 | ||||
MICROSOFT CORP 4.750% 11/03/55 | 109 | 122 | ||||
MIDAMERICAN ENERGY 3.100% 5/01/27 | 101 | 98 | ||||
MIDAMERICAN ENERGY 3.500% 10/15/24 | 146 | 148 | ||||
* | MORGAN STANLEY 2.750% 5/19/22 | 200 | 195 | |||
* | MORGAN STANLEY 3.625% 1/20/27 | 137 | 130 | |||
* | MORGAN STANLEY 3.750% 2/25/23 | 757 | 756 | |||
* | MORGAN STANLEY 3.875% 1/27/26 | 108 | 105 | |||
* | MORGAN STANLEY 4.100% 5/22/23 | 500 | 501 | |||
* | MORGAN STANLEY 5.500% 7/28/21 | 800 | 838 | |||
MOSAIC CO 5.625% 11/15/43 | 150 | 152 | ||||
MPLX LP 4.125% 3/01/27 | 78 | 74 | ||||
MPLX LP 4.800% 2/15/29 | 139 | 139 | ||||
MPLX LP 4.875% 12/01/24 | 80 | 81 | ||||
MPLX LP 5.200% 3/01/47 | 40 | 37 | ||||
MYLAN INC 5.400% 11/29/43 | 50 | 42 | ||||
NATIONAL AUSTRALIA 2.125% 5/22/20 | 250 | 246 | ||||
NATIONAL AUSTRALIA 3.375% 1/14/26 | 250 | 244 | ||||
NATIONAL RETAIL PROP 3.600% 12/15/26 | 62 | 60 | ||||
NATIONAL RETAIL PROP 4.000% 11/15/25 | 218 | 216 | ||||
NATIONAL RURAL UTIL 2.950% 2/07/24 | 31 | 31 | ||||
NATIONAL RURAL UTIL 3.900% 11/01/28 | 140 | 143 | ||||
NBCUNIVERSAL MEDIA 4.375% 4/01/21 | 150 | 154 | ||||
NEVADA POWER CO 5.375% 9/15/40 | 42 | 47 | ||||
NEWELL RUBBERMAID IN 5.375% 4/01/36 | 77 | 73 | ||||
NISOURCE FINANCE COR 6.250% 12/15/40 | 180 | 212 | ||||
NOBLE ENERGY INC 6.000% 3/01/41 | 100 | 98 | ||||
NORFOLK SOUTHERN COR 3.850% 1/15/24 | 88 | 89 | ||||
NORFOLK SOUTHERN COR 3.942% 11/01/47 | 51 | 46 | ||||
NORTHERN STATE PWR 6.250% 6/01/36 | 30 | 38 | ||||
NORTHERN STATE PWR- 6.200% 7/01/37 | 50 | 63 | ||||
NORTHROP GRUMMAN COR 3.200% 2/01/27 | 80 | 75 | ||||
NORTHROP GRUMMAN COR 3.250% 1/15/28 | 50 | 47 | ||||
NUCOR CORP 4.000% 8/01/23 | 140 | 142 | ||||
NUCOR CORP 6.400% 12/01/37 | 50 | 60 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
NUTRIEN LTD 3.375% 3/15/25 | 230 | 216 | ||||
NUTRIEN LTD 4.125% 3/15/35 | 100 | 91 | ||||
NVENT FINANCE SARL 4.550% 4/15/28 | 98 | 96 | ||||
OCCIDENTAL PETROLEUM 4.200% 3/15/48 | 70 | 67 | ||||
OCCIDENTAL PETROLEUM 4.625% 6/15/45 | 26 | 26 | ||||
ONEBEACON US HOLDING 4.600% 11/09/22 | 150 | 151 | ||||
ONEOK INC 7.500% 9/01/23 | 300 | 341 | ||||
ONEOK PARTNERS LP 3.375% 10/01/22 | 31 | 30 | ||||
ONEOK PARTNERS LP 4.900% 3/15/25 | 100 | 101 | ||||
ONEOK PARTNERS LP 5.000% 9/15/23 | 69 | 71 | ||||
ONEOK PARTNERS LP 8.625% 3/01/19 | 50 | 50 | ||||
ORACLE CORP 2.400% 9/15/23 | 101 | 97 | ||||
ORACLE CORP 2.950% 5/15/25 | 200 | 191 | ||||
ORACLE CORP 2.950% 11/15/24 | 130 | 127 | ||||
ORACLE CORP 3.900% 5/15/35 | 500 | 479 | ||||
ORACLE CORP 4.300% 7/08/34 | 200 | 201 | ||||
O'REILLY AUTOMOTIVE 3.600% 9/01/27 | 62 | 59 | ||||
ORIX CORP 2.900% 7/18/22 | 55 | 54 | ||||
ORIX CORP 3.700% 7/18/27 | 100 | 96 | ||||
PACCAR FINANCIAL COR 1.300% 5/10/19 | 51 | 51 | ||||
PACCAR FINANCIAL COR 2.250% 2/25/21 | 60 | 59 | ||||
PACIFIC GAS & ELECTR 3.250% 6/15/23 | 190 | 168 | ||||
PACIFIC GAS & ELECTR 3.500% 6/15/25 | 109 | 93 | ||||
PACIFIC GAS & ELECTR 6.050% 3/01/34 | 100 | 93 | ||||
PEMEX PROJ FDG MASTE 6.625% 6/15/35 | 400 | 349 | ||||
PEPSICO INC 4.600% 7/17/45 | 47 | 50 | ||||
PETRO-CANADA 5.950% 5/15/35 | 80 | 90 | ||||
PETROLEOS MEXICANOS 4.625% 9/21/23 | 117 | 110 | ||||
PETROLEOS MEXICANOS 5.350% 2/12/28 | 71 | 62 | ||||
PETROLEOS MEXICANOS 6.375% 2/04/21 | 131 | 132 | ||||
PETROLEOS MEXICANOS 6.500% 1/23/29 | 88 | 82 | ||||
PETROLEOS MEXICANOS 6.500% 3/13/27 | 420 | 395 | ||||
PETROLEOS MEXICANOS 6.750% 9/21/47 | 104 | 86 | ||||
PETROLEOS MEXICANOS 6.875% 8/04/26 | 105 | 102 | ||||
PFIZER INC 3.000% 12/15/26 | 105 | 101 | ||||
PHILLIPS 66 3.900% 3/15/28 | 70 | 68 | ||||
PHILLIPS 66 PARTNERS 3.550% 10/01/26 | 15 | 14 | ||||
PHILLIPS 66 PARTNERS 3.605% 2/15/25 | 160 | 154 | ||||
PHILLIPS 66 PARTNERS 4.900% 10/01/46 | 40 | 37 | ||||
PLAINS ALL AMER PIPE 4.650% 10/15/25 | 150 | 148 | ||||
PNC BANK NA 2.950% 1/30/23 | 505 | 492 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
PRECISION CASTPARTS 3.250% 6/15/25 | 80 | 79 | ||||
PRECISION CASTPARTS 4.375% 6/15/45 | 80 | 81 | ||||
PRICELINE GROUP INC/ 3.550% 3/15/28 | 200 | 188 | ||||
PROCTER & GAMBLE CO/ 2.700% 2/02/26 | 110 | 106 | ||||
PROGRESS ENERGY INC 7.000% 10/30/31 | 50 | 64 | ||||
PROV ST JOSEPH HLTH 2.746% 10/01/26 | 28 | 26 | ||||
PSI ENERGY INC 6.120% 10/15/35 | 50 | 62 | ||||
PUBLIC SERVICE COLOR 3.550% 6/15/46 | 27 | 24 | ||||
PUBLIC SERVICE ELECT 2.250% 9/15/26 | 70 | 64 | ||||
QUALCOMM INC 3.250% 5/20/27 | 88 | 82 | ||||
RABOBANK 4.375% 8/04/25 | 250 | 246 | ||||
RABOBANK NEDERLAND 4.625% 12/01/23 | 250 | 253 | ||||
REALTY INCOME CORP 3.875% 4/15/25 | 75 | 75 | ||||
REALTY INCOME CORP 3.875% 7/15/24 | 250 | 250 | ||||
REGIONS FINANCIAL CO 3.200% 2/08/21 | 75 | 75 | ||||
REGIONS FINANCIAL CO 3.800% 8/14/23 | 70 | 70 | ||||
REPUBLIC SERVICES IN 3.550% 6/01/22 | 150 | 151 | ||||
REYNOLDS AMERICAN IN 5.700% 8/15/35 | 100 | 98 | ||||
ROCKWELL COLLINS INC 3.200% 3/15/24 | 37 | 36 | ||||
ROCKWELL COLLINS INC 4.350% 4/15/47 | 17 | 16 | ||||
ROGERS CABLE INC 8.750% 5/01/32 | 170 | 232 | ||||
ROPER TECHNOLOGIES 3.000% 12/15/20 | 25 | 25 | ||||
ROYAL BANK OF CANADA 2.750% 2/01/22 | 99 | 97 | ||||
ROYAL BANK OF CANADA 3.700% 10/05/23 | 400 | 402 | ||||
RYDER SYSTEM INC 2.650% 3/02/20 | 150 | 149 | ||||
RYDER SYSTEM INC 2.875% 9/01/20 | 57 | 57 | ||||
SAN DIEGO G & E 6.125% 9/15/37 | 80 | 95 | ||||
SANTANDER UK GROUP 3.571% 1/10/23 | 200 | 191 | ||||
SELECT INCOME REIT 3.600% 2/01/20 | 160 | 159 | ||||
SENIOR HOUSING PROPE 3.250% 5/01/19 | 80 | 80 | ||||
SENIOR HOUSING PROPE 4.750% 2/15/28 | 100 | 94 | ||||
SHELL INTERNATIONAL 2.250% 11/10/20 | 89 | 88 | ||||
SHELL INTERNATIONAL 3.250% 5/11/25 | 73 | 72 | ||||
SHELL INTERNATIONAL 4.125% 5/11/35 | 250 | 248 | ||||
SHERWIN-WILLIAMS CO 3.125% 6/01/24 | 41 | 39 | ||||
SHIRE ACQ INV IRELAN 2.875% 9/23/23 | 83 | 78 | ||||
SHIRE ACQ INV IRELAN 3.200% 9/23/26 | 120 | 109 | ||||
SIMON PROPERTY GROUP 3.750% 2/01/24 | 260 | 261 | ||||
SOUTHERN CAL EDISON 3.650% 3/01/28 | 100 | 98 | ||||
SOUTHERN CALIF EDISO 5.550% 1/15/36 | 100 | 106 | ||||
SOUTHERN CALIF GAS 3.200% 6/15/25 | 150 | 149 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
SOUTHERN CO GAS CAPI 3.950% 10/01/46 | 26 | 23 | ||||
SOUTHERN NAT GAS CO 8.000% 3/01/32 | 75 | 95 | ||||
SOUTHERN POWER CO 5.150% 9/15/41 | 70 | 70 | ||||
SOUTHWEST GAS CORP 3.800% 9/29/46 | 49 | 45 | ||||
SOUTHWESTERN ELEC PO 2.750% 10/01/26 | 200 | 184 | ||||
SOUTHWESTERN ELEC PO 3.550% 2/15/22 | 50 | 50 | ||||
SOUTHWESTERN PUBLIC 4.500% 8/15/41 | 30 | 30 | ||||
SPIRIT AIR 2017-1 PT 3.375% 2/15/30 | 76 | 72 | ||||
STATE STREET CORP 3.550% 8/18/25 | 235 | 234 | ||||
STATOIL ASA 2.450% 1/17/23 | 300 | 291 | ||||
SUMITOMO MITSUI BANK 2.450% 1/16/20 | 500 | 496 | ||||
SUMITOMO MITSUI FINL 2.442% 10/19/21 | 53 | 52 | ||||
SUMITOMO MITSUI FINL 2.778% 10/18/22 | 99 | 96 | ||||
SUMITOMO MITSUI FINL 3.102% 1/17/23 | 138 | 135 | ||||
SUMITOMO MITSUI FINL 3.936% 10/16/23 | 430 | 438 | ||||
SUNCOR ENERGY INC 5.950% 12/01/34 | 50 | 56 | ||||
SUNOCO LOGISTICS PAR 4.250% 4/01/24 | 250 | 243 | ||||
SUNOCO LOGISTICS PAR 5.950% 12/01/25 | 160 | 167 | ||||
SUNTRUST BANK 3.300% 5/15/26 | 200 | 190 | ||||
SUNTRUST BANKS INC 2.900% 3/03/21 | 59 | 58 | ||||
SVENSKA HANDELSBANKE 2.400% 10/01/20 | 250 | 246 | ||||
SYNCHRONY FINANCIAL 3.700% 8/04/26 | 110 | 93 | ||||
SYNCHRONY FINANCIAL 4.250% 8/15/24 | 30 | 28 | ||||
SYSCO CORPORATION 3.550% 3/15/25 | 55 | 54 | ||||
SYSCO CORPORATION 3.750% 10/01/25 | 44 | 43 | ||||
SYSCO CORPORATION 4.450% 3/15/48 | 40 | 38 | ||||
TAMPA ELECTRIC CO 4.450% 6/15/49 | 225 | 219 | ||||
TC PIPELINES LP 3.900% 5/25/27 | 39 | 37 | ||||
TELEFONICA EMISIONES 4.103% 3/08/27 | 163 | 157 | ||||
TELEFONICA EMISIONES 4.665% 3/06/38 | 150 | 136 | ||||
TESORO LOGISTICS LP/ 5.250% 1/15/25 | 64 | 65 | ||||
THERMO FISHER SCIENT 2.950% 9/19/26 | 42 | 39 | ||||
THERMO FISHER SCIENT 3.000% 4/15/23 | 45 | 44 | ||||
TIME WARNER CABLE IN 5.500% 9/01/41 | 100 | 91 | ||||
TIME WARNER INC 3.550% 6/01/24 | 75 | 72 | ||||
TIME WARNER INC 3.600% 7/15/25 | 25 | 24 | ||||
TOLEDO EDISON COMPAN 6.150% 5/15/37 | 50 | 60 | ||||
TORCHMARK CORP 4.550% 9/15/28 | 105 | 107 | ||||
TORONTO-DOMINION BAN 2.500% 12/14/20 | 180 | 178 | ||||
TOTAL CAPITAL INTL 2.700% 1/25/23 | 400 | 391 | ||||
TOYOTA MOTOR CREDIT 2.100% 1/17/19 | 133 | 133 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
TRANS-CANADA PIPELIN 3.125% 1/15/19 | 112 | 112 | ||||
TRANS-CANADA PIPELIN 4.875% 1/15/26 | 139 | 144 | ||||
TRANS-CANADA PIPELIN 6.200% 10/15/37 | 60 | 65 | ||||
TRI-STATE GENERATION 4.250% 6/01/46 | 37 | 35 | ||||
TYSON FOODS INC 4.875% 8/15/34 | 50 | 48 | ||||
UDR INC 2.950% 9/01/26 | 32 | 29 | ||||
UNION CARBIDE CORP 7.750% 10/01/96 | 110 | 130 | ||||
UNION ELECTRIC CO 2.950% 6/15/27 | 50 | 48 | ||||
UNION PACIFIC CORP 4.100% 9/15/67 | 50 | 42 | ||||
UNITED AIR 2013-1 A 4.300% 8/15/25 | 201 | 205 | ||||
UNITED AIR 2016-1 A 3.450% 7/07/28 | 80 | 77 | ||||
UNITED AIR 2016-1 AA 3.100% 7/07/28 | 189 | 182 | ||||
UNITED AIR 2016-1 B 3.650% 1/07/26 | 78 | 77 | ||||
UNITED AIR 2018-1 A 3.700% 3/01/30 | 113 | 110 | ||||
UNITED AIR 2018-1 AA 3.500% 3/01/30 | 191 | 187 | ||||
UNITED AIR 2018-1 B 4.600% 3/01/26 | 51 | 51 | ||||
UNITED TECHNOLOGIES 3.950% 8/16/25 | 465 | 461 | ||||
UNITED TECHNOLOGIES 4.450% 11/16/38 | 60 | 58 | ||||
UNITEDHEALTH GROUP 1.625% 3/15/19 | 73 | 73 | ||||
UNITEDHEALTH GROUP 2.750% 2/15/23 | 84 | 82 | ||||
UNITEDHEALTH GROUP 3.100% 3/15/26 | 100 | 97 | ||||
UNITEDHEALTH GROUP 4.625% 7/15/35 | 124 | 131 | ||||
US BANCORP 2.350% 1/29/21 | 350 | 345 | ||||
US BANCORP 3.950% 11/17/25 | 100 | 102 | ||||
VALE INCO LTD 7.200% 9/15/32 | 70 | 77 | ||||
VALE OVERSEAS LIMITE 6.250% 8/10/26 | 21 | 23 | ||||
VALE OVERSEAS LIMITE 6.875% 11/21/36 | 77 | 88 | ||||
VALERO ENERGY CORP 7.500% 4/15/32 | 30 | 37 | ||||
VENTAS REALTY LP 3.750% 5/01/24 | 200 | 198 | ||||
VENTAS REALTY LP 3.850% 4/01/27 | 31 | 30 | ||||
VENTAS REALTY LP 4.125% 1/15/26 | 34 | 34 | ||||
VERIZON COMMUNICATIO 4.272% 1/15/36 | 50 | 47 | ||||
VERIZON COMMUNICATIO 4.400% 11/01/34 | 70 | 67 | ||||
VERIZON COMMUNICATIO 4.500% 8/10/33 | 432 | 426 | ||||
VERIZON COMMUNICATIO 5.250% 3/16/37 | 101 | 105 | ||||
VIRGINIA ELEC & POWE 3.500% 3/15/27 | 100 | 98 | ||||
VIRGINIA ELEC & POWE 3.800% 4/01/28 | 60 | 60 | ||||
VIRGINIA ELEC & POWE 3.800% 9/15/47 | 50 | 46 | ||||
VMWARE INC 2.950% 8/21/22 | 140 | 133 | ||||
VODAFONE GROUP PLC 2.950% 2/19/23 | 170 | 164 | ||||
VODAFONE GROUP PLC 4.125% 5/30/25 | 79 | 78 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
VODAFONE GROUP PLC 5.000% 5/30/38 | 202 | 189 | ||||
VORNADO REALTY LP 3.500% 1/15/25 | 70 | 67 | ||||
VOYA FINANCIAL INC 3.650% 6/15/26 | 71 | 67 | ||||
VR BANK OF AMERICA 3.093% 10/01/25 | 55 | 52 | ||||
VR BANK OF AMERICA 3.124% 1/20/23 | 319 | 314 | ||||
VR BANK OF AMERICA 3.366% 1/23/26 | 100 | 96 | ||||
VR BANK OF AMERICA 3.705% 4/24/28 | 350 | 336 | ||||
VR BANK OF AMERICA 3.970% 3/05/29 | 300 | 292 | ||||
VR CITIGROUP INC 3.142% 1/24/23 | 102 | 100 | ||||
VR CITIGROUP INC 3.668% 7/24/28 | 290 | 274 | ||||
VR CITIGROUP INC 3.878% 1/24/39 | 50 | 45 | ||||
VR ENBRIDGE INC 6.250% 3/01/78 | 70 | 63 | ||||
VR EXELON CORP 3.497% 6/01/22 | 80 | 78 | ||||
VR GOLDMAN SACHS 4.41069% 5/01/29 | 250 | 241 | ||||
VR GOLDMAN SACHS GRO 2.876% 10/31/22 | 800 | 777 | ||||
VR GOLDMAN SACHS GRO 2.905% 7/24/23 | 240 | 229 | ||||
VR GOLDMAN SACHS GRO 2.908% 6/05/23 | 634 | 609 | ||||
VR GOLDMAN SACHS GRO 3.272% 9/29/25 | 210 | 197 | ||||
VR GOLDMAN SACHS GRO 3.691% 6/05/28 | 279 | 259 | ||||
VR JOHNSON CONTROLS 4.950% 7/02/64 | 100 | 93 | ||||
VR MAGELLAN MIDSTREA 6.400% 5/01/37 | 70 | 81 | ||||
VR MANULIFE FINANCIA 4.061% 2/24/32 | 140 | 132 | ||||
* | VR MORGAN STANLEY 3.591% 7/22/28 | 222 | 210 | |||
* | VR MORGAN STANLEY 3.772% 1/24/29 | 83 | 79 | |||
VR NORTHERN TRUST CO 3.375% 5/08/32 | 38 | 35 | ||||
VR PROGRESSIVE COR 5.49444% 9/15/66 | 65 | 61 | ||||
VR TORONTO-DOMINION 3.625% 9/15/31 | 67 | 63 | ||||
VR WESTPAC BANKING 4.322% 11/23/31 | 120 | 114 | ||||
WALGREENS BOOTS ALLI 4.500% 11/18/34 | 380 | 364 | ||||
WALT DISNEY COMPANY/ 3.000% 2/13/26 | 300 | 289 | ||||
* | WELLS FARGO & COMPAN 2.500% 3/04/21 | 110 | 108 | |||
* | WELLS FARGO & COMPAN 3.069% 1/24/23 | 434 | 423 | |||
* | WELLS FARGO & COMPAN 3.300% 9/09/24 | 600 | 580 | |||
* | WELLS FARGO & COMPAN 3.550% 9/29/25 | 500 | 484 | |||
* | WELLS FARGO & COMPAN 4.100% 6/03/26 | 36 | 35 | |||
* | WELLS FARGO & COMPAN 4.300% 7/22/27 | 148 | 146 | |||
* | WELLS FARGO & COMPAN 4.900% 11/17/45 | 67 | 65 | |||
WELLTOWER INC 4.250% 4/01/26 | 100 | 100 | ||||
WESTERN GAS PARTNERS 4.500% 3/01/28 | 23 | 21 | ||||
WESTERN GAS PARTNERS 5.300% 3/01/48 | 49 | 42 | ||||
WESTERN GAS PARTNERS 5.450% 4/01/44 | 30 | 27 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
WESTERN UNION CO/THE 3.600% 3/15/22 | 100 | 100 | ||||
WESTLAKE CHEMICAL CO 3.600% 7/15/22 | 100 | 99 | ||||
WESTLAKE CHEMICAL CO 4.375% 11/15/47 | 42 | 35 | ||||
WESTPAC BANKING CORP 1.600% 8/19/19 | 71 | 70 | ||||
WESTPAC BANKING CORP 2.850% 5/13/26 | 110 | 102 | ||||
WILLIAMS PARTNERS LP 3.900% 1/15/25 | 59 | 57 | ||||
WILLIAMS PARTNERS LP 4.850% 3/01/48 | 64 | 58 | ||||
WISCONSIN ENERGY COR 3.550% 6/15/25 | 238 | 236 | ||||
WW GRAINGER INC 4.600% 6/15/45 | 91 | 93 | ||||
XCEL ENERGY INC 2.400% 3/15/21 | 25 | 25 | ||||
ZIMMER BIOMET HOLDIN 3.700% 3/19/23 | 34 | 34 | ||||
Total Corporate Debt Instruments | 84,623 | |||||
Common Stocks | ||||||
2U INC | 49 | 2,430 | ||||
ABIOMED INC | 9 | 2,763 | ||||
ACCELERON PHARMA INC | 12 | 531 | ||||
ACCO BRANDS CORP | 192 | 1,303 | ||||
ACI WORLDWIDE INC | 35 | 968 | ||||
ACTIVISION BLIZZARD INC | 118 | 5,500 | ||||
ADOBE INC | 104 | 23,547 | ||||
ADTALEM GLOBAL EDUCATION INC | 29 | 1,393 | ||||
AERCAP HOLDINGS NV | 106 | 4,217 | ||||
AFLAC INC | 61 | 2,761 | ||||
AIR PRODS & CHEMS INC COM | 12 | 1,937 | ||||
ALASKA AIR GROUP INC | 18 | 1,094 | ||||
ALBANY INTL CORP NEW CL A | 63 | 3,950 | ||||
ALBEMARLE CORP COM | 26 | 1,979 | ||||
ALEXANDER & BALDWIN INC | 116 | 2,140 | ||||
ALEXANDRIA REAL ESTATE EQUITIES | 22 | 2,501 | ||||
ALEXION PHARMACEUTICALS INC | 72 | 6,941 | ||||
ALIBABA GROUP HOLDING LTD ADR | 163 | 22,370 | ||||
ALIGN TECHNOLOGY INC | 46 | 9,551 | ||||
ALLEGHANY CORP DEL NEW | 5 | 3,198 | ||||
ALLERGAN PLC | 13 | 1,684 | ||||
ALLIANT ENERGY CORPORATION | 59 | 2,509 | ||||
ALLSCRIPTS HEALTHCARE SOLUTIONS INC | 191 | 1,841 | ||||
ALLSTATE CORP | 32 | 2,644 | ||||
ALLY FINANCIAL INC | 94 | 2,130 | ||||
ALPHABET INC CL A | 17 | 17,608 | ||||
ALPHABET INC CL C | 9 | 9,416 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
AMAZON COM INC COM | 24 | 35,063 | ||||
AMDOCS LIMITED COM | 55 | 3,194 | ||||
AMEREN CORPORATION | 49 | 3,209 | ||||
AMERICAN AIRLS GROUP INC | 200 | 6,448 | ||||
AMERICAN ELECTRIC POWER INC | 40 | 3,020 | ||||
* | AMERICAN EXPRESS CO | 5,706 | 543,909 | |||
AMERICAN FINL GROUP INC OHIO COM | 12 | 1,068 | ||||
AMERICAN HOMES 4 RENT | 107 | 2,123 | ||||
AMERICAN INTERNATIONAL GROUP, INC | 56 | 2,191 | ||||
AMERICAN TOWER CORP | 36 | 5,664 | ||||
AMERICAN WOODMARK CORP COM | 30 | 1,667 | ||||
AMERICOLD REALTY TRUST | 48 | 1,238 | ||||
* | AMERIPRISE FINL INC | 16 | 1,670 | |||
AMGEN INC | 16 | 3,056 | ||||
AMN HEALTHCARE SERVICES INC | 19 | 1,090 | ||||
ANADARKO PETROLEUM CORP | 41 | 1,789 | ||||
ANAPTYSBIO INC | 7 | 475 | ||||
APERGY CORP | 4 | 106 | ||||
ARAMARK | 31 | 888 | ||||
ARES CAP CORP | 72 | 1,124 | ||||
ARRAY BIOPHARMA INC | 59 | 845 | ||||
ASSURED GUARANTY LTD USD 1.0 | 39 | 1,475 | ||||
ASTRONICS CORP COM | 30 | 911 | ||||
AT & T INC | 357 | 10,175 | ||||
ATLASSIAN CORP PLC-CLASS A | 42 | 3,773 | ||||
AVANOS MEDICAL INC | 25 | 1,140 | ||||
AVROBIO INC | 10 | 173 | ||||
BANC OF CALIFORNIA INC | 132 | 1,754 | ||||
BANCO SANTANDER CEN-SPON - ADR | 675 | 3,025 | ||||
BANK OF AMERICA CORP | 378 | 9,315 | ||||
BEACON ROOFING SUPPLY INC | 52 | 1,634 | ||||
BELDEN INC | 55 | 2,307 | ||||
* | BERKSHIRE HATHAWAY INC. | 31 | 6,329 | |||
BEST BUY INC | 48 | 2,542 | ||||
BIO RAD LABS INC CL A | 13 | 2,956 | ||||
BIOMARIN PHARMACEUTICAL INC | 96 | 8,149 | ||||
BJ'S WHOLESALE CLUB HOLDINGS | 54 | 1,188 | ||||
BLACK KNIGHT INC | 45 | 2,039 | ||||
BLOOMIN' BRANDS INC | 55 | 986 | ||||
BLUEPRINT MEDICINES CORP | 18 | 949 | ||||
BNP PARIBAS - ADR | 77 | 1,745 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
BOOKING HOLDINGS INC | 6 | 10,348 | ||||
BOOZ ALLEN HAMILTON HOLDING CO | 83 | 3,738 | ||||
BP PLC - ADR | 257 | 9,748 | ||||
BRANDYWINE RLTY TR BD | 120 | 1,542 | ||||
BRIGHT HORIZONS FAMILY SOLUTIO | 46 | 5,041 | ||||
BRINKS CO | 20 | 1,286 | ||||
BRISTOL MYERS SQUIBB CO | 29 | 1,513 | ||||
BROADRIDGE FINANCIAL SOLUTIONS | 16 | 1,550 | ||||
BRUNSWICK CORP | 21 | 971 | ||||
BURLINGTON STORES INC | 33 | 5,385 | ||||
BWX TECHNOLOGIES INC | 36 | 1,376 | ||||
CABLE ONE INC | 2 | 2,103 | ||||
CANADIAN NAT RES LTD | 310 | 7,482 | ||||
CAPITAL ONE FINANCIAL CORP | 49 | 3,734 | ||||
CARNIVAL CORP | 40 | 1,987 | ||||
CARTER HOLDINGS | 11 | 932 | ||||
CATO CORP NEW CL A | 43 | 614 | ||||
CELGENE CORP COM | 29 | 1,859 | ||||
CENTENNIAL RESOURCE DEVELOPMEN | 126 | 1,389 | ||||
CENTERPOINT ENERGY INC | 113 | 3,190 | ||||
CENTURYLINK, INC | 119 | 1,798 | ||||
CHARLES RIVER LABORATORIES | 14 | 1,585 | ||||
CHEMICAL FINL CORP | 52 | 1,897 | ||||
CHEVRON CORP | 23 | 2,459 | ||||
CHIPOTLE MEXICAN GRILL INC | 3 | 1,386 | ||||
CHUBB LTD | 25 | 3,203 | ||||
CIGNA CORP | 28 | 5,403 | ||||
CINTAS CORP | 9 | 1,473 | ||||
CIRCOR INTERNATIONAL INC -WI | 30 | 636 | ||||
CISCO SYSTEMS INC | 151 | 6,509 | ||||
CISION LTD | 52 | 608 | ||||
CIT GROUP INC. | 41 | 1,577 | ||||
CITIGROUP INC. | 232 | 12,064 | ||||
CLEAN HARBORS INC | 54 | 2,696 | ||||
COCA COLA CO | 57 | 2,690 | ||||
COGNEX CORP | 27 | 1,032 | ||||
COHERENT INC | 7 | 754 | ||||
COLUMBIA SPORTSWEAR CO COM | 12 | 1,022 | ||||
COMCAST CORP CLASS A | 61 | 2,080 | ||||
CONCHO RESOURCES INC | 33 | 3,408 | ||||
CONOCOPHILLIPS | 93 | 5,780 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
CONTINENTAL RESOURCES INC/OK | 45 | 1,813 | ||||
COOPER COS INC COM NEW | 16 | 3,900 | ||||
COOPER TIRE & RUBR CO | 40 | 1,301 | ||||
CORE LABORATORIES N V COM | 9 | 537 | ||||
CORNING INC | 144 | 4,335 | ||||
CORPORATE OFFICE PROPERTIES COM | 86 | 1,810 | ||||
COSTAR GROUP, INC | 39 | 13,080 | ||||
COSTCO WHOLESALE CORP | 14 | 2,862 | ||||
COUPA SOFTWARE INC | 26 | 1,641 | ||||
CROWN HLDGS INC | 71 | 2,956 | ||||
CTS CORP | 55 | 1,424 | ||||
CUBIC CORP | 23 | 1,219 | ||||
CURTISS WRIGHT CORP COM | 21 | 2,132 | ||||
CUSHMAN & WAKEFIELD PLC | 56 | 815 | ||||
CVS HEALTH CORPORATION | 79 | 5,144 | ||||
D R HORTON INC COM | 95 | 3,293 | ||||
DELTA AIR LINES INC | 99 | 4,937 | ||||
DEVON ENERGY CORPORATION | 180 | 4,067 | ||||
DEXCOM INC | 10 | 1,233 | ||||
DIAMONDBACK ENERGY INC | 11 | 985 | ||||
DIAMONDROCK HOSPITALITY CO | 110 | 1,002 | ||||
DISCOVER FINANCIAL SERVICES | 42 | 2,460 | ||||
DISH NETWORK CORP | 56 | 1,411 | ||||
DORIAN LPG LTD | 102 | 595 | ||||
DOWDUPONT INC | 52 | 2,755 | ||||
E*TRADE GROUP | 34 | 1,505 | ||||
EAGLE MATLS INC | 28 | 1,683 | ||||
EASTMAN CHEM CO COM | 69 | 5,083 | ||||
EBAY INC | 57 | 1,589 | ||||
EDWARDS LIFESCIENCES CORP | 82 | 12,550 | ||||
ELANCO ANIMAL HEALTH INC | 26 | 805 | ||||
ELASTIC NV | 6 | 415 | ||||
ELDORADO RESORTS INC | 42 | 1,512 | ||||
ELI LILLY & CO COM | 28 | 3,263 | ||||
EMCOR GROUP INC COM | 21 | 1,224 | ||||
ENCOMPASS HEALTH CORP | 38 | 2,351 | ||||
ENVESTNET INC | 22 | 1,093 | ||||
EOG RESOURCES, INC | 12 | 1,081 | ||||
EPAM SYSTEMS INC | 14 | 1,638 | ||||
EQUINIX INC | 8 | 2,799 | ||||
ERA GROUP INC | 57 | 502 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
ESCO TECHNOLOGIES INC | 35 | 2,296 | ||||
ETSY INC | 13 | 599 | ||||
EURONET WORLDWIDE INC. | 15 | 1,561 | ||||
EVEREST RE GROUP LTD | 9 | 2,055 | ||||
EVO PAYMENTS INC | 24 | 582 | ||||
EVOQUA WATER TECHNOLOGIES CORP | 64 | 611 | ||||
EXACT SCIENCES CORP | 21 | 1,312 | ||||
EXTRA SPACE STORAGE INC | 29 | 2,624 | ||||
FACEBOOK INC | 149 | 19,450 | ||||
FARFETCH LTD-CLASS A | 23 | 407 | ||||
FCB FINANCIAL HOLDINGS, INC | 19 | 629 | ||||
FIFTH THIRD BANCORP | 97 | 2,290 | ||||
FIRST DATA CORP- CLASS A | 267 | 4,508 | ||||
FIRST HAWAIIAN INC | 42 | 941 | ||||
FIRST MIDWEST BANCORP INC DEL | 99 | 1,967 | ||||
FIRST SOURCE CORP | 29 | 1,161 | ||||
FLEXION THERAPEUTICS INC | 56 | 635 | ||||
FLIR SYS INC COM | 24 | 1,026 | ||||
FLOOR & DECOR HOLDINGS INC | 208 | 5,403 | ||||
FORD MOTOR COMPANY | 212 | 1,621 | ||||
FORRESTER RESEARCH INC COM | 43 | 1,938 | ||||
FORWARD AIR CORP | 30 | 1,662 | ||||
FRANKLIN RESOURCES INC | 66 | 1,955 | ||||
FREEPORT-MCMORAN INC. | 296 | 3,052 | ||||
FTI CONSULTING INC COM | 16 | 1,087 | ||||
GALLAGHER ARTHUR J & CO | 14 | 1,032 | ||||
GARTNER INC | 29 | 3,652 | ||||
GATX CORP | 26 | 1,839 | ||||
GENERAL MILLS INC | 50 | 1,963 | ||||
GENERAL MOTORS CO | 292 | 9,766 | ||||
GENPACT LTD | 35 | 945 | ||||
GENTHERM INC | 41 | 1,639 | ||||
GILEAD SCIENCES INC | 64 | 4,028 | ||||
GRAND CANYON EDUCATION INC | 14 | 1,384 | ||||
GREAT WESTERN BANCORP INC | 60 | 1,881 | ||||
GREIF INC-CL A | 48 | 1,790 | ||||
GRUBHUB INC | 12 | 883 | ||||
GUARDANT HEALTH INC | 10 | 378 | ||||
GUIDEWIRE SOFTWARE INC | 12 | 923 | ||||
GW PHARMACEUTICALS-ADR | 6 | 605 | ||||
HAEMONETICS CORP MASS | 15 | 1,482 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
HALLIBURTON CO | 68 | 1,794 | ||||
HAMILTON LANE INC | 36 | 1,321 | ||||
HANCOCK WHITNEY CORP | 59 | 2,053 | ||||
HCA HOLDINGS INC | 47 | 5,849 | ||||
HEALTH INSURANCE INNOVATIONS I | 21 | 561 | ||||
HELEN OF TROY LIMITED | 8 | 1,089 | ||||
HELMERICH & PAYNE INC | 35 | 1,664 | ||||
HENRY JACK & ASSOC INC COM | 17 | 2,176 | ||||
HEWLETT PACKARD ENTERPRISE CO | 85 | 1,124 | ||||
HILTON GRAND VACATIONS INC | 84 | 2,212 | ||||
HOME BANCSHARES INC/CONWAY AR | 97 | 1,589 | ||||
HOME DEPOT INC | 20 | 3,351 | ||||
HORIZON PHARMA PLC | 88 | 1,726 | ||||
HOULIHAN LOKEY INC | 53 | 1,948 | ||||
HUBBELL INCORPORATED | 18 | 1,787 | ||||
HUDSON PACIFIC PROPERTIES INC | 70 | 2,024 | ||||
HUMANA INC | 9 | 2,550 | ||||
HUNTINGTON INGALLS INDUSTRIES | 9 | 1,746 | ||||
HUNTSMAN CORP | 86 | 1,657 | ||||
HURON CONSULTING GROUP INC | 47 | 2,410 | ||||
ICF INTERNATIONAL INC | 21 | 1,369 | ||||
ICU MED INC COM | 7 | 1,628 | ||||
IDACORP INC | 28 | 2,587 | ||||
ILLUMINA INC | 50 | 15,173 | ||||
IMAX CORP COM | 39 | 724 | ||||
IMMUNOMEDICS INC | 33 | 466 | ||||
INGEVITY CORP | 21 | 1,719 | ||||
INGREDION INC | 17 | 1,572 | ||||
INSTALLED BUILDING PRODUCTS IN | 31 | 1,061 | ||||
INSULET CORP | 21 | 1,693 | ||||
INTEGER HOLDINGS CORP | 13 | 1,014 | ||||
INTEL CORP | 75 | 3,503 | ||||
INTERFACE INC | 39 | 557 | ||||
INTERNATIONAL BANCSHARES CRP | 63 | 2,161 | ||||
INTERNATIONAL GAME TECHNOLOG | 55 | 805 | ||||
INVESCO LIMITED | 140 | 2,347 | ||||
IPG PHOTONICS CORP | 22 | 2,492 | ||||
IRHYTHM TECHNOLOGIES INC | 17 | 1,160 | ||||
ITT INC | 22 | 1,052 | ||||
J & J SNACK FOODS CORP | 12 | 1,726 | ||||
J2 GLOBAL INC | 26 | 1,804 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
JAZZ PHARMACEUTICALS PLC | 9 | 1,123 | ||||
* | JPMORGAN CHASE & CO | 80 | 7,816 | |||
JUNIPER NETWORKS INC | 36 | 969 | ||||
KEMPER CORP | 26 | 1,725 | ||||
KEYSIGHT TECHNOLOGIES INC | 48 | 2,967 | ||||
KINDER MORGAN INC/DELAWARE | 127 | 1,953 | ||||
KKR & CO INC -A | 330 | 6,484 | ||||
KNIGHT-SWIFT TRANSPORTATION | 35 | 877 | ||||
KOHLS CORP | 38 | 2,508 | ||||
KROGER CO | 45 | 1,229 | ||||
LAMB WESTON HOLDINGS INC | 16 | 1,149 | ||||
LEAR CORP | 23 | 2,887 | ||||
LENNOX INTERNATIONAL INC | 5 | 1,182 | ||||
LHC GROUP INC | 15 | 1,436 | ||||
LITTELFUSE INC COM | 27 | 4,604 | ||||
LOEWS CORP | 54 | 2,481 | ||||
LOXO ONCOLOGY INC | 39 | 5,497 | ||||
LUXFER HOLDINGS PLC | 103 | 1,821 | ||||
LYONDELLBASELL INDU-CL A | 45 | 3,751 | ||||
MACY'S INC | 70 | 2,076 | ||||
MAGNA INTL INC CL A | 109 | 4,964 | ||||
MARATHON OIL CORP | 99 | 1,417 | ||||
MARATHON PETROLEUM CORP | 62 | 3,670 | ||||
MARVELL TECHNOLOGY GROUP | 64 | 1,037 | ||||
MASTERCARD INC | 18 | 3,457 | ||||
MATADOR RESOURCES CO | 42 | 644 | ||||
MATCH GROUP INC | 192 | 8,225 | ||||
MATTHEWS INTL CORP | 36 | 1,475 | ||||
MB FINANCIAL BANK | 54 | 2,149 | ||||
MCCORMICK & CO INC NON VTG | 18 | 2,451 | ||||
MCKESSON CORP | 18 | 1,966 | ||||
MERCADOLIBRE INC | 5 | 1,479 | ||||
MERCK & CO INC NEW | 49 | 3,714 | ||||
MERCURY GEN CORP NEW | 43 | 2,219 | ||||
MERCURY SYSTEMS INC | 27 | 1,272 | ||||
MICHAEL KORS HOLDINGS LTD | 33 | 1,236 | ||||
MICRON TECHNOLOGY INC | 271 | 8,619 | ||||
MIDDLEBY CORP | 11 | 1,160 | ||||
MIRATI THERAPEUTICS INC | 9 | 386 | ||||
MISTRAS GROUP INC | 74 | 1,064 | ||||
MKS INSTRS INC | 38 | 2,405 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
MOHAWK INDS INC COM | 30 | 3,462 | ||||
MOLSON COORS BREWING CO | 74 | 4,178 | ||||
MONOLITHIC PWR SYS INC | 23 | 2,642 | ||||
MONSTER BEVERAGE CORP | 270 | 13,328 | ||||
* | MORGAN STANLEY | 56 | 2,212 | |||
MORPHOSYS AG ADR | 34 | 860 | ||||
MOTOROLA SOLUTIONS, INC. | 14 | 1,558 | ||||
MUELLER INDS INC | 103 | 2,402 | ||||
MYLAN N V | 65 | 1,793 | ||||
MYOKARDIA INC | 7 | 349 | ||||
NATIONAL BEVERAGE CORP | 13 | 936 | ||||
NATIONAL VISION HOLDINGS INC | 48 | 1,352 | ||||
NATUS MEDICAL INC | 26 | 897 | ||||
NAVIGANT CONSULTING CO | 72 | 1,727 | ||||
NCR CORPORATION COM | 37 | 851 | ||||
NEENAH, INC | 29 | 1,703 | ||||
NETFLIX INC | 73 | 19,539 | ||||
NEUROCRINE BIOSCIENCES INC COM | 11 | 814 | ||||
NEW JERSEY RES CORP | 22 | 1,012 | ||||
NICE LTD - SPON ADR | 15 | 1,580 | ||||
NOMAD FOODS LTD | 97 | 1,620 | ||||
NORDSON CORP | 8 | 991 | ||||
NORFOLK SOUTHERN CORP | 20 | 3,036 | ||||
NORTHWEST BANCSHARES INC/MD | 133 | 2,253 | ||||
NORWEGIAN CRUISE LINE HOLDING | 62 | 2,632 | ||||
NOVANTA INC | 14 | 909 | ||||
NOVOCURE LTD | 24 | 787 | ||||
NUTRI SYS INC | 35 | 1,521 | ||||
NVENT ELECTRIC PLC-W/I | 88 | 1,983 | ||||
NVIDIA CORP | 15 | 2,029 | ||||
OCCIDENTAL PETE CORP | 38 | 2,326 | ||||
OCEANEERING INTL INC | 89 | 1,077 | ||||
ONEMAIN HOLDINGS INC | 71 | 1,730 | ||||
ORACLE CORPORATION | 54 | 2,438 | ||||
ORION ENGINEERED CARBONS SA | 107 | 2,695 | ||||
OSI SYS INC @CORP COM | 29 | 2,155 | ||||
OXFORD INDS INC | 16 | 1,107 | ||||
PACWEST BANCORP | 50 | 1,657 | ||||
PAGSEGURO DIGITAL LTD-CL A | 49 | 918 | ||||
PALO ALTO NETWORKS INC | 49 | 9,248 | ||||
PAYLOCITY HOLDING CORP | 31 | 1,867 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
PAYPAL HOLDINGS INC | 54 | 4,536 | ||||
PENN VA CORP NEW | 27 | 1,474 | ||||
PENTAIR PLC | 23 | 878 | ||||
PERFORMANCE FOOD GROUP CO | 34 | 1,110 | ||||
PERKINELMER, INC | 25 | 1,926 | ||||
PETIQ INC | 27 | 622 | ||||
PFIZER INC | 94 | 4,103 | ||||
PHILLIPS 66 | 29 | 2,490 | ||||
PHYSICIANS REALTY TRUST | 307 | 4,910 | ||||
PIVOTAL SOFTWARE INC | 32 | 518 | ||||
PLANET FITNESS INC | 26 | 1,367 | ||||
PLURALSIGHT INC | 33 | 770 | ||||
POLYONE CORP | 40 | 1,137 | ||||
PORTOLA PHARMACEUTICALS INC | 32 | 615 | ||||
POST HOLDINGS INC | 21 | 1,907 | ||||
POTLATCHDELTIC CORP | 49 | 1,547 | ||||
PPL CORPORATION | 62 | 1,745 | ||||
PREMIER INC | 26 | 965 | ||||
PRIMORIS SERVIES CORPORATION | 35 | 662 | ||||
PRINCIPAL FINANCIAL GROUP | 35 | 1,542 | ||||
PROCTER & GAMBLE CO | 30 | 2,721 | ||||
PROLOGIS INC | 21 | 1,251 | ||||
PRUDENTIAL FINL INC | 29 | 2,389 | ||||
PULTE GRP INC | 187 | 4,865 | ||||
Q2 HOLDINGS INC | 27 | 1,313 | ||||
RAYMOND JAMES FINL INC | 21 | 1,529 | ||||
REGENERON PHARMACEUTICALS INC | 21 | 7,881 | ||||
REGIONS FINL CORP NEW | 203 | 2,719 | ||||
REINSURANCE GROUP AMER CLASS A NEW | 28 | 3,891 | ||||
RENAISSANCERE HOLDINGS COM | 13 | 1,698 | ||||
REPUBLIC SERVICES INC CL A COMM | 43 | 3,078 | ||||
RESOLUTE ENERGY CORP | 57 | 1,654 | ||||
RETAIL PROPERTIES OF AME-A | 92 | 994 | ||||
ROGERS CORP COM | 8 | 768 | ||||
RPM INTERNATIONAL INC | 60 | 3,533 | ||||
RPT REALTY | 201 | 2,402 | ||||
RUDOLPH TECHNOLOGIES INC | 22 | 460 | ||||
S&P GLOBAL INC | 11 | 1,931 | ||||
SAIA INC | 22 | 1,252 | ||||
SALESFORCE COM INC | 203 | 27,795 | ||||
SANTANDER CONSUMER USA HOLDING | 176 | 3,100 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
SAREPTA THERAPEUTICS INC | 52 | 5,784 | ||||
SCANSOURCE INC COM | 28 | 955 | ||||
SCHLUMBERGER LTD | 164 | 5,906 | ||||
SCHWAB CHARLES CORP NEW | 62 | 2,575 | ||||
SCORPIO TANKERS INC | 491 | 864 | ||||
SEACOR HOLDINGS INC | 30 | 1,117 | ||||
SEACOR MARINE HOLDINGS INC | 48 | 561 | ||||
SEALED AIR CORP COM | 51 | 1,793 | ||||
SELECT MEDICAL HOLDINGS CORPORATION | 89 | 1,366 | ||||
SENSIENT TECHNOLOGIES CORP | 28 | 1,579 | ||||
SERVICENOW INC | 157 | 27,961 | ||||
SITEONE LANDSCAPE SUPPLY INC | 25 | 1,384 | ||||
SIX FLAGS ENTERTAINMENT CORP | 20 | 1,114 | ||||
SKYLINE CORP | 45 | 660 | ||||
SLM CORP | 296 | 2,456 | ||||
SMITH A O CORP CL B | 49 | 2,061 | ||||
SOLAR CAPITAL LTD | 54 | 1,030 | ||||
SPECTRUM BRANDS HLDGS INC NEW | 38 | 1,611 | ||||
SPIRE INC | 16 | 1,155 | ||||
SPLUNK INC | 100 | 10,470 | ||||
STAG INDUSTRIAL INC | 95 | 2,373 | ||||
STATE STREET CORP | 28 | 1,760 | ||||
STEELCASE INC CL A | 102 | 1,508 | ||||
STEPAN CO COM | 15 | 1,141 | ||||
STERIS PLC | 40 | 4,267 | ||||
STRATEGIC EDUCATION INC | 8 | 919 | ||||
SUMMIT HOTEL PROPERTIES INC | 104 | 1,013 | ||||
SUMMIT MATERIALS INC | 130 | 1,608 | ||||
SYNCHRONY FINANCIAL | 93 | 2,191 | ||||
TAKE-TWO INTERACTIVE SOFTWARE | 14 | 1,421 | ||||
TANDEM DIABETES CARE INC | 31 | 1,177 | ||||
TARGET CORP | 45 | 2,961 | ||||
TELEDYNE TECHNOLOGIES INC | 7 | 1,543 | ||||
TELEFLEX INC | 9 | 2,424 | ||||
THE CHILDREN'S PLACE INC | 10 | 942 | ||||
THERMON GROUP HOLDINGS INC | 93 | 1,889 | ||||
TOTAL SYS SVCS INC | 15 | 1,189 | ||||
TRANSUNION | 71 | 4,061 | ||||
TRAVELERS COMPANIES, INC | 22 | 2,611 | ||||
TRI POINTE HOMES INC | 147 | 1,609 | ||||
TRIMAS CORP | 135 | 3,688 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
TRINET GROUP INC | 24 | 1,007 | ||||
TUPPERWARE BRANDS CORPORATION | 64 | 2,016 | ||||
TWILIO INC | 14 | 1,220 | ||||
TYLER TECHNOLOGIES INC | 7 | 1,301 | ||||
TYSON FOODS INC CL A DEL | 40 | 2,157 | ||||
UGI CORP NEW COM | 47 | 2,504 | ||||
ULTA BEAUTY, INC | 11 | 2,686 | ||||
ULTIMATE SOFTWARE GROUP INC | 17 | 4,202 | ||||
UNDER ARMOUR INC CL A | 45 | 800 | ||||
UNION BANKSHARES CORP | 53 | 1,502 | ||||
UNION PACIFIC CORP | 18 | 2,474 | ||||
UNITED CONTINENTAL HOLDINGS, INC. | 31 | 2,612 | ||||
UNIVAR INC | 68 | 1,209 | ||||
UNIVERSAL DISPLAY CORP | 14 | 1,355 | ||||
UNUM GROUP | 53 | 1,557 | ||||
V F CORP | 35 | 2,511 | ||||
VAIL RESORTS INC COM | 9 | 1,857 | ||||
VALERO ENERGY CORP | 48 | 3,569 | ||||
VEEVA SYSTEMS INC | 22 | 1,936 | ||||
VISA INC-CLASS A SHRS | 262 | 34,599 | ||||
VOYA FINANCIAL INC | 28 | 1,116 | ||||
VULCAN MATERIALS COMPANY | 13 | 1,268 | ||||
WABCO HOLDINGS INC | 10 | 1,084 | ||||
WAGEWORKS INC | 34 | 923 | ||||
WALGREENS BOOTS ALLIANCE INC | 46 | 3,123 | ||||
WASTE MANAGEMENT INC | 31 | 2,794 | ||||
WAVE LIFE SCIENCES LTD | 10 | 427 | ||||
WAYFAIR INC | 8 | 759 | ||||
WEBSTER FINL CORP WATERBURY CONN | 37 | 1,815 | ||||
WELLCARE HEALTH PLANS, INC | 9 | 2,137 | ||||
WEST PHARMACEUTICAL SVCS INC | 19 | 1,843 | ||||
WESTERN ALLIANCE BANCORPORATION | 52 | 2,057 | ||||
WESTERN DIGITAL CORP | 65 | 2,403 | ||||
WESTLAKE CHEM CORP | 32 | 2,098 | ||||
WESTROCK CO | 41 | 1,563 | ||||
WEX INC | 31 | 4,364 | ||||
WHITE MTNS INS GROUP | 3 | 2,976 | ||||
WILLIAMS SCOTSMAN CORP | 99 | 935 | ||||
WILLIAMS SONOMA INC | 21 | 1,057 | ||||
WINTRUST FINL CORP | 50 | 3,265 | ||||
WISDOMTREE INVESTMENTS INC | 123 | 816 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
WNS HOLDINGS LTD ADR | 108 | 4,471 | ||||
WOODWARD INC. | 30 | 2,162 | ||||
WORKDAY INC | 41 | 6,547 | ||||
WORLD WRESTLING ENTERTAINMENT INC | 23 | 1,742 | ||||
WPX ENERGY INC | 146 | 1,653 | ||||
XYLEM INC/NY | 32 | 2,142 | ||||
ZAYO GROUP HOLDINGS INC | 82 | 1,882 | ||||
ZEBRA TECHNOLOGIES CORP CL A | 14 | 2,171 | ||||
ZENDESK INC | 16 | 957 | ||||
ZIMMER BIOMET HOLDINGS, INC | 11 | 1,094 | ||||
ZIONS BANCORP NA | 50 | 2,040 | ||||
ZOETIS INC | 36 | 3,063 | ||||
ZYNGA INC | 184 | 724 | ||||
Total Common Stocks | 1,823,770 | |||||
U.S. Government and Agency Obligations | ||||||
FHLMC POOL #Q42018 3.500% 7/01/46 | 524 | 525 | ||||
FNMA POOL #465787 3.880% 8/01/20 | 864 | 875 | ||||
FNMA POOL #467757 4.330% 4/01/21 | 266 | 274 | ||||
FNMA POOL #468066 4.295% 6/01/21 | 1,194 | 1,232 | ||||
FNMA POOL #468542 4.500% 8/01/21 | 500 | 520 | ||||
FNMA POOL #AM6602 2.630% 9/01/21 | 1,500 | 1,486 | ||||
FNMA POOL #AM7514 3.070% 2/01/25 | 2,900 | 2,901 | ||||
FNMA POOL #AM7619 2.940% 1/01/23 | 1,880 | 1,884 | ||||
FNMA POOL #AM7901 3.360% 2/01/30 | 94 | 94 | ||||
FNMA POOL #AM8141 2.780% 3/01/27 | 289 | 281 | ||||
FNMA POOL #AM8572 2.750% 4/01/25 | 3,725 | 3,685 | ||||
FNMA POOL #AM8856 2.920% 6/01/30 | 4,761 | 4,559 | ||||
FNMA POOL #AM8993 2.720% 5/01/25 | 4,774 | 4,716 | ||||
FNMA POOL #AM9014 3.200% 6/01/30 | 5,000 | 4,875 | ||||
FNMA POOL #AM9169 3.080% 6/01/27 | 2,054 | 2,036 | ||||
FNMA POOL #AM9320 3.300% 7/01/30 | 2,579 | 2,528 | ||||
FNMA POOL #AM9333 3.080% 11/01/22 | 1,325 | 1,336 | ||||
FNMA POOL #AM9335 3.060% 8/01/22 | 915 | 921 | ||||
FNMA POOL #AM9336 3.080% 11/01/22 | 2,648 | 2,670 | ||||
FNMA POOL #AM9432 3.120% 12/01/22 | 1,900 | 1,918 | ||||
FNMA POOL #AM9466 3.150% 2/01/22 | 1,383 | 1,394 | ||||
FNMA POOL #AM9491 3.550% 8/01/30 | 128 | 130 | ||||
FNMA POOL #AM9567 2.970% 7/01/24 | 1,435 | 1,436 | ||||
FNMA POOL #AM9573 3.220% 4/01/23 | 2,043 | 2,073 | ||||
FNMA POOL #AM9615 2.680% 9/01/22 | 3,364 | 3,332 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FNMA POOL #AM9642 2.590% 1/01/22 | 1,515 | 1,503 | ||||
FNMA POOL #AM9658 2.820% 1/01/22 | 1,426 | 1,422 | ||||
FNMA POOL #AM9686 2.550% 4/01/22 | 1,896 | 1,879 | ||||
FNMA POOL #AN0193 3.000% 8/01/24 | 573 | 572 | ||||
FNMA POOL #AN4975 3.210% 3/01/29 | 1,500 | 1,474 | ||||
FNMA POOL #AN5935 3.130% 7/01/27 | 979 | 973 | ||||
FNMA POOL #AN6026 2.980% 6/01/27 | 770 | 751 | ||||
FNMA POOL #AN6271 3.100% 8/01/29 | 85 | 82 | ||||
FNMA POOL #AN6850 3.220% 9/01/32 | 1,000 | 953 | ||||
FNMA POOL #AN7596 3.160% 6/01/30 | 1,357 | 1,312 | ||||
FNMA POOL #BL0907 3.880% 12/01/28 | 1,350 | 1,403 | ||||
FNMA POOL #BL0985 3.890% 12/01/28 | 1,150 | 1,197 | ||||
FNMA POOL #BL0995 3.940% 1/01/29 | 1,050 | 1,097 | ||||
FNMA POOL #BM3499 4.000% 3/01/48 | 3,773 | 3,851 | ||||
GNMA POOL #784044 4.990% 11/20/37 | 2,076 | 2,197 | ||||
GNMA POOL #784045 4.500% 7/20/45 | 1,384 | 1,433 | ||||
GNMA POOL #BA7567 4.500% 5/20/48 | 988 | 1,029 | ||||
GNMA POOL #BI0416 4.500% 11/20/48 | 1,198 | 1,256 | ||||
GNMA POOL #BK7169 5.000% 12/20/48 | 1,000 | 1,053 | ||||
RFCSP STRIP PRINCIPAL 1/15/30 | 500 | 353 | ||||
TENN VAL AUTH CPN STRIP 3/15/32 | 300 | 189 | ||||
TENN VALLEY AUTH 4.250% 9/15/65 | 124 | 141 | ||||
TENN VALLEY AUTH 4.625% 9/15/60 | 70 | 85 | ||||
TVA PRIN STRIP 6/15/35 | 500 | 275 | ||||
U S TREASURY SEC STRIPPED | 2,500 | 2,192 | ||||
U S TREASURY SEC STRIPPED 2/15/20 | 2,300 | 2,235 | ||||
U S TREASURY SEC STRIPPED 2/15/22 | 1,200 | 1,109 | ||||
U S TREASURY SEC STRIPPED 2/15/25 | 4,500 | 3,837 | ||||
U S TREASURY SEC STRIPPED 2/15/30 | 1,300 | 947 | ||||
U S TREASURY SEC STRIPPED 5/15/19 | 920 | 912 | ||||
U S TREASURY SEC STRIPPED 5/15/20 | 2,450 | 2,366 | ||||
U S TREASURY SEC STRIPPED 5/15/21 | 5,400 | 5,088 | ||||
U S TREASURY SEC STRIPPED 5/15/23 | 2,195 | 1,964 | ||||
U S TREASURY SEC STRIPPED 5/15/24 | 2,800 | 2,439 | ||||
U S TREASURY SEC STRIPPED 5/15/25 | 4,500 | 3,806 | ||||
U S TREASURY SEC STRIPPED 5/15/27 | 2,600 | 2,068 | ||||
U S TREASURY SEC STRIPPED 5/15/28 | 1,000 | 770 | ||||
U S TREASURY SEC STRIPPED 5/15/29 | 750 | 559 | ||||
U S TREASURY SEC STRIPPED 5/15/30 | 2,050 | 1,485 | ||||
U S TREASURY SEC STRIPPED 8/15/20 | 800 | 768 | ||||
U S TREASURY SEC STRIPPED 8/15/21 | 1,000 | 937 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
U S TREASURY SEC STRIPPED 8/15/23 | 205 | 182 | ||||
U S TREASURY SEC STRIPPED 11/15/24 | 3,500 | 3,007 | ||||
U S TREASURY SEC STRIPPED 11/15/28 | 2,500 | 1,893 | ||||
U S TREASURY SEC STRIPPED 11/15/29 | 1,750 | 1,285 | ||||
US TREAS SEC STRIPPED | 4,600 | 2,953 | ||||
US TREAS SEC STRIPPED 5/15/19 | 180 | 178 | ||||
US TREAS SEC STRIPPED 5/15/33 | 900 | 594 | ||||
US TREAS SEC STRIPPED 11/15/19 | 4,000 | 3,911 | ||||
US TREAS SEC STRIPPED 11/15/30 | 1,825 | 1,300 | ||||
US TREAS SEC STRIPPED 11/15/32 | 1,000 | 670 | ||||
US TREAS SEC STRIPPED 11/15/33 | 900 | 584 | ||||
US TREAS SEC STRIPPED 11/15/41 | 1,500 | 754 | ||||
US TREASURY BOND 2.500% 2/15/45 | 3,400 | 3,081 | ||||
US TREASURY BOND 2.750% 8/15/42 | 2,500 | 2,393 | ||||
US TREASURY BOND 2.750% 11/15/42 | 240 | 229 | ||||
US TREASURY BOND 3.000% 2/15/48 | 80 | 80 | ||||
US TREASURY BOND 3.125% 2/15/43 | 2,000 | 2,040 | ||||
US TREASURY BOND 3.125% 5/15/48 | 201 | 205 | ||||
US TREASURY BOND 3.125% 11/15/41 | 1,500 | 1,536 | ||||
US TREASURY BOND 3.375% 5/15/44 | 3,459 | 3,684 | ||||
US TREASURY BOND 3.500% 2/15/39 | 1,400 | 1,531 | ||||
US TREASURY BOND 3.625% 2/15/44 | 1,000 | 1,108 | ||||
US TREASURY BOND 3.625% 8/15/43 | 2,700 | 2,989 | ||||
US TREASURY BOND 3.750% 11/15/43 | 7,037 | 7,948 | ||||
US TREASURY BOND 3.875% 8/15/40 | 1,000 | 1,148 | ||||
US TREASURY BOND 4.250% 11/15/40 | 300 | 363 | ||||
US TREASURY BOND 4.375% 2/15/38 | 200 | 245 | ||||
US TREASURY BOND 4.375% 5/15/40 | 400 | 491 | ||||
US TREASURY BOND 4.375% 5/15/41 | 4,380 | 5,391 | ||||
US TREASURY BOND 4.500% 2/15/36 | 777 | 958 | ||||
US TREASURY BOND 4.500% 8/15/39 | 1,680 | 2,094 | ||||
US TREASURY NOTE 2/15/20 | 2,450 | 2,380 | ||||
US TREASURY NOTE 1.000% 11/30/19 | 1,500 | 1,478 | ||||
US TREASURY NOTE 1.125% 2/28/21 | 700 | 680 | ||||
US TREASURY NOTE 1.375% 8/31/23 | 4,500 | 4,278 | ||||
US TREASURY NOTE 1.500% 2/28/23 | 1,500 | 1,441 | ||||
US TREASURY NOTE 1.625% 8/31/22 | 2,000 | 1,940 | ||||
US TREASURY NOTE 1.625% 10/31/23 | 2,700 | 2,591 | ||||
US TREASURY NOTE 1.750% 5/15/23 | 1,027 | 995 | ||||
US TREASURY NOTE 1.750% 9/30/19 | 5,500 | 5,464 | ||||
US TREASURY NOTE 1.750% 9/30/22 | 1,500 | 1,460 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
US TREASURY NOTE 1.750% 11/30/21 | 400 | 392 | ||||
US TREASURY NOTE 2.000% 6/30/24 | 81 | 79 | ||||
US TREASURY NOTE 2.000% 11/15/26 | 140 | 134 | ||||
US TREASURY NOTE 2.125% 1/31/21 | 2,100 | 2,084 | ||||
US TREASURY NOTE 2.125% 2/29/24 | 1,080 | 1,059 | ||||
US TREASURY NOTE 2.250% 2/15/27 | 67 | 65 | ||||
US TREASURY NOTE 2.250% 11/15/24 | 52 | 51 | ||||
US TREASURY NOTE 2.250% 11/15/25 | 46 | 45 | ||||
US TREASURY NOTE 2.250% 11/15/27 | 2,000 | 1,932 | ||||
US TREASURY NOTE 2.500% 5/15/24 | 74 | 74 | ||||
US TREASURY NOTE 2.500% 5/31/20 | 36 | 36 | ||||
US TREASURY NOTE 2.500% 8/15/23 | 1,600 | 1,600 | ||||
US TREASURY NOTE 2.625% 5/15/21 | 917 | 920 | ||||
US TREASURY NOTE 2.625% 8/15/20 | 700 | 701 | ||||
US TREASURY NOTE 2.625% 11/15/20 | 2,500 | 2,505 | ||||
US TREASURY NOTE 2.875% 4/30/25 | 115 | 117 | ||||
US TREASURY NOTE 2.875% 5/15/28 | 1,188 | 1,206 | ||||
US TREASURY NOTE 2.875% 5/31/25 | 170 | 173 | ||||
US TREASURY NOTE 2.875% 10/31/20 | 1,000 | 1,006 | ||||
US TREASURY NOTE 3.125% 5/15/19 | 1,200 | 1,203 | ||||
US TREASURY NOTE 3.375% 11/15/19 | 2,500 | 2,515 | ||||
US TREASURY NOTE 3.500% 5/15/20 | 3,500 | 3,544 | ||||
US TREASURY SEC STRIPPED | 7,325 | 5,000 | ||||
VR FNMA POOL #AL7395 5.584% 9/01/55 | 2,558 | 2,762 | ||||
Total U.S. Government and Agency Obligations | 214,378 | |||||
Common/Collective Trusts | ||||||
* | AMEX R/VANGUARD FIDUCIARY EXT MKT | 1,969 | 160,262 | |||
* | AMEX R/VANGUARD FIDUCIARY INTL STK | 880 | 78,027 | |||
* | AMEX R/VANGUARD FIDUCIARY TOT BD | 725 | 73,162 | |||
* | COLUMBIA TRUST GOV MONEY MKT FUND | 71,605 | 71,605 | |||
* | FIAM GRP TR FOR/CORE PLUS COMMINGLE | 4,574 | 93,075 | |||
LOOMIS SAYLES CORE PLUS FULL DISC TR | 4,531 | 92,974 | ||||
* | MSIM/INTERNATIONAL EQUITY II TRUST | 7,751 | 227,257 | |||
NEUBERGER BERMA/EMERGING MKTS EQUIT | 4,943 | 56,495 | ||||
* | VANGUARD EMPLOYEE BENEFIT INDEX #528 | 2,613 | 769,204 | |||
Total Common/Collective Trusts | 1,622,061 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
Mutual Funds | ||||||
AMERICAN FUNDS EUROPAC GRTH R6 #2616 | 5,802 | 261,045 | ||||
DFA EMERGING MARKETS VALUE FD #5095 | 1,802 | 48,397 | ||||
DFA INTL SMALL CAP VALUE PT #5066 | 3,653 | 60,823 | ||||
Total Mutual Funds | 370,265 | |||||
Self-Directed Brokerage Accounts | ||||||
CASH EQUIVALENTS | 17,192 | |||||
COMMON STOCK | 5,068 | |||||
MUTUAL FUNDS | 101,358 | |||||
Total Self-Directed Brokerage Accounts | 123,618 | |||||
Other Investments | ||||||
Asset-Backed Securities | ||||||
ALLY AUTO RECEIVABLE 1.470% 4/15/20 | 19 | 19 | ||||
ALLY AUTO RECEIVABLE 2.930% 11/15/23 | 313 | 310 | ||||
AMERICAN CREDIT ACCE 2.860% 6/12/23 | 582 | 580 | ||||
AMERICAN CREDIT ACCE 2.880% 3/13/23 | 311 | 310 | ||||
AMERICAN CREDIT ACCE 2.910% 2/13/23 | 139 | 139 | ||||
AMERICAN CREDIT ACCE 3.550% 4/10/24 | 603 | 603 | ||||
AMERICAN CREDIT ACCE 3.700% 7/10/24 | 959 | 960 | ||||
AMERICAN CREDIT ACCE 6.090% 5/12/22 | 200 | 203 | ||||
AMERICAN HOMES 4 REN 3.467% 4/17/52 | 373 | 371 | ||||
AMERICAN HOMES 4 REN 3.678% 12/17/36 | 696 | 699 | ||||
AMERICAN HOMES 4 REN 3.786% 10/17/36 | 465 | 469 | ||||
AMERICAN HOMES 4 REN 4.407% 4/17/52 | 720 | 730 | ||||
AMERICAN HOMES 4 REN 5.639% 4/17/52 | 150 | 161 | ||||
AMERICAN HOMES 4 REN 6.070% 10/17/45 | 142 | 156 | ||||
AMERICREDIT AUTOMOBI 1.870% 8/18/21 | 164 | 163 | ||||
AMERICREDIT AUTOMOBI 2.690% 6/19/23 | 341 | 337 | ||||
AMERICREDIT AUTOMOBI 2.710% 8/18/22 | 154 | 153 | ||||
AMERICREDIT AUTOMOBI 2.970% 3/20/23 | 871 | 864 | ||||
AMERICREDIT AUTOMOBI 3.080% 12/18/23 | 1,699 | 1,676 | ||||
AMERICREDIT AUTOMOBI 3.130% 1/18/23 | 347 | 345 | ||||
ARCADIA RECEIVABLES 3.250% 6/15/23 | 34 | 34 | ||||
ASCENTIUM EQUIPMENT 2.290% 6/10/21 | 244 | 242 | ||||
ASCENTIUM EQUIPMENT 2.850% 10/10/21 | 550 | 542 | ||||
AXIS EQUIPMENT FINAN 2.210% 11/20/21 | 98 | 98 | ||||
B2R MORTGAGE TRUST 3.336% 11/15/48 | 210 | 209 | ||||
BB-UBS TRUST 3.430% 11/05/36 | 1,350 | 1,350 | ||||
BCC FUNDING CORP 2.200% 12/20/21 | 63 | 63 | ||||
BUSINESS JET SECURIT 4.335% 2/15/33 | 610 | 613 | ||||
BUSINESS JET SECURIT 4.447% 6/15/33 | 554 | 560 | ||||
CABELA'S MASTER CRED 2.250% 7/17/23 | 185 | 183 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
CAMILLO 2016-SFR1 5.000% 12/05/23 | 370 | 369 | ||||
CAPITAL AUTO RECEIVA 3.150% 2/20/25 | 427 | 426 | ||||
CARMAX AUTO OWNER TR 2.200% 6/15/22 | 500 | 492 | ||||
CARMAX AUTO OWNER TR 2.600% 2/15/23 | 211 | 209 | ||||
CARMAX AUTO OWNER TR 2.700% 10/16/23 | 171 | 169 | ||||
CARMAX AUTO OWNER TR 3.370% 7/15/24 | 298 | 295 | ||||
CARMAX AUTO OWNER TR 3.390% 10/16/23 | 300 | 300 | ||||
CARNOW AUTO RECEIVAB 2.920% 9/15/22 | 201 | 200 | ||||
CHRYSLER CAPITAL AUT 1.640% 7/15/21 | 165 | 164 | ||||
CIG AUTO RECEIVABLES 2.710% 5/15/23 | 103 | 103 | ||||
COLONY AMERICAN FINA 2.544% 6/15/48 | 218 | 215 | ||||
COLONY AMERICAN FINA 2.554% 11/15/48 | 151 | 147 | ||||
COLONY AMERICAN FINA 2.896% 10/15/47 | 181 | 180 | ||||
COMM MORTGAGE TRUST 3.047% 10/10/46 | 400 | 400 | ||||
COMM MORTGAGE TRUST 3.759% 8/10/48 | 313 | 317 | ||||
CPS AUTO TRUST 1.870% 3/15/21 | 72 | 72 | ||||
CPS AUTO TRUST 2.860% 6/15/23 | 387 | 384 | ||||
CPS AUTO TRUST 2.920% 2/15/22 | 288 | 286 | ||||
CPS AUTO TRUST 3.010% 10/17/22 | 554 | 551 | ||||
CPS AUTO TRUST 3.050% 12/15/23 | 169 | 168 | ||||
CPS AUTO TRUST 3.790% 6/15/23 | 396 | 396 | ||||
CPS AUTO TRUST 4.400% 6/17/24 | 118 | 120 | ||||
CREDIT ACCEPTANCE AU 2.560% 10/15/25 | 386 | 384 | ||||
CREDIT ACCEPTANCE AU 3.350% 6/15/26 | 354 | 351 | ||||
CREDIT ACCEPTANCE AU 3.480% 2/17/26 | 318 | 317 | ||||
CREDIT ACCEPTANCE AU 3.480% 10/15/26 | 682 | 679 | ||||
CREDIT ACCEPTANCE AU 3.600% 4/15/27 | 990 | 989 | ||||
CREDIT ACCEPTANCE AU 4.160% 9/15/27 | 395 | 401 | ||||
DBWF 2015-LCM M/MTG 1.000% 6/10/34 | 289 | 282 | ||||
DELL EQUIPMENT FINAN 2.730% 10/24/22 | 336 | 333 | ||||
DELL EQUIPMENT FINAN 2.950% 4/22/22 | 277 | 276 | ||||
DRIVE AUTO RECEIVABL 2.610% 8/16/21 | 175 | 175 | ||||
DRIVE AUTO RECEIVABL 2.750% 9/15/23 | 347 | 346 | ||||
DRIVE AUTO RECEIVABL 2.800% 7/15/22 | 346 | 345 | ||||
DRIVE AUTO RECEIVABL 2.840% 4/15/22 | 611 | 610 | ||||
DRIVE AUTO RECEIVABL 2.980% 1/18/22 | 269 | 268 | ||||
DRIVE AUTO RECEIVABL 3.910% 5/17/21 | 99 | 99 | ||||
DRIVE AUTO RECEIVABL 4.140% 8/15/24 | 1,140 | 1,149 | ||||
DRIVE AUTO RECEIVABL 4.180% 3/15/24 | 220 | 221 | ||||
DRIVE AUTO RECEIVABL 4.300% 9/16/24 | 408 | 414 | ||||
DT AUTO OWNER TRUST 2.440% 2/15/21 | 160 | 160 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
DT AUTO OWNER TRUST 2.700% 11/15/22 | 243 | 242 | ||||
DT AUTO OWNER TRUST 2.860% 7/17/23 | 342 | 341 | ||||
DT AUTO OWNER TRUST 3.030% 1/17/23 | 921 | 920 | ||||
DT AUTO OWNER TRUST 3.470% 7/17/23 | 630 | 628 | ||||
DT AUTO OWNER TRUST 3.550% 11/15/22 | 188 | 188 | ||||
DT AUTO OWNER TRUST 3.580% 5/15/23 | 345 | 344 | ||||
DT AUTO OWNER TRUST 3.670% 3/15/24 | 561 | 564 | ||||
ENGS COMMERCIAL FINA 2.470% 2/22/22 | 105 | 104 | ||||
EXETER AUTOMOBILE RE 2.820% 5/16/22 | 772 | 769 | ||||
EXETER AUTOMOBILE RE 2.840% 8/16/21 | 122 | 122 | ||||
EXETER AUTOMOBILE RE 3.000% 12/15/21 | 265 | 264 | ||||
EXETER AUTOMOBILE RE 3.530% 11/15/23 | 290 | 289 | ||||
EXETER AUTOMOBILE RE 3.640% 2/15/22 | 94 | 94 | ||||
EXETER AUTOMOBILE RE 3.680% 7/17/23 | 548 | 550 | ||||
EXETER AUTOMOBILE RE 3.710% 6/15/23 | 595 | 599 | ||||
FANNIEMAE-ACES 2.980% 9/25/24 | 733 | 705 | ||||
FED HOME LN MTG CORP 2.770% 5/25/25 | 1,500 | 1,473 | ||||
FED HOME LN MTG CORP 3.350% 9/25/28 | 989 | 999 | ||||
FED HOME LN MTG CORP 3.500% 6/15/26 | 493 | 501 | ||||
FED HOME LN MTG CORP 4.500% 4/15/39 | 109 | 115 | ||||
FED HOME LN MTG CORP 6.000% 11/15/23 | 35 | 37 | ||||
FED HOME LN MTG CORP 6.250% 10/15/23 | 169 | 177 | ||||
FED HOME LN MTG CORP 7.000% 12/15/36 | 146 | 166 | ||||
FED NATL MTG ASSN 3.000% 1/25/46 | 512 | 508 | ||||
FED NATL MTG ASSN 4.500% 12/25/40 | 829 | 901 | ||||
FED NATL MTG ASSN 6.000% 3/25/36 | 72 | 81 | ||||
FHLMC MULTIFAMILY ST 2.597% 9/25/20 | 124 | 123 | ||||
FHLMC MULTIFAMILY ST 2.811% 9/25/24 | 591 | 584 | ||||
FHLMC MULTIFAMILY ST 2.982% 11/25/25 | 700 | 693 | ||||
FHLMC-GNMA 8.000% 12/25/22 | 18 | 19 | ||||
FIRST INVESTORS AUTO 1.870% 11/15/21 | 361 | 359 | ||||
FIRST INVESTORS AUTO 2.210% 7/15/22 | 250 | 247 | ||||
FIRST INVESTORS AUTO 2.650% 11/15/22 | 300 | 297 | ||||
FIRST INVESTORS AUTO 3.000% 1/16/24 | 400 | 397 | ||||
FIRST INVESTORS AUTO 3.000% 8/15/23 | 600 | 594 | ||||
FIRST INVESTORS AUTO 3.440% 3/15/24 | 439 | 437 | ||||
FIRST INVESTORS AUTO 3.600% 4/17/23 | 278 | 278 | ||||
FIRST INVESTORS AUTO 3.690% 6/17/24 | 292 | 294 | ||||
FLAGSHIP CREDIT AU 0.27222% 2/16/21 | 230 | 230 | ||||
FLAGSHIP CREDIT AUTO 1.850% 7/15/21 | 144 | 143 | ||||
FLAGSHIP CREDIT AUTO 2.100% 11/15/20 | 48 | 48 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FLAGSHIP CREDIT AUTO 2.380% 10/15/20 | 29 | 29 | ||||
FLAGSHIP CREDIT AUTO 2.410% 10/15/21 | 440 | 437 | ||||
FLAGSHIP CREDIT AUTO 2.530% 12/15/20 | 33 | 33 | ||||
FLAGSHIP CREDIT AUTO 2.710% 11/15/22 | 170 | 169 | ||||
FLAGSHIP CREDIT AUTO 2.910% 9/15/23 | 384 | 381 | ||||
FLAGSHIP CREDIT AUTO 2.920% 11/15/23 | 227 | 224 | ||||
FLAGSHIP CREDIT AUTO 2.960% 7/15/23 | 420 | 417 | ||||
FLAGSHIP CREDIT AUTO 3.390% 1/16/24 | 700 | 698 | ||||
FLAGSHIP CREDIT AUTO 3.580% 1/15/24 | 130 | 129 | ||||
FLAGSHIP CREDIT AUTO 3.840% 9/15/22 | 60 | 60 | ||||
FLAGSHIP CREDIT AUTO 6.220% 6/15/22 | 350 | 362 | ||||
FLAGSHIP CREDIT AUTO 6.220% 9/15/22 | 200 | 207 | ||||
FREEDOM FINANCIAL 3.610% 7/18/24 | 567 | 567 | ||||
GLS AUTO RECEIVABLES 2.670% 4/15/21 | 359 | 358 | ||||
GLS AUTO RECEIVABLES 3.710% 3/15/23 | 535 | 537 | ||||
GLS AUTO RECEIVABLES 4.390% 1/15/21 | 73 | 73 | ||||
GLS AUTO RECEIVABLES 6.900% 10/15/21 | 200 | 206 | ||||
GM FINANCIAL AUTOMOB 2.260% 8/20/20 | 230 | 229 | ||||
GM FINANCIAL AUTOMOB 2.480% 8/20/20 | 294 | 292 | ||||
GOODGREEN TRUST 3.260% 10/15/53 | 679 | 669 | ||||
GOODGREEN TRUST 3.740% 10/15/52 | 214 | 216 | ||||
GOVT NATL MTG ASSN 4.500% 10/16/39 | 1,375 | 1,459 | ||||
GOVT NATL MTG ASSN 5.000% 8/20/39 | 300 | 321 | ||||
HERO FUNDING TRUST 3.080% 9/20/42 | 689 | 675 | ||||
HERO FUNDING TRUST 3.950% 9/20/48 | 818 | 835 | ||||
HERO FUNDING TRUST 4.070% 9/20/48 | 151 | 155 | ||||
HERO FUNDING TRUST 4.460% 9/20/47 | 708 | 734 | ||||
HERO FUNDING TRUST 4.670% 9/20/48 | 1,386 | 1,443 | ||||
HERTZ VEHICLE FINANC 1.000% 6/27/22 | 744 | 750 | ||||
HERTZ VEHICLE FINANC 3.290% 2/25/24 | 386 | 383 | ||||
HILTON GRAND VACATIO 2.660% 12/27/28 | 218 | 216 | ||||
INDEPENDENCE PLAZA 3.763% 7/10/35 | 1,200 | 1,209 | ||||
KABBAGE FUNDING LLC 4.571% 3/15/22 | 1,100 | 1,107 | ||||
KABBAGE FUNDING LLC 5.794% 3/15/22 | 360 | 363 | ||||
LENDMARK FUNDING TRU 2.800% 5/20/26 | 347 | 341 | ||||
LENDMARK FUNDING TRU 2.830% 1/22/24 | 415 | 409 | ||||
LENDMARK FUNDING TRU 5.030% 12/21/26 | 100 | 101 | ||||
MARINER FINANCE ISSU 3.620% 2/20/29 | 615 | 615 | ||||
MARLETTE FUNDING TRU 2.360% 12/15/24 | 160 | 160 | ||||
MARLETTE FUNDING TRU 2.390% 7/15/24 | 112 | 112 | ||||
MARLETTE FUNDING TRU 2.827% 3/15/24 | 105 | 105 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
MARLETTE FUNDING TRU 3.060% 7/17/28 | 415 | 414 | ||||
MARLETTE FUNDING TRU 3.190% 3/15/28 | 863 | 856 | ||||
NEW RESIDENTIAL ADV 2.5751% 10/15/49 | 500 | 497 | ||||
NEW RESIDENTIAL ADV 3.0199% 10/15/49 | 179 | 177 | ||||
NEXTGEAR FLOORPLAN 2.540% 4/18/22 | 462 | 459 | ||||
OCWEN MASTER ADVANC 4.2364% 8/15/49 | 406 | 406 | ||||
OCWEN MASTER ADVANCE 3.748% 8/15/50 | 335 | 336 | ||||
ONEMAIN DIRECT AUTO 3.420% 10/15/24 | 301 | 298 | ||||
OPORTUN FUNDING LLC 3.220% 10/10/23 | 387 | 383 | ||||
OPORTUN FUNDING LLC 3.610% 3/08/24 | 387 | 384 | ||||
PROGRESS RESIDENTIAL 2.740% 6/12/32 | 143 | 141 | ||||
PROGRESS RESIDENTIAL 2.768% 8/17/34 | 199 | 196 | ||||
PROGRESS RESIDENTIAL 3.067% 11/12/32 | 1,046 | 1,037 | ||||
PROGRESS RESIDENTIAL 3.138% 6/12/32 | 820 | 813 | ||||
PROGRESS RESIDENTIAL 3.196% 12/17/34 | 526 | 518 | ||||
PROGRESS RESIDENTIAL 3.595% 12/17/34 | 137 | 136 | ||||
PROGRESS RESIDENTIAL 4.040% 8/17/35 | 410 | 409 | ||||
PROGRESS RESIDENTIAL 4.261% 8/17/34 | 453 | 452 | ||||
PROGRESS RESIDENTIAL 4.656% 8/17/35 | 335 | 333 | ||||
PROGRESS RESIDENTIAL 4.673% 11/12/32 | 100 | 101 | ||||
PROGRESS RESIDENTIAL 4.873% 10/17/35 | 524 | 531 | ||||
PROSPER MARKETPLACE 2.410% 9/15/23 | 25 | 25 | ||||
PROSPER MARKETPLACE 3.740% 11/15/23 | 344 | 342 | ||||
RENEW 2017-1 1.67064% 9/28/52 | 287 | 289 | ||||
RENEW FINANCIAL 3.220% 9/22/53 | 271 | 269 | ||||
RICE PARK FINANCING 4.625% 10/31/41 | 454 | 452 | ||||
SANTANDER DRIVE AUTO 2.580% 5/16/22 | 374 | 372 | ||||
SANTANDER DRIVE AUTO 2.790% 8/15/22 | 1,053 | 1,048 | ||||
SANTANDER DRIVE AUTO 2.930% 12/15/22 | 295 | 293 | ||||
SANTANDER DRIVE AUTO 3.170% 4/17/23 | 596 | 594 | ||||
SANTANDER DRIVE AUTO 3.320% 3/15/24 | 629 | 625 | ||||
SANTANDER RETAIL AUT 3.060% 4/20/22 | 300 | 300 | ||||
SANTANDER RETAIL AUT 3.490% 4/20/22 | 430 | 430 | ||||
SPIRIT MASTER FUNDIN 5.740% 3/20/42 | 1,188 | 1,237 | ||||
SPS SERVICER ADVANCE 3.620% 10/17/50 | 173 | 174 | ||||
TIDEWATER AUTO RECEI 3.120% 7/15/22 | 418 | 417 | ||||
TIDEWATER AUTO RECEI 4.300% 11/15/24 | 165 | 166 | ||||
VENDEE MORTGAGE TRUS 5.000% 5/15/33 | 608 | 652 | ||||
VEROS AUTO RECEIVABL 2.840% 4/17/23 | 106 | 106 | ||||
VNO MORTGAGE TRUST 3.808% 12/13/29 | 500 | 505 | ||||
VR 20 TSQ GROUNDCO 3.20323% 5/15/35 | 1,400 | 1,308 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
VR FANNIEMAE-ACES 2.485% 12/25/26 | 915 | 864 | ||||
VR FANNIEMAE-ACES 2.939% 1/25/26 | 2,752 | 2,708 | ||||
VR FANNIEMAE-ACES 3.061% 5/25/27 | 1,480 | 1,449 | ||||
VR FANNIEMAE-ACES 3.080% 6/25/27 | 822 | 808 | ||||
VR FANNIEMAE-ACES 3.092% 4/25/27 | 3,577 | 3,512 | ||||
VR FANNIEMAE-ACES 3.338% 11/25/22 | 313 | 315 | ||||
VR FED HOME LN MTG 2.805% 2/15/43 | 262 | 262 | ||||
VR FED HOME LN MTG 2.875% 9/15/36 | 53 | 54 | ||||
VR FED NATL MTG AS 4.15721% 4/25/44 | 96 | 100 | ||||
VR FED NATL MTG ASSN 3.056% 9/25/41 | 163 | 164 | ||||
VR FHLMC MULTIFAMI 3.14851% 9/25/22 | 201 | 201 | ||||
VR FHLMC MULTIFAMILY 3.284% 6/25/25 | 1,000 | 1,011 | ||||
VR FHLMC MULTIFAMILY 3.364% 12/25/27 | 680 | 679 | ||||
VR FREMF MORTGAGE 3.8358% 7/25/49 | 220 | 224 | ||||
VR FREMF MORTGAGE 3.55714% 6/25/45 | 800 | 769 | ||||
VR FREMF MORTGAGE 3.57548% 11/25/49 | 180 | 173 | ||||
VR FREMF MORTGAGE 3.68285% 1/25/48 | 1,200 | 1,169 | ||||
VR FREMF MORTGAGE 4.07191% 11/25/47 | 191 | 186 | ||||
VR GMAT TRUST 6.9669% 11/25/43 | 18 | 18 | ||||
VR GOODGREEN TRUS 23.87741% 10/15/53 | 676 | 688 | ||||
VR GOVT NATL MTG 4.741% 10/20/43 | 983 | 1,053 | ||||
VR GOVT NATL MTG 5.238% 5/20/40 | 1,034 | 1,118 | ||||
VR GOVT NATL MTG 5.479% 1/20/38 | 746 | 818 | ||||
VR GOVT NATL MTG 5.558% 10/20/40 | 1,296 | 1,413 | ||||
VR GOVT NATL MTG AS 2.714% 6/20/65 | 1,684 | 1,687 | ||||
VR GOVT NATL MTG AS 2.754% 7/20/65 | 866 | 868 | ||||
VR GOVT NATL MTG AS 2.764% 2/20/61 | 1,079 | 1,080 | ||||
VR GOVT NATL MTG AS 2.814% 6/20/67 | 659 | 661 | ||||
VR GOVT NATL MTG AS 2.834% 3/20/67 | 692 | 697 | ||||
VR GOVT NATL MTG AS 2.834% 9/20/65 | 1,187 | 1,193 | ||||
VR GOVT NATL MTG AS 2.834% 10/20/65 | 828 | 833 | ||||
VR GOVT NATL MTG AS 2.894% 5/20/66 | 685 | 687 | ||||
VR GOVT NATL MTG AS 2.914% 11/20/65 | 1,604 | 1,617 | ||||
VR GOVT NATL MTG AS 2.974% 12/20/65 | 489 | 494 | ||||
VR GOVT NATL MTG AS 3.144% 8/20/66 | 521 | 528 | ||||
VR GOVT NATL MTG AS 3.274% 12/20/66 | 226 | 231 | ||||
VR VERICREST OPPOR 3.250% 4/25/59 | 80 | 79 | ||||
VR VERICREST OPPORT 4.1147% 9/25/48 | 370 | 370 | ||||
* | WELLS FARGO COMMERCI 2.819% 8/15/50 | 623 | 622 | |||
WESTGATE RESORTS 3.050% 12/20/30 | 215 | 214 | ||||
WESTGATE RESORTS 3.580% 12/20/31 | 566 | 564 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
WESTLAKE AUTOMOBILE 2.460% 1/18/22 | 431 | 429 | ||||
WESTLAKE AUTOMOBILE 2.590% 12/15/22 | 515 | 511 | ||||
WESTLAKE AUTOMOBILE 2.700% 10/17/22 | 270 | 269 | ||||
WESTLAKE AUTOMOBILE 3.460% 10/17/22 | 325 | 324 | ||||
WESTLAKE AUTOMOBILE 3.610% 10/16/23 | 764 | 764 | ||||
WESTLAKE AUTOMOBILE 4.100% 6/15/21 | 70 | 70 | ||||
WORLD OMNI AUTOMOBIL 2.320% 8/15/22 | 184 | 183 | ||||
WORLD OMNI AUTOMOBIL 2.480% 8/15/22 | 412 | 408 | ||||
Total Asset-Backed Securities | 114,734 | |||||
Foreign Sovereign Debt | ||||||
REPUBLIC OF COLOMBIA 4.500% 1/28/26 | 200 | 200 | ||||
UNITED MEXICAN STATE 3.750% 1/11/28 | 392 | 367 | ||||
UNITED MEXICAN STATE 4.125% 1/21/26 | 270 | 264 | ||||
UNITED MEXICAN STATE 4.350% 1/15/47 | 35 | 30 | ||||
Total Foreign Sovereign Debt | 861 | |||||
Municipal Bonds | ||||||
OHIO ST UNIV 4.048% 12/01/56 | 81 | 80 | ||||
Private Placement Bonds | ||||||
P/P ABN AMRO BANK NV 4.750% 7/28/25 | 250 | 249 | ||||
P/P AIB GROUP PLC 4.750% 10/12/23 | 290 | 287 | ||||
P/P AIR CANADA 2013- 4.125% 11/15/26 | 739 | 732 | ||||
P/P AIR CANADA 2015- 3.600% 3/15/27 | 561 | 540 | ||||
P/P AIR CANADA 2017- 3.300% 1/15/30 | 75 | 72 | ||||
P/P AIR CANADA 2017- 3.550% 1/15/30 | 256 | 245 | ||||
P/P AIRBUS SE 3.150% 4/10/27 | 164 | 158 | ||||
P/P ANGLO AMERICAN 4.000% 9/11/27 | 200 | 181 | ||||
P/P ANHEUSER-BUSCH 3.650% 2/01/26 | 410 | 388 | ||||
P/P ANHEUSER-BUSCH 4.700% 2/01/36 | 448 | 415 | ||||
P/P ANZ NEW ZEALAND 2.750% 1/22/21 | 300 | 297 | ||||
P/P ANZ NEW ZEALAND 2.850% 8/06/20 | 250 | 248 | ||||
P/P APT PIPELINES LT 4.200% 3/23/25 | 170 | 166 | ||||
P/P APT PIPELINES LT 4.250% 7/15/27 | 102 | 99 | ||||
P/P ATHENE GLOBAL FU 2.750% 4/20/20 | 127 | 126 | ||||
P/P ATHENE GLOBAL FU 4.000% 1/25/22 | 103 | 104 | ||||
P/P AUSGRID FINANCE 3.850% 5/01/23 | 200 | 200 | ||||
P/P AVIATION CAPITAL 3.500% 11/01/27 | 60 | 54 | ||||
P/P BAE SYSTEMS HOLD 3.800% 10/07/24 | 130 | 130 | ||||
P/P BANQUE FED CRED 2.000% 4/12/19 | 200 | 199 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
P/P BMW US CAPITAL 2.250% 9/15/23 | 72 | 67 | ||||
P/P BNP PARIBAS 3.500% 3/01/23 | 220 | 213 | ||||
P/P BOC AVIATION LTD 2.375% 9/15/21 | 200 | 193 | ||||
P/P BOC AVIATION LTD 2.750% 9/18/22 | 200 | 192 | ||||
P/P BPCE SA 4.625% 7/11/24 | 200 | 197 | ||||
P/P BRAMBLES USA INC 5.350% 4/01/20 | 150 | 153 | ||||
P/P BRITISH AIR 18-1 3.800% 9/20/31 | 119 | 117 | ||||
P/P BRITISH AIR 18-1 4.125% 9/20/31 | 309 | 305 | ||||
P/P BROOKLYN UNION 4.273% 3/15/48 | 100 | 99 | ||||
P/P CADILLAC FAIRVIE 3.875% 3/20/27 | 201 | 200 | ||||
P/P CANADIAN IMPERIA 2.250% 7/21/20 | 200 | 198 | ||||
P/P CARGILL INC 3.250% 3/01/23 | 25 | 25 | ||||
P/P CHEVRON PHILLIPS 3.400% 12/01/26 | 100 | 97 | ||||
P/P CK HUTCHISON INT 1.875% 10/03/21 | 200 | 192 | ||||
P/P CLEVELAND ELECTR 3.500% 4/01/28 | 95 | 91 | ||||
P/P COMMONWEALTH BAN 2.500% 9/18/22 | 140 | 135 | ||||
P/P COMMONWEALTH BAN 2.850% 5/18/26 | 110 | 103 | ||||
P/P COMMONWEALTH BAN 3.450% 3/16/23 | 110 | 110 | ||||
P/P COMMONWEALTH BAN 4.500% 12/09/25 | 200 | 196 | ||||
P/P COOPERATIEVE RAB 3.875% 9/26/23 | 250 | 251 | ||||
P/P COX COMMUNICATIO 4.800% 2/01/35 | 120 | 109 | ||||
P/P CREDIT AGRICOLE 3.250% 10/04/24 | 250 | 234 | ||||
P/P CREDIT SUISSE GR 3.574% 1/09/23 | 598 | 583 | ||||
P/P CRH AMERICA FINA 3.400% 5/09/27 | 200 | 184 | ||||
P/P CVS PASS-THROUGH 4.163% 8/10/36 | 260 | 246 | ||||
P/P CVS PASS-THROUGH 4.704% 1/10/36 | 111 | 109 | ||||
P/P CVS PASS-THROUGH 5.773% 1/10/33 | 77 | 81 | ||||
P/P CVS PASS-THROUGH 5.926% 1/10/34 | 81 | 87 | ||||
P/P DAIWA SECURITIES 3.129% 4/19/22 | 64 | 63 | ||||
P/P DIAMOND 1 FIN/DI 6.020% 6/15/26 | 200 | 201 | ||||
P/P DUQUESNE LIGHT 3.616% 8/01/27 | 230 | 217 | ||||
P/P ENEL FINANCE INT 3.625% 5/25/27 | 220 | 194 | ||||
P/P ENEL FINANCE INT 4.625% 9/14/25 | 200 | 192 | ||||
P/P ENI SPA 4.000% 9/12/23 | 200 | 197 | ||||
P/P ERAC USA FINANCE 2.600% 12/01/21 | 100 | 97 | ||||
P/P ERAC USA FINANCE 3.850% 11/15/24 | 150 | 149 | ||||
P/P GAIF BOND ISSUER 3.400% 9/30/26 | 95 | 90 | ||||
P/P GLENCORE FUNDING 4.625% 4/29/24 | 70 | 69 | ||||
P/P GOODMAN US FIN 3.700% 3/15/28 | 86 | 82 | ||||
P/P GREAT-WEST LIFEC 4.150% 6/03/47 | 370 | 345 | ||||
P/P GREAT-WEST LIFEC 4.581% 5/17/48 | 130 | 131 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
P/P GTP ACQUISITION 3.482% 6/16/25 | 190 | 188 | ||||
P/P HYUNDAI CAPITAL 2.000% 7/01/19 | 30 | 30 | ||||
P/P INTESA SANPAOLO 3.875% 7/14/27 | 200 | 172 | ||||
P/P JACKSON NATL LIF 3.050% 4/29/26 | 55 | 52 | ||||
P/P JACKSON NATL LIF 3.875% 6/11/25 | 324 | 326 | ||||
P/P JERSEY CENTRAL 4.300% 1/15/26 | 50 | 50 | ||||
P/P KEYSPAN GAS EAST 2.742% 8/15/26 | 200 | 186 | ||||
P/P LIBERTY MUTUAL 6.500% 3/15/35 | 130 | 151 | ||||
P/P LIBERTY MUTUAL 7.000% 3/15/34 | 50 | 61 | ||||
P/P MACQUARIE BANK 2.850% 7/29/20 | 300 | 297 | ||||
P/P MACQUARIE BANK 4.000% 7/29/25 | 300 | 299 | ||||
P/P MACQUARIE GROUP 6.000% 1/14/20 | 130 | 134 | ||||
* | P/P MET LIFE GLOB FU 3.000% 9/19/27 | 180 | 169 | |||
P/P MEXICO CITY ARPT 4.250% 10/31/26 | 200 | 178 | ||||
P/P MEXICO CITY ARPT 5.500% 7/31/47 | 207 | 182 | ||||
P/P MID-ATLANTIC INT 4.100% 5/15/28 | 50 | 50 | ||||
P/P MITSUBISHI UFJ 2.450% 10/16/19 | 200 | 199 | ||||
P/P MITSUBISHI UFJ 2.650% 10/19/20 | 200 | 198 | ||||
P/P MITSUBISHI UFJ 2.652% 9/19/22 | 200 | 191 | ||||
P/P MIZUHO FINANCIAL 2.632% 4/12/21 | 200 | 196 | ||||
P/P MYLAN INC 3.125% 1/15/23 | 100 | 94 | ||||
P/P NEW ENGLAND POWE 3.800% 12/05/47 | 50 | 46 | ||||
P/P NEW YORK LIFE GL 2.000% 4/13/21 | 35 | 34 | ||||
P/P NEW YORK LIFE GL 2.350% 7/14/26 | 111 | 102 | ||||
P/P NEW YORK LIFE GL 3.000% 1/10/28 | 81 | 77 | ||||
P/P NISSAN MOTOR ACC 1.900% 9/14/21 | 39 | 37 | ||||
P/P NISSAN MOTOR ACC 2.550% 3/08/21 | 100 | 97 | ||||
P/P NISSAN MOTOR ACC 3.150% 3/15/21 | 50 | 49 | ||||
P/P NORDEA BANK AB 2.500% 9/17/20 | 350 | 345 | ||||
P/P NORDEA BANK AB 4.875% 1/27/20 | 100 | 102 | ||||
P/P NY STATE ELECTRI 3.250% 12/01/26 | 87 | 84 | ||||
P/P PARKER-HANNIFIN 4.100% 3/01/47 | 42 | 40 | ||||
P/P PENNSYLVANIA ELE 3.250% 3/15/28 | 26 | 24 | ||||
P/P PENSKE TRUCK LEA 4.125% 8/01/23 | 350 | 349 | ||||
P/P PRICOA GLOBAL FU 2.550% 11/24/20 | 150 | 148 | ||||
P/P PRINCIPAL LFE GL 2.625% 11/19/20 | 114 | 113 | ||||
P/P PROTECTIVE LIFE 2.700% 11/25/20 | 200 | 198 | ||||
P/P PRUDENTIAL INSUR 8.300% 7/01/25 | 300 | 370 | ||||
P/P RELIANCE STAND 2.500% 1/15/20 | 40 | 40 | ||||
P/P RELIANCE STAND 3.050% 1/20/21 | 75 | 74 | ||||
P/P RELIANCE STAND 3.850% 9/19/23 | 155 | 156 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
P/P SANTANDER UK GRO 4.750% 9/15/25 | 200 | 188 | ||||
P/P SCENTRE GROUP TR 3.500% 2/12/25 | 200 | 194 | ||||
P/P SCHLUMBERGER HLD 3.625% 12/21/22 | 209 | 208 | ||||
P/P SES SA 3.600% 4/04/23 | 50 | 49 | ||||
P/P SIEMENS FINANCIE 2.900% 5/27/22 | 250 | 245 | ||||
P/P SOCIETE GENERALE 4.250% 9/14/23 | 200 | 199 | ||||
P/P SOUTHERN NATURAL 4.800% 3/15/47 | 35 | 33 | ||||
P/P SPRINT SPECTRUM 3.360% 3/20/23 | 204 | 202 | ||||
P/P STANDARD CHARTER 3.050% 1/15/21 | 250 | 246 | ||||
P/P SUMITOMO MITSUI 2.050% 10/18/19 | 200 | 198 | ||||
P/P SWEDBANK AB 2.200% 3/04/20 | 200 | 198 | ||||
P/P TEACHERS INSUR 4.270% 5/15/47 | 70 | 67 | ||||
P/P TEACHERS INSUR 4.900% 9/15/44 | 40 | 41 | ||||
P/P TEXAS EASTERN TR 3.500% 1/15/28 | 33 | 31 | ||||
P/P UBS GROUP FUNDIN 3.491% 5/23/23 | 200 | 195 | ||||
P/P UNITED OVERSEAS 3.200% 4/23/21 | 200 | 200 | ||||
VR P/P CREDIT SUISSE 4.207% 6/12/24 | 250 | 249 | ||||
VR P/P DIA-ICHI LIFE 4.000% 12/29/49 | 200 | 185 | ||||
VR P/P MACQUARIE GRO 3.763% 11/28/28 | 175 | 160 | ||||
VR P/P MACQUARIE GRO 5.033% 1/15/30 | 200 | 197 | ||||
VR P/P PACIFIC LIFE 4.300% 10/24/67 | 64 | 56 | ||||
VR P/P STANDARD CHAR 4.247% 1/20/23 | 200 | 198 | ||||
Total Private Placement Bonds | 21,111 | |||||
Total Other Investments | 136,786 | |||||
Total Investments, at Fair Value | 4,414,699 | |||||
Fully Benefit Responsive Investment Contracts | ||||||
U.S. Government and Agency Obligations | ||||||
FEDERAL HOME LOAN BANKS 1.875% 11/29/2021 | 12,800 | 12,574 | ||||
FFCB 1.23% 9/25/2020 | 39,665 | 39,625 | ||||
FGOLD 15YR 3.5% 10/01/2020 | 2 | 2 | ||||
FGOLD 15YR 3.5% 10/01/2025 | 7 | 7 | ||||
FGOLD 15YR 3.5% 9/01/2025 | 50 | 51 | ||||
FGOLD 15YR 4% 7/01/2025 | 662 | 679 | ||||
FGOLD 15YR 3% 1/01/2027 | 2,278 | 2,286 | ||||
FGOLD 15YR 3% 1/01/2032 | 945 | 941 | ||||
FGOLD 15YR 3% 1/01/2033 | 767 | 765 | ||||
FGOLD 15YR 3% 11/01/2025 | 493 | 494 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FGOLD 15YR 3% 11/01/2026 | 398 | 399 | ||||
FGOLD 15YR 3% 3/01/2027 | 1,964 | 1,972 | ||||
FGOLD 15YR 3% 3/01/2033 | 1,452 | 1,447 | ||||
FGOLD 15YR 3.5% 1/01/2021 | 205 | 207 | ||||
FGOLD 15YR 3.5% 10/01/2025 | 1,344 | 1,361 | ||||
FGOLD 15YR 3.5% 11/01/2025 | 71 | 72 | ||||
FGOLD 15YR 3.5% 12/01/2025 | 787 | 798 | ||||
FGOLD 15YR 3.5% 4/01/2021 | 47 | 47 | ||||
FGOLD 15YR 3.5% 5/01/2026 | 35 | 36 | ||||
FGOLD 15YR 3.5% 5/01/2032 | 2,356 | 2,386 | ||||
FGOLD 15YR 3.5% 6/01/2026 | 678 | 686 | ||||
FGOLD 15YR 3.5% 7/01/2026 | 1,058 | 1,070 | ||||
FGOLD 15YR 3.5% 8/01/2026 | 646 | 654 | ||||
FGOLD 15YR 4% 10/01/2025 | 21 | 22 | ||||
FGOLD 15YR 4% 3/01/2026 | 73 | 75 | ||||
FGOLD 15YR 4% 5/01/2026 | 249 | 256 | ||||
FGOLD 15YR 4% 6/01/2024 | 138 | 142 | ||||
FGOLD 15YR 4% 6/01/2025 | 25 | 26 | ||||
FGOLD 15YR 4% 6/01/2026 | 1,593 | 1,634 | ||||
FGOLD 15YR GIANT 3% 1/01/2027 | 597 | 600 | ||||
FGOLD 15YR GIANT 3% 3/01/2031 | 1,422 | 1,417 | ||||
FGOLD 15YR GIANT 3% 3/01/2032 | 1,780 | 1,774 | ||||
FGOLD 15YR GIANT 3% 6/01/2027 | 562 | 564 | ||||
FGOLD 15YR GIANT 3% 9/01/2030 | 852 | 850 | ||||
FGOLD 15YR GIANT 3% 9/01/2031 | 801 | 799 | ||||
FGOLD 15YR GIANT 3.5% 1/01/2027 | 701 | 710 | ||||
FGOLD 15YR GIANT 3.5% 1/01/2030 | 230 | 234 | ||||
FGOLD 15YR GIANT 3.5% 10/01/2029 | 40 | 40 | ||||
FGOLD 15YR GIANT 3.5% 11/01/2025 | 197 | 199 | ||||
FGOLD 15YR GIANT 3.5% 11/01/2029 | 572 | 581 | ||||
FGOLD 15YR GIANT 3.5% 11/01/2033 | 955 | 968 | ||||
FGOLD 15YR GIANT 3.5% 12/01/2033 | 1,140 | 1,155 | ||||
FGOLD 15YR GIANT 3.5% 3/01/2030 | 235 | 238 | ||||
FGOLD 15YR GIANT 3.5% 4/01/2029 | 219 | 222 | ||||
FGOLD 15YR GIANT 3.5% 4/01/2030 | 471 | 478 | ||||
FGOLD 15YR GIANT 3.5% 5/01/2033 | 3,580 | 3,639 | ||||
FGOLD 15YR GIANT 3.5% 6/01/2029 | 326 | 331 | ||||
FGOLD 15YR GIANT 3.5% 7/01/2021 | 5 | 5 | ||||
FGOLD 15YR GIANT 3.5% 7/01/2029 | 872 | 885 | ||||
FGOLD 15YR GIANT 3.5% 8/01/2026 | 54 | 55 | ||||
FGOLD 15YR GIANT 3.5% 8/01/2029 | 1,336 | 1,356 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FGOLD 15YR GIANT 3.5% 8/01/2032 | 2,807 | 2,848 | ||||
FGOLD 15YR GIANT 3.5% 9/01/2025 | 219 | 222 | ||||
FGOLD 15YR GIANT 4% 10/01/2025 | 68 | 69 | ||||
FGOLD 15YR GIANT 4% 11/01/2033 | 2,213 | 2,265 | ||||
FGOLD 15YR GIANT 4% 5/01/2026 | 297 | 304 | ||||
FGOLD 15YR GIANT 4% 6/01/2026 | 473 | 485 | ||||
FHLB 1.375% 11/15/2019 | 2,650 | 2,620 | ||||
FHLB 1.375% 9/28/2020 | 5,700 | 5,585 | ||||
FHLMC 2.375% 1/13/2022 | 475 | 473 | ||||
FHLMC 5/1 HYBRID ARM 4.583% 12/01/2036 | 139 | 145 | ||||
FHLMC REFERENCE BOND 1.5% 1/17/2020 | 21,345 | 21,107 | ||||
FHLMC REFERENCE NOTES 1.375% 5/01/2020 | 33,275 | 32,761 | ||||
FHLMC_11-K014 3.871% 4/25/2021 | 1,248 | 1,270 | ||||
FHLMC_K007 4.224% 3/25/2020 | 1,262 | 1,278 | ||||
FHLMC_K009 3.808% 8/25/2020 | 1,900 | 1,918 | ||||
FHLMC_K714 3.034% 10/25/2020 | 849 | 848 | ||||
FNMA 15YR 3.5% 1/01/2026 | 562 | 569 | ||||
FNMA 15YR 3.5% 10/01/2025 | 322 | 326 | ||||
FNMA 15YR 3.5% 11/01/2025 | 1,727 | 1,748 | ||||
FNMA 15YR 3.5% 12/01/2025 | 357 | 362 | ||||
FNMA 15YR 3.5% 12/01/2026 | 13 | 14 | ||||
FNMA 15YR 3.5% 2/01/2026 | 525 | 532 | ||||
FNMA 15YR 3.5% 3/01/2026 | 181 | 183 | ||||
FNMA 15YR 3.5% 8/01/2026 | 231 | 234 | ||||
FNMA 15YR 3.5% 9/01/2025 | 45 | 46 | ||||
FNMA 15YR 4% 1/01/2025 | 28 | 29 | ||||
FNMA 15YR 4% 4/01/2025 | 415 | 426 | ||||
FNMA 15YR 4% 5/01/2025 | 246 | 252 | ||||
FNMA 15YR 4% 9/01/2024 | 298 | 305 | ||||
FNMA 15YR 4% 9/01/2025 | 15 | 15 | ||||
FNMA 15YR 4.5% 1/01/2025 | 3 | 3 | ||||
FNMA 15YR 4.5% 3/01/2023 | 28 | 29 | ||||
FNMA 15YR 4.5% 7/01/2023 | 21 | 22 | ||||
FNMA 15YR 5% 1/01/2019 | 1 | 1 | ||||
FNMA 15YR 5% 10/01/2024 | 161 | 165 | ||||
FNMA 15YR 5% 3/01/2023 | 21 | 22 | ||||
FNMA 15YR 5.5% 8/01/2023 | 24 | 24 | ||||
FNMA 15YR 6% 4/01/2023 | 110 | 113 | ||||
FNMA 10/1 HYBRID ARM 4.249% 10/01/2034 | 12 | 13 | ||||
FNMA 10/1 HYBRID ARM 4.84% 12/01/2033 | 5 | 5 | ||||
FNMA 15YR 3% 1/01/2032 | 1,548 | 1,545 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FNMA 15YR 3% 10/01/2030 | 7,002 | 7,002 | ||||
FNMA 15YR 3% 11/01/2030 | 1,646 | 1,647 | ||||
FNMA 15YR 3% 11/01/2031 | 2,132 | 2,128 | ||||
FNMA 15YR 3% 2/01/2030 | 1,422 | 1,423 | ||||
FNMA 15YR 3% 2/01/2031 | 6,149 | 6,137 | ||||
FNMA 15YR 3% 2/01/2032 | 1,507 | 1,505 | ||||
FNMA 15YR 3% 3/01/2031 | 1,009 | 1,007 | ||||
FNMA 15YR 3% 3/01/2032 | 787 | 786 | ||||
FNMA 15YR 3% 4/01/2031 | 972 | 970 | ||||
FNMA 15YR 3% 4/01/2032 | 854 | 853 | ||||
FNMA 15YR 3% 5/01/2031 | 2,663 | 2,659 | ||||
FNMA 15YR 3% 7/01/2027 | 271 | 272 | ||||
FNMA 15YR 3% 7/01/2030 | 413 | 413 | ||||
FNMA 15YR 3% 7/01/2032 | 2,197 | 2,194 | ||||
FNMA 15YR 3% 8/01/2031 | 1,057 | 1,055 | ||||
FNMA 15YR 3% 9/01/2029 | 1,490 | 1,491 | ||||
FNMA 15YR 3% 9/01/2031 | 1,901 | 1,898 | ||||
FNMA 15YR 3% 9/01/2032 | 2,007 | 2,004 | ||||
FNMA 15YR 3.5% 1/01/2026 | 354 | 358 | ||||
FNMA 15YR 3.5% 1/01/2027 | 1,115 | 1,129 | ||||
FNMA 15YR 3.5% 1/01/2030 | 1,824 | 1,847 | ||||
FNMA 15YR 3.5% 10/01/2026 | 1,751 | 1,772 | ||||
FNMA 15YR 3.5% 10/01/2028 | 417 | 424 | ||||
FNMA 15YR 3.5% 10/01/2029 | 114 | 116 | ||||
FNMA 15YR 3.5% 11/01/2027 | 32 | 32 | ||||
FNMA 15YR 3.5% 11/01/2028 | 503 | 512 | ||||
FNMA 15YR 3.5% 11/01/2029 | 435 | 440 | ||||
FNMA 15YR 3.5% 12/01/2025 | 424 | 430 | ||||
FNMA 15YR 3.5% 12/01/2026 | 453 | 459 | ||||
FNMA 15YR 3.5% 12/01/2028 | 210 | 214 | ||||
FNMA 15YR 3.5% 12/01/2029 | 1,746 | 1,770 | ||||
FNMA 15YR 3.5% 12/01/2032 | 1,506 | 1,524 | ||||
FNMA 15YR 3.5% 2/01/2026 | 272 | 276 | ||||
FNMA 15YR 3.5% 2/01/2027 | 82 | 83 | ||||
FNMA 15YR 3.5% 2/01/2028 | 8 | 8 | ||||
FNMA 15YR 3.5% 2/01/2029 | 1,265 | 1,283 | ||||
FNMA 15YR 3.5% 2/01/2031 | 1,511 | 1,532 | ||||
FNMA 15YR 3.5% 2/01/2032 | 3,505 | 3,554 | ||||
FNMA 15YR 3.5% 3/01/2032 | 3,349 | 3,391 | ||||
FNMA 15YR 3.5% 3/01/2033 | 2,554 | 2,585 | ||||
FNMA 15YR 3.5% 4/01/2026 | 484 | 490 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
FNMA 15YR 3.5% 4/01/2030 | 697 | 707 | ||||
FNMA 15YR 3.5% 4/01/2033 | 673 | 681 | ||||
FNMA 15YR 3.5% 5/01/2027 | 263 | 267 | ||||
FNMA 15YR 3.5% 5/01/2029 | 319 | 323 | ||||
FNMA 15YR 3.5% 6/01/2027 | 1,660 | 1,680 | ||||
FNMA 15YR 3.5% 6/01/2029 | 412 | 418 | ||||
FNMA 15YR 3.5% 6/01/2030 | 773 | 786 | ||||
FNMA 15YR 3.5% 6/01/2032 | 1,334 | 1,351 | ||||
FNMA 15YR 3.5% 7/01/2029 | 2,559 | 2,595 | ||||
FNMA 15YR 3.5% 7/01/2032 | 1,266 | 1,281 | ||||
FNMA 15YR 3.5% 8/01/2026 | 214 | 217 | ||||
FNMA 15YR 3.5% 8/01/2027 | 298 | 302 | ||||
FNMA 15YR 3.5% 8/01/2029 | 1,622 | 1,645 | ||||
FNMA 15YR 3.5% 8/01/2032 | 2,937 | 2,974 | ||||
FNMA 15YR 3.5% 9/01/2026 | 1,754 | 1,776 | ||||
FNMA 15YR 3.5% 9/01/2028 | 1,251 | 1,266 | ||||
FNMA 15YR 3.5% 9/01/2029 | 2,139 | 2,168 | ||||
FNMA 15YR 4% 1/01/2029 | 892 | 912 | ||||
FNMA 15YR 4% 11/01/2026 | 252 | 258 | ||||
FNMA 15YR 4% 5/01/2027 | 12 | 13 | ||||
FNMA 15YR 4.5% 5/01/2024 | 149 | 153 | ||||
FNMA 15YR 4.5% 6/01/2026 | 89 | 92 | ||||
FNMA 15YR 5% 3/01/2023 | 4 | 4 | ||||
FNMA 15YR 5.5% 4/01/2021 | 37 | 38 | ||||
FNMA 2.5% 4/13/2021 | 4,075 | 4,069 | ||||
FNMA 6M LIBOR ARM 3.915% 11/01/2032 | 31 | 32 | ||||
FNMA 6M LIBOR ARM 4.011% 3/01/2034 | 114 | 117 | ||||
FNMA 6M LIBOR ARM 4.018% 4/01/2035 | 87 | 90 | ||||
FNMA 6M LIBOR ARM 4.13% 12/01/2032 | 124 | 130 | ||||
FNMA 6M LIBOR ARM 4.342% 9/01/2035 | 253 | 258 | ||||
FNMA 7/1 HYBRID ARM 4.533% 1/01/2036 | 19 | 20 | ||||
FNMA 7/1 HYBRID ARM 4.587% 1/01/2034 | 57 | 59 | ||||
FNMA 7/1 HYBRID ARM 4.62% 3/01/2036 | 34 | 36 | ||||
FNMA_03-W11 5.63136% 6/25/2033 | 1 | 1 | ||||
FNMA_11-55 3% 7/25/2025 | 285 | 285 | ||||
FNMA_12-31 1.75% 10/25/2022 | 891 | 878 | ||||
GNMA_12-142 1.105% 5/16/2037 | 864 | 838 | ||||
GNMA_12-86 1.55817% 4/16/2040 | 5 | 5 | ||||
GNMA_13-12 1.41% 10/16/2042 | 545 | 520 | ||||
GNMA_13-126 1.54% 4/16/2038 | 498 | 482 | ||||
GNMA_13-146 2% 8/16/2040 | 598 | 581 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
GNMA_13-17 1.55835% 10/16/2043 | 661 | 630 | ||||
GNMA_13-179 1.8% 7/16/2037 | 428 | 415 | ||||
GNMA_13-194 2.25% 5/16/2038 | 409 | 400 | ||||
GNMA_13-2 1.6% 12/16/2042 | 400 | 389 | ||||
GNMA_13-30 1.5% 5/16/2042 | 1,165 | 1,111 | ||||
GNMA_13-32 1.9% 1/16/2042 | 1,201 | 1,151 | ||||
GNMA_13-33 1.061% 7/16/2038 | 1,167 | 1,094 | ||||
GNMA_13-35 1.618% 2/16/2040 | 1,793 | 1,715 | ||||
GNMA_13-52 1.15% 6/16/2038 | 1,060 | 1,003 | ||||
GNMA_13-57 1.35% 6/16/2037 | 1,333 | 1,279 | ||||
GNMA_13-73 1.35% 1/16/2039 | 1,327 | 1,252 | ||||
GNMA_13-78 1.62443% 7/16/2039 | 389 | 372 | ||||
GNMA_14-103 1.742% 6/16/2053 | 1,659 | 1,613 | ||||
GNMA_14-109 2.325% 1/16/2046 | 1,100 | 1,080 | ||||
GNMA_14-135 2.4% 8/16/2045 | 1,114 | 1,090 | ||||
GNMA_14-47 2.25% 8/16/2040 | 49 | 49 | ||||
GNMA_14-64 2.2% 11/16/2046 | 981 | 961 | ||||
GNMA_14-86 2.65% 11/16/2040 | 948 | 938 | ||||
GNMA_15-109 2.5279% 2/16/2040 | 878 | 862 | ||||
GNMA_15-2 2.1% 12/16/2044 | 1,142 | 1,113 | ||||
GNMA_15-21 2.6% 11/16/2042 | 828 | 818 | ||||
GNMA_15-5 2.5% 11/16/2039 | 1,798 | 1,769 | ||||
GNMA_15-78 2.9179% 6/16/2040 | 704 | 696 | ||||
GNMA_16-39 2.3% 1/16/2043 | 1,646 | 1,596 | ||||
TREASURY NOTE 1.25% 10/31/2021 | 63,975 | 61,846 | ||||
TREASURY NOTE 2.625% 11/15/2020 | 26,800 | 26,848 | ||||
US TII .125 04/15/2022 (T 0.125% 4/15/2022 | 11,375 | 11,447 | ||||
Total U.S. Government and Agency Obligations | 382,513 | |||||
Common/Collective Trusts | ||||||
* | COLUMBIA TRUST DECL DURATION GOVT BOND FUND | 5,993 | 63,161 | |||
* | COLUMBIA TRUST GOV MONEY MKT FUND | 4,691 | 4,691 | |||
Total Common/Collective Trusts | 67,852 | |||||
Pooled Separate Accounts | ||||||
* | MET LIFE SEPARATE ACCOUNT CONTRACT | 628 | 66,795 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2018
(a) | (b) Identity of Issuer, Borrower, Lessor, or Similar Party | (c) Number of Shares/ Units or Face Amount (in thousands) | (d) Current Value (in thousands) | |||
Wrapper Contracts | ||||||
* | JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24% | 41 | ||||
LINCOLN NATIONAL LIFE | 7 | |||||
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08% | 17 | |||||
Total Wrapper Contracts | 65 | |||||
Total Fully Benefit Responsive Investment Contracts, at Fair Value | 517,225 | |||||
Adjustment from Fair Value to Contract Value | ||||||
* | JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24% | 1,389 | ||||
LINCOLN NATIONAL LIFE | 670 | |||||
* | MET LIFE - #28972, MATURES 12/31/50, 3.98% | 645 | ||||
* | MET LIFE (SA)- #32745 | 478 | ||||
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08% | 1,563 | |||||
PACIFIC LIFE - # 26755, MATURES 12/31/50, 4.00% | 743 | |||||
PRUDENTIAL GA63690 | 343 | |||||
RBC I - #10903, MATURES 12/31/50, 4.02% | 700 | |||||
Total Adjustments | 6,531 | |||||
Total Fully Benefit Responsive Investment Contracts, at Contract Value | 523,756 | |||||
TOTAL INVESTMENTS | 4,938,455 | |||||
Loans to Participants | ||||||
* | Various Loans - 3.25% through 9.50% due through March 2049 | 81,802 | ||||
Loans to Participants Total | 81,802 |
* Indicates party-in-interest
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
(a) Identity of Issuer, Borrower, Lessor, or Similar Party | (b) Number of Shares/Units or Face Amount (in thousands) | (c) Proceeds of dispositions (in thousands) | ||
CORPORATE DEBT INSTRUMENTS | ||||
ABB FINANCE USA INC 3.800% 4/03/28 | 75 | 76 | ||
ANHEUSER-BUSCH INBEV 4.000% 4/13/28 | 110 | 110 | ||
ANHEUSER-BUSCH INBEV 4.600% 4/15/48 | 50 | 45 | ||
CENTERPOINT ENERGY 3.550% 4/01/23 | 45 | 45 | ||
CITIZENS BANK NA/RI 3.700% 3/29/23 | 250 | 249 | ||
ESSEX PORTFOLIO LP 4.500% 3/15/48 | 45 | 44 | ||
GENERAL MILLS INC 4.550% 4/17/38 | 20 | 20 | ||
HARTFORD FINL SVCS 4.400% 3/15/48 | 90 | 92 | ||
INGERSOLL-RAND GL HL 3.750% 8/21/28 | 100 | 96 | ||
MCDONALD'S CORP 3.350% 4/01/23 | 45 | 45 | ||
MCDONALD'S CORP 4.450% 3/01/47 | 35 | 35 | ||
MCKESSON CORP 3.950% 2/16/28 | 27 | 26 | ||
MPLX LP 4.000% 3/15/28 | 78 | 76 | ||
NUTRIEN LTD 3.000% 4/01/25 | 150 | 138 | ||
STRYKER CORP 3.650% 3/07/28 | 60 | 59 | ||
VALERO ENERGY PARTNE 4.500% 3/15/28 | 55 | 54 | ||
WELLTOWER INC 4.250% 4/15/28 | 65 | 63 | ||
WESTPAC BANKING CORP 3.400% 1/25/28 | 110 | 105 | ||
PRIVATE PLACEMENT BONDS | ||||
P/P AT&T INC 4.900% 8/15/37 | 324 | 323 | ||
P/P COMMONWEALTH BAN 3.900% 3/16/28 | 110 | 108 | ||
P/P NVENT FINANCE SA 4.550% 4/15/28 | 98 | 98 | ||
P/P PETROLEOS MEXICA 5.350% 2/12/28 | 71 | 71 | ||
P/P PETROLEOS MEXICA 6.500% 1/23/29 | 88 | 88 | ||
P/P TENCENT HOLDINGS 3.595% 1/19/28 | 200 | 185 | ||
VR P/P MACQUARIE GRO 4.654% 3/27/29 | 100 | 99 |
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the Employee Benefits Administration Committee has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN | |||
Date: June 20, 2019 | By | /s/ Rita Pang | |
Rita Pang | |||
Employee Benefits Administration Committee |
Exhibit Number | Description | How Filed |
23 | Electronically filed herewith |
E-1