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, 2021
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
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Financial Statements and Supplemental Schedules
Table of Contents
Page | |||||
FINANCIAL STATEMENTS | |||||
SUPPLEMENTAL SCHEDULES* | |||||
E-1 |
* Other schedules required under Section 2520.103 of 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.
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan 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 the American Express Retirement Savings Plan (the Plan) as of December 31, 2021 and 2020, and the related statement of changes in net assets available for benefits for the year ended December 31, 2021, and the related notes to the financial statements (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, 2021 and 2020, and the changes in net assets available for benefits for the year ended December 31, 2021, in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion on the Financial Statements
The 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 audit. 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 audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audit, we are required to obtain an understanding of internal control over financial reporting, but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion.
Our audit 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 include examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by Plan management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion.
Report on Supplemental Schedules
The supplemental schedules of delinquent participant contributions for the year ended December 31, 2021, of assets (held at end of year) as of December 31, 2021, and of assets (acquired and disposed of within year) for the year ended December 31, 2021, 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/ McConnell & Jones LLP
We have served as the Plan’s auditor since 2021.
Houston, Texas
June 16, 2022
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Statements of Net Assets Available for Benefits
as of December 31, 2021 and 2020
(Thousands) | 2021 | 2020 | ||||||||||||
Assets | ||||||||||||||
Investments, at fair value: | ||||||||||||||
Money market funds | $ | 50,866 | $ | 76,393 | ||||||||||
Corporate debt instruments | 131,852 | 140,014 | ||||||||||||
Common stocks | 2,492,831 | 2,353,264 | ||||||||||||
U.S. Government and agency obligations | 239,859 | 202,259 | ||||||||||||
Common/collective trusts | 3,190,809 | 2,668,893 | ||||||||||||
Mutual funds | 469,118 | 466,904 | ||||||||||||
Self-directed brokerage accounts | 162,436 | 140,110 | ||||||||||||
Other investments | 172,012 | 169,990 | ||||||||||||
Total investments, at fair value | 6,909,783 | 6,217,827 | ||||||||||||
Fully benefit responsive investment contracts, at contract value | 758,772 | 738,829 | ||||||||||||
Due from brokers | 5,235 | 7,529 | ||||||||||||
Cash (non-interest bearing) | 2,927 | 8,428 | ||||||||||||
Receivables: | ||||||||||||||
Notes receivable from participants | 62,048 | 69,734 | ||||||||||||
Investment income accrued | 3,827 | 4,125 | ||||||||||||
Employer contributions | 79,218 | 79,376 | ||||||||||||
Total Assets | 7,821,810 | 7,125,848 | ||||||||||||
Liabilities | ||||||||||||||
Accrued expenses | 3,149 | 2,936 | ||||||||||||
Due to brokers | 97,978 | 30,586 | ||||||||||||
Total Liabilities | 101,127 | 33,522 | ||||||||||||
Net assets available for benefits | $ | 7,720,683 | $ | 7,092,326 |
See accompanying notes to the financial statements.
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AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Statement of Changes in Net Assets Available for Benefits
for the Year Ended December 31, 2021
(Thousands) | 2021 | |||||||
Contributions | ||||||||
Employer | $ | 186,225 | ||||||
Employee | 210,428 | |||||||
Rollovers | 29,658 | |||||||
Total contributions | 426,311 | |||||||
Investment income | ||||||||
Net appreciation of investments | 889,741 | |||||||
Interest and dividends | 75,440 | |||||||
Other income | 159 | |||||||
Total investment income | 965,340 | |||||||
Interest on notes receivable from participants | 3,530 | |||||||
Total additions to net assets | 1,395,181 | |||||||
Withdrawal payments | (751,740) | |||||||
Administrative expenses | (15,084) | |||||||
Total deductions from net assets | (766,824) | |||||||
Net increase in net assets available for benefits | 628,357 | |||||||
Net assets available for benefits at beginning of year | 7,092,326 | |||||||
Net assets available for benefits at end of year | $ | 7,720,683 |
See accompanying notes to the financial statements.
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1. Description of the Plan
General
The American Express Retirement Savings Plan (the “Plan”), which became effective June 11, 1973, is a defined contribution 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
Principal Life Insurance Company became the recordkeeper and Delaware Charter Guarantee & Trust Company, d/b/a Principal Trust Company, became the Trustee effective May 25, 2021. Principal Custody Solutions became the custodian effective February 22, 2022. Prior to these dates, Wells Fargo Bank N.A. was the recordkeeper, Trustee and custodian 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, Global Well-Being and Benefits.
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 $290,000 in 2021 and $285,000 in 2020, 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 both 2021 and 2020, this limit was $19,500 for participants under age 50 and $26,000 for participants age 50 or older. The Plan complied with non-discrimination requirements under the Code during 2020 and 2019 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.
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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 Total 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.
Effective January 1, 2022, the automatic enrollment rate for Before-Tax contributions increased to 6% of Total Pay, with a 1% automatic increase each year until the rate reaches 10%. In addition, eligible employees rehired on or after January 1, 2022 are covered by the automatic enrollment provisions when rehired.
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.
Fixed Rate Contributions
As of January 1, 2021, the Company may make a Fixed Rate Contribution annually, typically comprised of 2.00% or 3.00% of eligible participants’ Total Pay (with the applicable percentage determined by a participant’s pay band level) for participants who have completed six months of service. Such typical percentages were applied to calculate the Fixed Rate Contribution for 2021. 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 Fixed Rate Contributions made for that Plan year. Fixed Rate Contributions to eligible participants are made regardless of whether the participant contributes to the Plan.
Discretionary Profit Sharing Contributions
Prior to January 1, 2021, additional Company contributions were made annually at the Company’s discretion based, in part, on the Company’s performance, and the Company retains the right to make such contributions in the future. A participant must have completed six months of service and be employed on the last working day of the Plan year (or be disabled under the terms of the Plan) to be eligible for such Discretionary Profit Sharing Contributions. Discretionary Profit Sharing Contributions comprised 2.00% of eligible participants’ Total Pay in 2020, and none were made for 2021.
Qualified Non-Elective Contributions
The Company may make Qualified Non-Elective Contributions (“QNEC”). A QNEC is a discretionary, fully vested contribution allocated in accordance with the Company's direction at the time the QNEC is approved. Any QNECs are fully vested when made and distributable only under circumstances that permit distributions of Before-Tax Contributions or Roth Contributions.
Disability Contributions
Certain qualifying participants who become disabled, as defined by the Plan Document, are eligible to receive contributions similar to Fixed Rate Contributions, Discretionary Profit Sharing Contributions and Matching Contributions.
Allocation of Account Balances
A participant’s account balance may be reallocated among the Plan’s investment options upon receipt of instructions from the participant. Account balances may be reallocated 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.
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:
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Company Matching Contributions
Company Matching Contributions and investment earnings thereon are immediately 100% vested.
Fixed Rate Contributions
Fixed Rate 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.
Discretionary Profit Sharing Contributions
Discretionary 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.
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. Forfeited non-vested balances were $3.0 million and $1.7 million as of December 31, 2021 and 2020, respectively. Accrued 2021 Fixed Rate Contributions and 2020 Discretionary Profit Sharing Contributions made to the Plan in March 2022 and March 2021, were reduced by $2.2 million and $1.3 million, respectively, from forfeited account balances; of the remaining forfeitures, $0.8 million will be used in 2022 and $0.4 million was used in 2021 to pay Plan expenses.
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, 2021, carried interest rates varying from 3.25% to 9.50% and will mature at various dates through July 20, 2051.
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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 cash amount, American Express Company common shares, if applicable, shares of any investment available through self-directed brokerage accounts (“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 72 (age 70-1/2 if the participant had already attained age 70-1/2 as of December 31, 2020), at which point distributions must be made at least annually in at least the minimum amount required by federal law. However, 2020 required minimum distributions that would otherwise have been due on April 1, 2021 were waived in accordance with the Coronavirus Aid, Relief and Economic Security Act (the CARES Act). 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 balances 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 (other than required minimum distributions and hardship withdrawals) 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.
The Plan's recordkeeper 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, as discussed in Note 4 (Investments), which is charged to the Plan’s Retirement Funds on a pro rata basis. Additionally, as described in Note 8 (Related Parties and Parties-In-Interest Transactions), 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.
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2. Summary of Significant Accounting Policies
Basis of Accounting
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”).
Amounts Based on Estimates and Assumptions
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.
Cash and Cash Equivalents
Cash includes cash on hand, while cash equivalents include other highly liquid investments with an original maturity of 90 days or less, such as money market funds. All cash equivalents are presented within the "Money market funds" and "Self-directed brokerage accounts" line items in the financial statements and are reported on “Schedule H, Line 4i”.
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 Wells Fargo Bank N.A. 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 or transactions for potential recognition or disclosure through June 16, 2022, the date the financial statements were issued. The Plan determined that there are no subsequent events or transactions that require additional disclosure.
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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 Wells Fargo Bank N.A.'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).
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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, 2021:
Description (Thousands) | Total | Level 1 | Level 2 | |||||||||||||||||
Money market funds | $ | 50,866 | $ | 50,866 | $ | — | ||||||||||||||
Corporate debt instruments | 131,852 | — | 131,852 | |||||||||||||||||
Common stocks | 2,492,831 | 2,492,831 | — | |||||||||||||||||
Common/Collective trusts | 1,427,249 | — | 1,427,249 | |||||||||||||||||
U.S. Government and agency obligations | 239,859 | — | 239,859 | |||||||||||||||||
Mutual funds | 469,118 | 469,118 | — | |||||||||||||||||
Self-directed brokerage accounts | 162,436 | 162,436 | — | |||||||||||||||||
Other investments | 172,012 | — | 172,012 | |||||||||||||||||
Total assets in the fair value hierarchy | $ | 5,146,223 | $ | 3,175,251 | $ | 1,970,972 | ||||||||||||||
Common/collective trusts measured at net asset value (“NAV”) | 1,763,560 | |||||||||||||||||||
Total investments, at fair value | $ | 6,909,783 |
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, 2020:
Description (Thousands) | Total | Level 1 | Level 2 | |||||||||||||||||
Money market funds | $ | 76,393 | $ | 76,393 | $ | — | ||||||||||||||
Corporate debt instruments | 140,014 | — | 140,014 | |||||||||||||||||
Common stocks | 2,353,264 | 2,353,264 | — | |||||||||||||||||
Common/Collective trusts | 1,171,445 | — | 1,171,445 | |||||||||||||||||
U.S. Government and agency obligations | 202,259 | — | 202,259 | |||||||||||||||||
Mutual funds | 466,904 | 466,904 | — | |||||||||||||||||
Self-directed brokerage accounts | 140,110 | 140,110 | — | |||||||||||||||||
Other investments | 169,990 | — | 169,990 | |||||||||||||||||
Total assets in the fair value hierarchy | $ | 4,720,379 | $ | 3,036,671 | $ | 1,683,708 | ||||||||||||||
Common/collective trusts measured at NAV | 1,497,448 | |||||||||||||||||||
Total investments, at fair value | $ | 6,217,827 |
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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 are valued using the corresponding valuation techniques as previously described.
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 Wells Fargo Bank N.A. 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. Wells Fargo Bank N.A. 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 2021 and 2020. The Plan reaffirms its understanding of the valuation techniques used by Wells Fargo Bank N.A.'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.
10
The fair values of the financial instruments are estimates based upon the market conditions and perceived risks as of December 31, 2021 and 2020 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. There were no transfers among the levels of fair value hierarchy during the years ended December 31, 2021 and 2020.
Fair Value of Investments Using NAV as Practical Expedient
The following tables summarize investments measured at fair value based on NAV per share/unit as of December 31, 2021 and 2020, respectively:
As of December 31, 2021 | Fair Value (Thousands) | Redemption Frequency | Redemption Notice Period | ||||||||
Common/collective trusts(a) | $1,763,560 | As needed | Up to 5 days | ||||||||
As of December 31, 2020 | Fair Value (Thousands) | Redemption Frequency | Redemption Notice Period | ||||||||
Common/collective trusts(a) | $1,497,448 | As needed | Up to 5 days |
a.Common/collective trusts are invested to gain exposure to broad public indices, including U.S., international developed and emerging market equity securities and fixed income securities.
11
4. Investments
The investment options available to participants include nine core investment options (the “Core Investment Options”), of which five are actively managed (although in some cases, an actively managed option may also include a passively managed component) and four are passively managed (also known as index funds). In addition, target date funds (the “Retirement Funds”) based on target retirement dates are also available. The Retirement Funds invest in a mix of the actively managed Core Investment Options (and in some cases, also include an allocation to a Treasury inflation-protected securities strategy not available as a Core Investment Option). 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 the 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 may allocate up to 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, 2021, 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.
12
Fully benefit-responsive book value wrap contracts held by a separately managed account created for a defined contribution plan are 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.
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.
Self-Directed Brokerage 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.
13
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 and current market volatility, 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. Plan management has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2021, 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.
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, 2021 and 2020:
(Thousands) | 2021 | 2020 | ||||||||||||
Net assets available for benefits per the financial statements | $ | 7,720,683 | $ | 7,092,326 | ||||||||||
Difference between contract value and fair value of fully benefit-responsive investment contracts | 1,462 | 17,966 | ||||||||||||
Loans deemed distributed | (286) | (300) | ||||||||||||
Net assets available for benefits per the Form 5500 | $ | 7,721,859 | $ | 7,109,992 |
The following is a reconciliation of net income per the financial statements to Form 5500 for the year ended December 31, 2021:
(Thousands) | 2021 | |||||||
Net increase in net assets available for benefits per the financial statements | $ | 628,357 | ||||||
Adjustment for difference between contract value and fair value of fully benefit-responsive investment contracts | (16,504) | |||||||
Change in deemed distributions of participant loans | 14 | |||||||
Net income per the Form 5500 | $ | 611,867 |
14
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. and its affiliates, Principal Financial Group 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 Ameriprise Financial, Inc. and its affiliates, BlackRock Institutional Trust Company, N.A. and its affiliates, Fidelity Investment Management and its affiliates, J.P. Morgan Investment Management, Inc. and its affiliates, MetLife Inc. and its affiliates, Morgan Stanley Investment Management and its affiliates, Principal Financial Group and its affiliates, Vanguard Fiduciary Trust Company and its affiliates, Wells Fargo Bank, N.A. and its affiliates and Willis Tower Watson and its affiliates as of both December 31, 2021 and 2020. Charles Schwab and Co., Inc and its affiliates became a service provider and party-in-interest as of May 25, 2021. Notes Receivable from Participants, as discussed in Note 1 (Description of the Plan), are also considered party-in-interest transactions.
Berkshire Hathaway, Inc. and its affiliates are considered parties-in-interest due to ownership interests in the Company. The Plan holds certain securities in Berkshire Hathaway in accordance with investment strategies directed by its qualified professional asset managers.
Additionally, the Company is considered a party-in-interest as well as a related party. As of December 31, 2021 and 2020, the Plan held 4,605,470 shares of American Express Company common stock valued at $753 million and 5,015,340 shares valued at $606 million, respectively. During the 2021 plan year the Plan acquired 82,152 shares of American Express Company common stock valued at $20 million through dividend reinvestments and sold 234,738 shares valued at $56 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.
15
SUPPLEMENTAL SCHEDULES
16
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4a – Schedule of Delinquent Participant Contributions
for the Year Ended December 31, 2021
Participant Contributions Transferred Late to the Plan | Total that Constitute Nonexempt Prohibited Transactions | |||||||||||||||||||||||||
Check here if Late Participant Loan Repayments are included ☐ | Contributions Not Corrected | Contributions Corrected Outside VFCP | Contributions Pending Correction in VFCP | Total Fully Corrected Under VFCP and PTE 2002-51 | ||||||||||||||||||||||
$38 | — | $38 | — | — | ||||||||||||||||||||||
In 2020, the Company untimely remitted a contribution deducted from a participant's paycheck. The Company remitted the delinquent participant contribution to the Plan and restored lost earnings on March 31, 2021. |
17
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
Money Market Funds | |||||||||||||||||
* | FIDELITY MM GOVT PORTFOLIO #57 | 50,865 | 50,866 | ||||||||||||||
Total Money Market Funds | $ | 50,866 | |||||||||||||||
Corporate Debt Instruments | |||||||||||||||||
ABBVIE INC 2.800% 3/15/23 | 620 | 632 | |||||||||||||||
ABBVIE INC 4.050% 11/21/39 | 485 | 556 | |||||||||||||||
ABBVIE INC 4.400% 11/06/42 | 395 | 471 | |||||||||||||||
ABBVIE INC 4.500% 5/14/35 | 410 | 490 | |||||||||||||||
ACTIVISION BLIZZARD 1.350% 9/15/30 | 191 | 176 | |||||||||||||||
AEP TRANSMISSION CO 3.150% 9/15/49 | 120 | 122 | |||||||||||||||
AERCAP IRELAND CAP/G 1.750% 1/30/26 | 150 | 147 | |||||||||||||||
AERCAP IRELAND CAP/G 2.450% 10/29/26 | 180 | 181 | |||||||||||||||
AERCAP IRELAND CAP/G 3.000% 10/29/28 | 220 | 223 | |||||||||||||||
AERCAP IRELAND CAP/G 3.300% 1/30/32 | 210 | 214 | |||||||||||||||
AERCAP IRELAND CAP/G 4.450% 4/03/26 | 150 | 163 | |||||||||||||||
AERCAP IRELAND CAP/G 4.500% 9/15/23 | 605 | 634 | |||||||||||||||
AETNA INC 3.875% 8/15/47 | 150 | 167 | |||||||||||||||
AIR LEASE CORP 2.625% 7/01/22 | 179 | 180 | |||||||||||||||
AIR LEASE CORP 3.250% 3/01/25 | 81 | 84 | |||||||||||||||
AIR LEASE CORP 3.250% 10/01/29 | 415 | 424 | |||||||||||||||
AIR LEASE CORP 3.375% 7/01/25 | 462 | 482 | |||||||||||||||
ALABAMA POWER CO 5.700% 2/15/33 | 200 | 257 | |||||||||||||||
ALBEMARLE CORP 5.450% 12/01/44 | 50 | 65 | |||||||||||||||
ALEXANDRIA REAL ESTA 1.875% 2/01/33 | 140 | 132 | |||||||||||||||
ALEXANDRIA REAL ESTA 2.000% 5/18/32 | 310 | 296 | |||||||||||||||
ALTRIA GROUP INC 2.450% 2/04/32 | 460 | 437 | |||||||||||||||
AMAZON.COM INC 3.250% 5/12/61 | 200 | 215 | |||||||||||||||
AMAZON.COM INC 3.875% 8/22/37 | 110 | 129 | |||||||||||||||
AMER AIRLINE 16-2 AA 3.200% 6/15/28 | 153 | 154 | |||||||||||||||
AMER AIRLINE 16-3 AA 3.000% 4/15/30 | 181 | 179 | |||||||||||||||
AMER AIRLINE 17-1 AA 3.650% 2/15/29 | 54 | 56 | |||||||||||||||
AMER AIRLN 14-1 A PT 3.700% 10/01/26 | 94 | 95 | |||||||||||||||
AMERICA MOVIL SAB DE 3.625% 4/22/29 | 205 | 222 | |||||||||||||||
AMERICAN CAMPUS COMM 3.625% 11/15/27 | 229 | 245 | |||||||||||||||
AMERICAN FINANCIAL 3.500% 8/15/26 | 150 | 160 | |||||||||||||||
AMERICAN INTL GROUP 3.875% 1/15/35 | 200 | 221 | |||||||||||||||
AMERICAN TOWER CORP 2.100% 6/15/30 | 150 | 144 | |||||||||||||||
AMERICAN TOWER CORP 3.100% 6/15/50 | 139 | 135 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
18
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
AMERICAN TOWER CORP 3.700% 10/15/49 | 220 | 234 | |||||||||||||||
AMERICAN WATER CAPIT 3.450% 6/01/29 | 150 | 162 | |||||||||||||||
AMGEN INC 3.150% 2/21/40 | 200 | 205 | |||||||||||||||
ANALOG DEVICES INC 2.800% 10/01/41 | 250 | 253 | |||||||||||||||
ANHEUSER-BUSCH COS 4.900% 2/01/46 | 350 | 442 | |||||||||||||||
ANHEUSER-BUSCH INBEV 4.375% 4/15/38 | 190 | 223 | |||||||||||||||
ANHEUSER-BUSCH INBEV 4.439% 10/06/48 | 240 | 287 | |||||||||||||||
ANHEUSER-BUSCH INBEV 4.600% 6/01/60 | 175 | 217 | |||||||||||||||
ANHEUSER-BUSCH INBEV 4.700% 2/01/36 | 120 | 143 | |||||||||||||||
ANHEUSER-BUSCH INBEV 4.750% 4/15/58 | 7 | 9 | |||||||||||||||
APPLE INC 2.700% 8/05/51 | 500 | 495 | |||||||||||||||
ARROW ELECTRONICS IN 3.875% 1/12/28 | 55 | 60 | |||||||||||||||
ASSURANT INC 4.200% 9/27/23 | 105 | 110 | |||||||||||||||
ASTRAZENECA PLC 2.125% 8/06/50 | 140 | 124 | |||||||||||||||
ASTRAZENECA PLC 4.000% 9/18/42 | 60 | 72 | |||||||||||||||
ASTRAZENECA PLC 6.450% 9/15/37 | 70 | 103 | |||||||||||||||
AT&T INC 2.250% 2/01/32 | 450 | 435 | |||||||||||||||
AT&T INC 2.300% 6/01/27 | 725 | 737 | |||||||||||||||
AT&T INC 3.100% 2/01/43 | 225 | 219 | |||||||||||||||
AT&T INC 3.500% 6/01/41 | 154 | 158 | |||||||||||||||
AT&T INC 3.500% 9/15/53 | 129 | 130 | |||||||||||||||
AT&T INC 3.550% 9/15/55 | 638 | 640 | |||||||||||||||
ATMOS ENERGY CORP 0.625% 3/09/23 | 115 | 115 | |||||||||||||||
ATMOS ENERGY CORP 5.500% 6/15/41 | 100 | 133 | |||||||||||||||
AUTOZONE INC 1.650% 1/15/31 | 190 | 179 | |||||||||||||||
BAKER HUGHES HLDGS L 5.125% 9/15/40 | 50 | 62 | |||||||||||||||
BALTIMORE GAS & ELEC 2.900% 6/15/50 | 110 | 109 | |||||||||||||||
BALTIMORE GAS & ELEC 3.500% 8/15/46 | 70 | 76 | |||||||||||||||
BANCO SANTANDER SA 1.849% 3/25/26 | 400 | 398 | |||||||||||||||
BANCO SANTANDER SA 2.749% 12/03/30 | 200 | 196 | |||||||||||||||
BAT CAPITAL CORP 3.734% 9/25/40 | 130 | 125 | |||||||||||||||
BAT CAPITAL CORP 3.984% 9/25/50 | 200 | 192 | |||||||||||||||
BAT CAPITAL CORP 4.390% 8/15/37 | 220 | 232 | |||||||||||||||
BAT CAPITAL CORP 4.540% 8/15/47 | 55 | 58 | |||||||||||||||
BAT INTL FINANCE PLC 1.668% 3/25/26 | 145 | 142 | |||||||||||||||
BAXALTA INC 3.600% 6/23/22 | 15 | 15 | |||||||||||||||
BAXALTA INC 5.250% 6/23/45 | 7 | 9 | |||||||||||||||
* | BERKSHIRE HATHAWAY 4.200% 8/15/48 | 200 | 243 | ||||||||||||||
* | BERKSHIRE HATHAWAY 4.450% 1/15/49 | 235 | 290 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
19
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
BIOGEN INC 2.250% 5/01/30 | 464 | 457 | |||||||||||||||
BIOGEN INC 3.150% 5/01/50 | 75 | 72 | |||||||||||||||
BLACKSTONE SECURED 3.650% 7/14/23 | 195 | 201 | |||||||||||||||
BOARDWALK PIPELINES 3.400% 2/15/31 | 165 | 170 | |||||||||||||||
BOEING CO 1.433% 2/04/24 | 445 | 444 | |||||||||||||||
BOEING CO 2.196% 2/04/26 | 275 | 275 | |||||||||||||||
BOEING CO 2.750% 2/01/26 | 330 | 339 | |||||||||||||||
BOEING CO 3.100% 5/01/26 | 525 | 547 | |||||||||||||||
BOEING CO 3.250% 3/01/28 | 251 | 260 | |||||||||||||||
BOEING CO 4.875% 5/01/25 | 135 | 148 | |||||||||||||||
BOEING CO 5.040% 5/01/27 | 245 | 276 | |||||||||||||||
BOEING CO 5.150% 5/01/30 | 210 | 245 | |||||||||||||||
BOEING CO 5.705% 5/01/40 | 175 | 225 | |||||||||||||||
BOSTON PROPERTIES LP 3.125% 9/01/23 | 30 | 31 | |||||||||||||||
BOSTON SCIENTIFIC CO 4.000% 3/01/29 | 136 | 151 | |||||||||||||||
BP CAP MARKETS AMERI 2.939% 6/04/51 | 345 | 331 | |||||||||||||||
BP CAP MARKETS AMERI 3.017% 1/16/27 | 135 | 143 | |||||||||||||||
BRISTOL-MYERS SQUIBB 4.125% 6/15/39 | 122 | 144 | |||||||||||||||
BRISTOL-MYERS SQUIBB 5.000% 8/15/45 | 171 | 227 | |||||||||||||||
BRIXMOR OPERATING PA 2.250% 4/01/28 | 220 | 219 | |||||||||||||||
BRIXMOR OPERATING PA 2.500% 8/16/31 | 115 | 113 | |||||||||||||||
BRIXMOR OPERATING PA 3.850% 2/01/25 | 120 | 127 | |||||||||||||||
BROADCOM INC 4.750% 4/15/29 | 330 | 376 | |||||||||||||||
BROOKFIELD FINANCE 4.700% 9/20/47 | 64 | 79 | |||||||||||||||
BROOKFIELD FINANCE 4.850% 3/29/29 | 96 | 111 | |||||||||||||||
BROWN & BROWN INC 2.375% 3/15/31 | 100 | 97 | |||||||||||||||
BUCKEYE PARTNERS LP 5.850% 11/15/43 | 195 | 191 | |||||||||||||||
BUNGE LTD FINANCE CO 2.750% 5/14/31 | 260 | 264 | |||||||||||||||
BURLINGTN NORTH SANT 4.375% 9/01/42 | 130 | 158 | |||||||||||||||
BURLINGTON NORTH SAN 6.150% 5/01/37 | 60 | 85 | |||||||||||||||
CAMPBELL SOUP CO 3.125% 4/24/50 | 66 | 65 | |||||||||||||||
CANADIAN PACIFIC RAI 3.000% 12/02/41 | 223 | 228 | |||||||||||||||
CANADIAN PACIFIC RR 5.750% 3/15/33 | 70 | 90 | |||||||||||||||
CAPITAL ONE FINANCIA 3.300% 10/30/24 | 350 | 368 | |||||||||||||||
CAPITAL ONE FINANCIA 3.750% 7/28/26 | 88 | 94 | |||||||||||||||
CBS CORP 4.000% 1/15/26 | 292 | 315 | |||||||||||||||
CELANESE US HOLDINGS 3.500% 5/08/24 | 118 | 123 | |||||||||||||||
CENTERPOINT ENER HOU 3.000% 2/01/27 | 91 | 96 | |||||||||||||||
CHARTER COMM OPT LLC 3.500% 3/01/42 | 375 | 364 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
20
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
CHARTER COMM OPT LLC 3.700% 4/01/51 | 130 | 126 | |||||||||||||||
CHARTER COMM OPT LLC 5.375% 4/01/38 | 48 | 57 | |||||||||||||||
CHARTER COMM OPT LLC 6.384% 10/23/35 | 652 | 843 | |||||||||||||||
CHARTER COMM OPT LLC 6.834% 10/23/55 | 70 | 100 | |||||||||||||||
CHENIERE CORP CHRIST 5.875% 3/31/25 | 405 | 449 | |||||||||||||||
CHEVRON CORP 2.566% 5/16/23 | 210 | 215 | |||||||||||||||
CIGNA CORP 3.400% 3/01/27 | 415 | 446 | |||||||||||||||
CIGNA CORP 4.500% 2/25/26 | 108 | 119 | |||||||||||||||
CINCINNATI FINL CORP 6.920% 5/15/28 | 50 | 64 | |||||||||||||||
CITIGROUP INC 4.450% 9/29/27 | 21 | 23 | |||||||||||||||
CITIZENS FINANCIAL 2.638% 9/30/32 | 47 | 46 | |||||||||||||||
CLEVELAND ELECTRIC 5.950% 12/15/36 | 40 | 53 | |||||||||||||||
CMS ENERGY CORP 2.950% 2/15/27 | 39 | 40 | |||||||||||||||
CMS ENERGY CORP 3.875% 3/01/24 | 180 | 189 | |||||||||||||||
COCA-COLA FEMSA SAB 1.850% 9/01/32 | 205 | 193 | |||||||||||||||
COCA-COLA FEMSA SAB 2.750% 1/22/30 | 190 | 194 | |||||||||||||||
COMCAST CORP 2.350% 1/15/27 | 360 | 373 | |||||||||||||||
COMCAST CORP 3.200% 7/15/36 | 200 | 213 | |||||||||||||||
COMCAST CORP 3.400% 4/01/30 | 1,375 | 1,501 | |||||||||||||||
COMCAST CORP 3.900% 3/01/38 | 55 | 62 | |||||||||||||||
COMCAST CORP 4.250% 1/15/33 | 150 | 176 | |||||||||||||||
COMMONSPIRIT HEALTH 2.782% 10/01/30 | 545 | 558 | |||||||||||||||
COMMONWEALTH EDISON 3.650% 6/15/46 | 45 | 50 | |||||||||||||||
COMMONWEALTH EDISON 3.750% 8/15/47 | 70 | 79 | |||||||||||||||
CONAGRA BRANDS INC 5.400% 11/01/48 | 100 | 135 | |||||||||||||||
CONSTELLATION BRANDS 4.400% 11/15/25 | 75 | 82 | |||||||||||||||
CONTL AIRLINES 2012- 4.000% 10/29/24 | 431 | 447 | |||||||||||||||
CORNING INC 3.900% 11/15/49 | 100 | 112 | |||||||||||||||
CORPORATE OFFICE PRO 2.000% 1/15/29 | 90 | 87 | |||||||||||||||
CORPORATE OFFICE PRO 2.750% 4/15/31 | 362 | 360 | |||||||||||||||
CROWN CASTLE INTL CO 2.250% 1/15/31 | 295 | 287 | |||||||||||||||
CSX CORP 6.000% 10/01/36 | 175 | 236 | |||||||||||||||
CVS HEALTH CORP 2.700% 8/21/40 | 500 | 481 | |||||||||||||||
CVS PASS-THROUGH TRU 6.036% 12/10/28 | — | 0 | |||||||||||||||
DDR CORP 3.625% 2/01/25 | 61 | 64 | |||||||||||||||
DELL INTL L L C / EM 5.450% 6/15/23 | 35 | 37 | |||||||||||||||
DELL INTL L L C / EM 6.020% 6/15/26 | 673 | 778 | |||||||||||||||
DELTA AIR LINES 2015 3.625% 7/30/27 | 1,035 | 1,087 | |||||||||||||||
DELTA AIRLINES 2015B 4.250% 7/30/23 | 261 | 269 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
21
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
DH EUROPE FINANCE II 3.250% 11/15/39 | 80 | 85 | |||||||||||||||
DIAMONDBACK ENERGY 3.250% 12/01/26 | 150 | 158 | |||||||||||||||
DIAMONDBACK ENERGY 4.750% 5/31/25 | 345 | 378 | |||||||||||||||
DIGITAL REALTY TRUST 3.700% 8/15/27 | 39 | 42 | |||||||||||||||
DISCOVERY COMMUNICAT 3.450% 3/15/25 | 120 | 126 | |||||||||||||||
DISCOVERY COMMUNICAT 5.200% 9/20/47 | 275 | 341 | |||||||||||||||
DOLLAR GENERAL CORP 4.125% 5/01/28 | 70 | 78 | |||||||||||||||
DOMINION ENERGY INC 3.375% 4/01/30 | 210 | 223 | |||||||||||||||
DOMINION RESOURCES 2.750% 9/15/22 | 66 | 67 | |||||||||||||||
DOMINION RESOURCES 2.850% 8/15/26 | 76 | 79 | |||||||||||||||
DOWDUPONT INC 5.319% 11/15/38 | 100 | 129 | |||||||||||||||
DR PEPPER SNAPPLE GR 3.430% 6/15/27 | 35 | 37 | |||||||||||||||
DR PEPPER SNAPPLE GR 4.420% 12/15/46 | 70 | 83 | |||||||||||||||
DTE ENERGY CO 1.050% 6/01/25 | 380 | 372 | |||||||||||||||
DUKE ENERGY CORP 2.650% 9/01/26 | 43 | 45 | |||||||||||||||
DUKE ENERGY CORP 3.400% 6/15/29 | 86 | 91 | |||||||||||||||
DUKE ENERGY CORP 6.000% 12/01/28 | 80 | 99 | |||||||||||||||
DUKE ENERGY FLORIDA 3.800% 7/15/28 | 200 | 220 | |||||||||||||||
DUKE ENERGY OHIO INC 4.300% 2/01/49 | 60 | 72 | |||||||||||||||
DUKE ENERGY PROGRESS 2.900% 8/15/51 | 180 | 178 | |||||||||||||||
DUKE ENERGY PROGRESS 4.200% 8/15/45 | 130 | 155 | |||||||||||||||
DUKE REALTY LP 2.875% 11/15/29 | 90 | 94 | |||||||||||||||
DUKE REALTY LP 3.250% 6/30/26 | 23 | 24 | |||||||||||||||
EATON CORP 4.000% 11/02/32 | 170 | 195 | |||||||||||||||
ECOPETROL SA 5.875% 9/18/23 | 128 | 136 | |||||||||||||||
EDISON INTERNATIONAL 3.550% 11/15/24 | 100 | 105 | |||||||||||||||
EMERA US FINANCE LP 3.550% 6/15/26 | 70 | 74 | |||||||||||||||
EMERA US FINANCE LP 4.750% 6/15/46 | 150 | 177 | |||||||||||||||
ENABLE MIDSTREAM PAR 4.150% 9/15/29 | 141 | 151 | |||||||||||||||
ENABLE MIDSTREAM PAR 4.950% 5/15/28 | 55 | 61 | |||||||||||||||
ENERGY TRANSFER OPER 6.250% 4/15/49 | 209 | 273 | |||||||||||||||
ENERGY TRANSFER PART 4.750% 1/15/26 | 420 | 459 | |||||||||||||||
ENERGY TRANSFER PART 5.500% 6/01/27 | 36 | 41 | |||||||||||||||
ENERGY TRANSFER PART 6.050% 6/01/41 | 268 | 328 | |||||||||||||||
ENTERGY LOUISIANA LL 2.400% 10/01/26 | 59 | 60 | |||||||||||||||
ENTERGY LOUISIANA LL 2.900% 3/15/51 | 140 | 137 | |||||||||||||||
ENTERGY LOUISIANA LL 3.050% 6/01/31 | 57 | 60 | |||||||||||||||
ENTERGY LOUISIANA LL 3.120% 9/01/27 | 40 | 42 | |||||||||||||||
ENTERGY MISSISSIPPI 3.850% 6/01/49 | 190 | 218 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
22
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
ENTERPRISE PRODUCTS 4.900% 5/15/46 | 180 | 218 | |||||||||||||||
EQUINIX INC 2.000% 5/15/28 | 529 | 519 | |||||||||||||||
EQUINIX INC 2.900% 11/18/26 | 305 | 316 | |||||||||||||||
ESSEX PORTFOLIO LP 1.650% 1/15/31 | 200 | 186 | |||||||||||||||
ESSEX PORTFOLIO LP 2.650% 3/15/32 | 190 | 191 | |||||||||||||||
EVERGY INC 2.900% 9/15/29 | 235 | 240 | |||||||||||||||
EVERSOURCE ENERGY 2.900% 10/01/24 | 350 | 362 | |||||||||||||||
EXELON CORP 5.100% 6/15/45 | 170 | 219 | |||||||||||||||
EXELON GENERATION CO 3.250% 6/01/25 | 340 | 356 | |||||||||||||||
EXELON GENERATION CO 4.250% 6/15/22 | 75 | 76 | |||||||||||||||
EXELON GENERATION CO 6.250% 10/01/39 | 180 | 225 | |||||||||||||||
EXXON MOBIL CORPORAT 2.995% 8/16/39 | 400 | 405 | |||||||||||||||
FISERV INC 4.400% 7/01/49 | 90 | 107 | |||||||||||||||
FOMENTO ECONOMICO ME 3.500% 1/16/50 | 260 | 272 | |||||||||||||||
FORD FOUNDATION/THE 2.815% 6/01/70 | 90 | 93 | |||||||||||||||
FORTIS INC 3.055% 10/04/26 | 155 | 161 | |||||||||||||||
GE CAPITAL INTL FUND 4.418% 11/15/35 | 325 | 388 | |||||||||||||||
GENERAL DYNAMICS COR 4.250% 4/01/50 | 170 | 217 | |||||||||||||||
GENERAL MOTORS CO 6.125% 10/01/25 | 135 | 155 | |||||||||||||||
GENERAL MOTORS FINL 2.350% 1/08/31 | 322 | 313 | |||||||||||||||
GENERAL MOTORS FINL 2.750% 6/20/25 | 360 | 371 | |||||||||||||||
GENERAL MOTORS FINL 4.350% 1/17/27 | 117 | 129 | |||||||||||||||
GILEAD SCIENCES INC 2.600% 10/01/40 | 400 | 385 | |||||||||||||||
GLOBAL PAYMENTS INC 3.200% 8/15/29 | 186 | 194 | |||||||||||||||
GLOBAL PAYMENTS INC 4.150% 8/15/49 | 195 | 222 | |||||||||||||||
GOLDMAN SACHS GROUP 3.500% 11/16/26 | 150 | 160 | |||||||||||||||
GOLDMAN SACHS GROUP 3.800% 3/15/30 | 200 | 220 | |||||||||||||||
GOLDMAN SACHS GROUP 3.850% 1/26/27 | 224 | 241 | |||||||||||||||
HACKENSACK MERIDIAN 2.675% 9/01/41 | 445 | 434 | |||||||||||||||
HACKENSACK MERIDIAN 2.875% 9/01/50 | 250 | 251 | |||||||||||||||
HALLIBURTON CO 3.800% 11/15/25 | 10 | 11 | |||||||||||||||
HALLIBURTON CO 4.850% 11/15/35 | 43 | 51 | |||||||||||||||
HALLIBURTON COMPANY 6.700% 9/15/38 | 50 | 69 | |||||||||||||||
HANOVER INSURANCE GR 2.500% 9/01/30 | 140 | 139 | |||||||||||||||
HARRIS CORPORATION 4.854% 4/27/35 | 40 | 49 | |||||||||||||||
HARTFORD FINL SVCS 4.300% 4/15/43 | 90 | 106 | |||||||||||||||
HASBRO INC 3.900% 11/19/29 | 345 | 380 | |||||||||||||||
HCA INC 3.500% 7/15/51 | 195 | 199 | |||||||||||||||
HCA INC 5.125% 6/15/39 | 175 | 216 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
23
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
HCA INC 5.250% 6/15/26 | 600 | 675 | |||||||||||||||
HCP INC 3.250% 7/15/26 | 350 | 372 | |||||||||||||||
HCP INC 3.500% 7/15/29 | 185 | 201 | |||||||||||||||
HEALTH CARE REIT INC 6.500% 3/15/41 | 140 | 203 | |||||||||||||||
HEALTHPEAK PROPERTIE 2.125% 12/01/28 | 271 | 271 | |||||||||||||||
HESS CORP 6.000% 1/15/40 | 40 | 51 | |||||||||||||||
HOLLYFRONTIER CORP 2.625% 10/01/23 | 275 | 280 | |||||||||||||||
HOLLYFRONTIER CORP 5.875% 4/01/26 | 155 | 174 | |||||||||||||||
HOME DEPOT INC 3.300% 4/15/40 | 210 | 228 | |||||||||||||||
HSBC HOLDINGS PLC 6.100% 1/14/42 | 280 | 400 | |||||||||||||||
HSBC HOLDINGS PLC 7.350% 11/27/32 | 224 | 299 | |||||||||||||||
IBM CORP 3.500% 5/15/29 | 1,350 | 1,465 | |||||||||||||||
ING GROEP NV 3.950% 3/29/27 | 200 | 219 | |||||||||||||||
INTL FLAVOR & FRAGRA 5.000% 9/26/48 | 274 | 352 | |||||||||||||||
INTL LEASE FINANCE 5.875% 8/15/22 | 150 | 155 | |||||||||||||||
INTL LEASE FINANCE 8.625% 1/15/22 | 100 | 100 | |||||||||||||||
INTL PAPER CO 8.700% 6/15/38 | 40 | 65 | |||||||||||||||
JB HUNT TRANSPRT SVC 3.850% 3/15/24 | 100 | 105 | |||||||||||||||
JERSEY CENTRAL PWR 6.150% 6/01/37 | 30 | 40 | |||||||||||||||
KANSAS CITY POWER & 4.200% 3/15/48 | 60 | 71 | |||||||||||||||
KANSAS CITY SOUTHERN 4.700% 5/01/48 | 217 | 270 | |||||||||||||||
KINDER MORGAN INC/DE 5.050% 2/15/46 | 40 | 48 | |||||||||||||||
KLA CORP 3.300% 3/01/50 | 100 | 107 | |||||||||||||||
KOHL'S CORPORATION 3.375% 5/01/31 | 443 | 451 | |||||||||||||||
KROGER CO 3.950% 1/15/50 | 175 | 201 | |||||||||||||||
L3HARRIS TECH INC 1.800% 1/15/31 | 230 | 220 | |||||||||||||||
LASMO USA INC DTD 7.300% 11/15/27 | 70 | 89 | |||||||||||||||
LEAR CORP 2.600% 1/15/32 | 85 | 84 | |||||||||||||||
LENNAR CORP 4.500% 4/30/24 | 100 | 106 | |||||||||||||||
LIFE STORAGE LP 2.400% 10/15/31 | 135 | 133 | |||||||||||||||
LIFE STORAGE LP 4.000% 6/15/29 | 214 | 237 | |||||||||||||||
LLOYDS BANK PLC 4.500% 11/04/24 | 235 | 253 | |||||||||||||||
LLOYDS BANKING GROUP 4.375% 3/22/28 | 200 | 224 | |||||||||||||||
LOUISVILLE GAS & ELE 3.300% 10/01/25 | 71 | 75 | |||||||||||||||
LOUISVILLE GAS & ELE 4.650% 11/15/43 | 100 | 122 | |||||||||||||||
LOWE'S COS INC 2.625% 4/01/31 | 230 | 235 | |||||||||||||||
LOWE'S COS INC 3.000% 10/15/50 | 225 | 222 | |||||||||||||||
LYB INT FINANCE III 3.625% 4/01/51 | 100 | 106 | |||||||||||||||
LYB INTL FINANCE BV 4.875% 3/15/44 | 170 | 210 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
24
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
MARATHON PETROLEUM 4.700% 5/01/25 | 138 | 151 | |||||||||||||||
MARSH & MCLENNAN COS 4.375% 3/15/29 | 325 | 370 | |||||||||||||||
MARTIN MARIETTA MATE 3.500% 12/15/27 | 220 | 237 | |||||||||||||||
MASCO CORP 2.000% 10/01/30 | 90 | 86 | |||||||||||||||
MASCO CORP 6.500% 8/15/32 | 110 | 145 | |||||||||||||||
MASTERCARD INC 3.850% 3/26/50 | 125 | 150 | |||||||||||||||
MCDONALD'S CORP 3.500% 7/01/27 | 200 | 217 | |||||||||||||||
MCDONALD'S CORP 4.200% 4/01/50 | 125 | 151 | |||||||||||||||
MCDONALD'S CORP 4.700% 12/09/35 | 101 | 123 | |||||||||||||||
MCDONALD'S CORP 6.300% 10/15/37 | 38 | 53 | |||||||||||||||
MDC HOLDINGS INC 2.500% 1/15/31 | 315 | 305 | |||||||||||||||
MEAD JOHNSON NUTRITI 4.125% 11/15/25 | 120 | 131 | |||||||||||||||
MEAD JOHNSON NUTRITI 4.600% 6/01/44 | 35 | 45 | |||||||||||||||
MEMORIAL HEALTH SERV 3.447% 11/01/49 | 310 | 341 | |||||||||||||||
MICROSOFT CORP 3.041% 3/17/62 | 46 | 49 | |||||||||||||||
MID-AMERICA APARTMEN 1.700% 2/15/31 | 160 | 153 | |||||||||||||||
MIDMICHIGAN HEALTH 3.409% 6/01/50 | 90 | 96 | |||||||||||||||
MITSUBISHI UFJ FIN 2.048% 7/17/30 | 360 | 350 | |||||||||||||||
MITSUBISHI UFJ FIN 3.751% 7/18/39 | 290 | 329 | |||||||||||||||
MOODY'S CORPORATION 3.250% 5/20/50 | 210 | 219 | |||||||||||||||
* | MORGAN STANLEY 3.125% 7/27/26 | 500 | 530 | ||||||||||||||
* | MORGAN STANLEY 3.625% 1/20/27 | 755 | 818 | ||||||||||||||
MPLX LP 4.800% 2/15/29 | 139 | 159 | |||||||||||||||
MYLAN INC 5.400% 11/29/43 | 50 | 62 | |||||||||||||||
NATIONAL RETAIL PROP 3.600% 12/15/26 | 62 | 66 | |||||||||||||||
NATIONAL RETAIL PROP 4.000% 11/15/25 | 218 | 236 | |||||||||||||||
NISOURCE INC 1.700% 2/15/31 | 200 | 187 | |||||||||||||||
NOMURA HOLDINGS INC 2.648% 1/16/25 | 276 | 284 | |||||||||||||||
NOMURA HOLDINGS INC 2.679% 7/16/30 | 200 | 199 | |||||||||||||||
NORDSTROM INC 4.000% 3/15/27 | 295 | 296 | |||||||||||||||
NORDSTROM INC 4.250% 8/01/31 | 331 | 325 | |||||||||||||||
NORFOLK SOUTHERN COR 3.942% 11/01/47 | 351 | 406 | |||||||||||||||
NORFOLK SOUTHERN COR 4.837% 10/01/41 | 235 | 296 | |||||||||||||||
NORTHEASTERN UNIVERS 2.894% 10/01/50 | 400 | 398 | |||||||||||||||
NORTHERN STATE PWR- 6.200% 7/01/37 | 50 | 72 | |||||||||||||||
NORTHROP GRUMMAN COR 5.250% 5/01/50 | 335 | 469 | |||||||||||||||
NUCOR CORP 2.979% 12/15/55 | 50 | 49 | |||||||||||||||
NUTRIEN LTD 4.125% 3/15/35 | 100 | 114 | |||||||||||||||
NUTRIEN LTD 5.000% 4/01/49 | 55 | 74 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
25
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
NVENT FINANCE SARL 4.550% 4/15/28 | 98 | 109 | |||||||||||||||
OFFICE PPTY INCOME 2.400% 2/01/27 | 280 | 271 | |||||||||||||||
OFFICE PPTY INCOME 2.650% 6/15/26 | 350 | 347 | |||||||||||||||
OHIO POWER COMPANY 2.900% 10/01/51 | 240 | 231 | |||||||||||||||
ONCOR ELECTRIC DELIV 3.100% 9/15/49 | 215 | 224 | |||||||||||||||
ONEBEACON US HOLDING 4.600% 11/09/22 | 150 | 154 | |||||||||||||||
ORACLE CORP 1.650% 3/25/26 | 300 | 298 | |||||||||||||||
ORACLE CORP 2.300% 3/25/28 | 400 | 399 | |||||||||||||||
ORACLE CORP 3.850% 7/15/36 | 267 | 282 | |||||||||||||||
ORACLE CORP 3.900% 5/15/35 | 233 | 250 | |||||||||||||||
ORACLE CORP 3.950% 3/25/51 | 174 | 181 | |||||||||||||||
ORACLE CORP 4.000% 7/15/46 | 120 | 125 | |||||||||||||||
OTIS WORLDWIDE CORP 2.565% 2/15/30 | 200 | 203 | |||||||||||||||
PACIFIC GAS & 2.950% 3/01/26 | 105 | 107 | |||||||||||||||
PACIFIC GAS & ELECTR 1.367% 3/10/23 | 390 | 388 | |||||||||||||||
PACIFIC GAS & ELECTR 1.700% 11/15/23 | 135 | 135 | |||||||||||||||
PACIFIC GAS & ELECTR 1.750% 6/16/22 | 450 | 450 | |||||||||||||||
PACIFIC GAS & ELECTR 3.750% 8/15/42 | 50 | 47 | |||||||||||||||
PACIFIC GAS & ELECTR 4.300% 3/15/45 | 85 | 86 | |||||||||||||||
PACIFIC GAS & ELECTR 4.450% 4/15/42 | 200 | 203 | |||||||||||||||
PACIFIC GAS AND ELEC 3.450% 7/01/25 | 170 | 176 | |||||||||||||||
PECO ENERGY CO 2.800% 6/15/50 | 100 | 98 | |||||||||||||||
PEPPERDINE UNIV 3.301% 12/01/59 | 150 | 159 | |||||||||||||||
PETRO-CANADA 5.350% 7/15/33 | 100 | 121 | |||||||||||||||
PETRO-CANADA 6.800% 5/15/38 | 80 | 112 | |||||||||||||||
PHILLIPS 66 PARTNERS 3.150% 12/15/29 | 105 | 109 | |||||||||||||||
PHILLIPS 66 PARTNERS 3.550% 10/01/26 | 15 | 16 | |||||||||||||||
PHILLIPS 66 PARTNERS 3.605% 2/15/25 | 60 | 63 | |||||||||||||||
PHYSICIANS REALTY LP 2.625% 11/01/31 | 140 | 140 | |||||||||||||||
PIEDMONT HEALTHCARE 2.864% 1/01/52 | 245 | 239 | |||||||||||||||
PIONEER NATURAL RESO 1.900% 8/15/30 | 280 | 266 | |||||||||||||||
PLAINS ALL AMER PIPE 4.700% 6/15/44 | 130 | 138 | |||||||||||||||
PLAINS ALL AMER PIPE 5.150% 6/01/42 | 185 | 203 | |||||||||||||||
PRECISION CASTPARTS 3.900% 1/15/43 | 250 | 288 | |||||||||||||||
PRECISION CASTPARTS 4.375% 6/15/45 | 80 | 99 | |||||||||||||||
* | PRINCIPAL FINANCIAL 3.700% 5/15/29 | 105 | 116 | ||||||||||||||
PROGRESS ENERGY INC 7.000% 10/30/31 | 50 | 68 | |||||||||||||||
PROV ST JOSEPH HLTH 2.746% 10/01/26 | 28 | 29 | |||||||||||||||
PSI ENERGY INC 6.120% 10/15/35 | 50 | 67 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
26
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
PUBLIC SERVICE COLOR 3.550% 6/15/46 | 27 | 29 | |||||||||||||||
PUBLIC SERVICE ELECT 2.250% 9/15/26 | 70 | 72 | |||||||||||||||
PUBLIC STORAGE 1.950% 11/09/28 | 124 | 124 | |||||||||||||||
PUBLIC STORAGE 2.250% 11/09/31 | 104 | 105 | |||||||||||||||
QUANTA SERVICES INC 2.350% 1/15/32 | 295 | 286 | |||||||||||||||
QUEST DIAGNOSTICS IN 2.800% 6/30/31 | 105 | 108 | |||||||||||||||
RAYTHEON TECH CORP 2.375% 3/15/32 | 273 | 273 | |||||||||||||||
RAYTHEON TECH CORP 4.350% 4/15/47 | 17 | 21 | |||||||||||||||
REALTY INCOME CORP 1.800% 3/15/33 | 145 | 136 | |||||||||||||||
REGENCY CENTERS LP 2.950% 9/15/29 | 180 | 187 | |||||||||||||||
REGENCY CENTERS LP 4.125% 3/15/28 | 200 | 223 | |||||||||||||||
REGENERON PHARMACEUT 1.750% 9/15/30 | 490 | 463 | |||||||||||||||
REPUBLIC SERVICES IN 1.450% 2/15/31 | 150 | 139 | |||||||||||||||
REYNOLDS AMERICAN IN 5.700% 8/15/35 | 100 | 118 | |||||||||||||||
ROPER TECHNOLOGIES 1.400% 9/15/27 | 170 | 165 | |||||||||||||||
ROPER TECHNOLOGIES 2.000% 6/30/30 | 130 | 125 | |||||||||||||||
ROYAL BK SCOTLND GRP 4.800% 4/05/26 | 200 | 222 | |||||||||||||||
RYDER SYSTEM INC 1.750% 9/01/26 | 375 | 372 | |||||||||||||||
SABINE PASS LIQUEFAC 4.500% 5/15/30 | 220 | 248 | |||||||||||||||
SABRA HEALTH CARE LP 3.200% 12/01/31 | 230 | 225 | |||||||||||||||
SAFEHOLD OPERATING 2.800% 6/15/31 | 545 | 538 | |||||||||||||||
SAN DIEGO G & E 2.950% 8/15/51 | 195 | 196 | |||||||||||||||
SAN DIEGO G & E 6.125% 9/15/37 | 80 | 108 | |||||||||||||||
SANTANDER UK GROUP 3.571% 1/10/23 | 200 | 200 | |||||||||||||||
SHELL INTERNATIONAL 5.500% 3/25/40 | 165 | 224 | |||||||||||||||
SOUTHERN CAL EDISON 3.650% 3/01/28 | 100 | 108 | |||||||||||||||
SOUTHERN CAL EDISON 4.050% 3/15/42 | 150 | 162 | |||||||||||||||
SOUTHERN CAL EDISON 4.125% 3/01/48 | 140 | 157 | |||||||||||||||
SOUTHERN CALIF EDISO 5.550% 1/15/36 | 100 | 123 | |||||||||||||||
SOUTHERN CALIF GAS 3.200% 6/15/25 | 150 | 157 | |||||||||||||||
SOUTHERN CO GAS CAPI 3.150% 9/30/51 | 165 | 163 | |||||||||||||||
SOUTHERN CO GAS CAPI 3.950% 10/01/46 | 26 | 29 | |||||||||||||||
SOUTHERN POWER CO 5.150% 9/15/41 | 70 | 86 | |||||||||||||||
SOUTHWEST GAS CORP 3.800% 9/29/46 | 49 | 54 | |||||||||||||||
SOUTHWESTERN PUBLIC 4.500% 8/15/41 | 30 | 36 | |||||||||||||||
SPIRIT AIR 2017-1 PT 3.375% 2/15/30 | 62 | 63 | |||||||||||||||
STEEL DYNAMICS INC 1.650% 10/15/27 | 101 | 99 | |||||||||||||||
SUMITOMO MITSUI FINL 1.474% 7/08/25 | 200 | 199 | |||||||||||||||
SUNOCO LOGISTICS PAR 3.900% 7/15/26 | 350 | 376 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
27
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
TAKEDA PHARMACEUTICA 3.025% 7/09/40 | 515 | 524 | |||||||||||||||
TAKEDA PHARMACEUTICA 3.175% 7/09/50 | 200 | 202 | |||||||||||||||
TAMPA ELECTRIC CO 4.450% 6/15/49 | 225 | 283 | |||||||||||||||
TECK RESOURCES LIMIT 3.900% 7/15/30 | 100 | 107 | |||||||||||||||
TECK RESOURCES LIMIT 6.250% 7/15/41 | 235 | 312 | |||||||||||||||
TELEFONICA EMISIONES 4.665% 3/06/38 | 150 | 173 | |||||||||||||||
TEXAS HEALTH RESOURC 2.328% 11/15/50 | 200 | 181 | |||||||||||||||
TEXTRON INC 3.000% 6/01/30 | 350 | 361 | |||||||||||||||
THERMO FISHER SCIENT 2.000% 10/15/31 | 170 | 167 | |||||||||||||||
TIME WARNER CABLE IN 5.500% 9/01/41 | 200 | 242 | |||||||||||||||
TIME WARNER CABLE IN 5.875% 11/15/40 | 250 | 312 | |||||||||||||||
T-MOBILE USA INC 2.050% 2/15/28 | 300 | 298 | |||||||||||||||
T-MOBILE USA INC 3.000% 2/15/41 | 420 | 410 | |||||||||||||||
T-MOBILE USA INC 3.500% 4/15/25 | 350 | 371 | |||||||||||||||
T-MOBILE USA INC 3.750% 4/15/27 | 200 | 217 | |||||||||||||||
TOLEDO EDISON COMPAN 6.150% 5/15/37 | 50 | 68 | |||||||||||||||
TOTAL CAPITAL INTL 2.986% 6/29/41 | 780 | 790 | |||||||||||||||
TOYOTA MOTOR CREDIT 3.375% 4/01/30 | 275 | 301 | |||||||||||||||
TRANS-CANADA PIPELIN 6.200% 10/15/37 | 60 | 82 | |||||||||||||||
TRI-STATE GENERATION 4.250% 6/01/46 | 37 | 42 | |||||||||||||||
TUCSON ELECTRIC POWE 4.850% 12/01/48 | 125 | 161 | |||||||||||||||
TYSON FOODS INC 5.150% 8/15/44 | 80 | 104 | |||||||||||||||
UDR INC 1.900% 3/15/33 | 175 | 161 | |||||||||||||||
UDR INC 2.100% 8/01/32 | 250 | 238 | |||||||||||||||
UDR INC 2.950% 9/01/26 | 32 | 33 | |||||||||||||||
UDR INC 3.000% 8/15/31 | 30 | 31 | |||||||||||||||
UNION CARBIDE CORP 7.750% 10/01/96 | 110 | 194 | |||||||||||||||
UNION ELECTRIC CO 2.950% 6/15/27 | 50 | 53 | |||||||||||||||
UNITED AIR 2013-1 A 4.300% 2/15/27 | 163 | 171 | |||||||||||||||
UNITED AIR 2016-1 AA 3.100% 7/07/28 | 158 | 162 | |||||||||||||||
UNITED AIR 2016-1 B 3.650% 1/07/26 | 57 | 57 | |||||||||||||||
UNITED AIR 2016-2 A 3.100% 10/07/28 | 276 | 273 | |||||||||||||||
UNITED AIR 2018-1 A 3.700% 3/01/30 | 382 | 386 | |||||||||||||||
UNITED AIR 2018-1 AA 3.500% 3/01/30 | 164 | 171 | |||||||||||||||
UNITED AIR 2018-1 B 4.600% 3/01/26 | 37 | 38 | |||||||||||||||
UNITED AIR 2019-1 A 4.550% 8/25/31 | 246 | 265 | |||||||||||||||
UNITED AIR 2019-1 AA 4.150% 8/25/31 | 229 | 251 | |||||||||||||||
UNITED TECHNOLOGIES 3.750% 11/01/46 | 105 | 117 | |||||||||||||||
UNITEDHEALTH GROUP 3.250% 5/15/51 | 200 | 216 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
28
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
UNITEDHEALTH GROUP 4.625% 7/15/35 | 124 | 155 | |||||||||||||||
UNIV OF SOUTHERN CAL 3.226% 10/01/20 | 200 | 203 | |||||||||||||||
VALE OVERSEAS LIMITE 3.750% 7/08/30 | 300 | 311 | |||||||||||||||
VALERO ENERGY CORP 2.150% 9/15/27 | 220 | 219 | |||||||||||||||
VALERO ENERGY CORP 7.500% 4/15/32 | 21 | 29 | |||||||||||||||
VENTAS REALTY LP 3.250% 10/15/26 | 25 | 26 | |||||||||||||||
VENTAS REALTY LP 3.850% 4/01/27 | 31 | 34 | |||||||||||||||
VERISK ANALYTICS INC 3.625% 5/15/50 | 200 | 217 | |||||||||||||||
VERIZON COMMUNICATIO 2.987% 10/30/56 | 219 | 207 | |||||||||||||||
VERIZON COMMUNICATIO 3.550% 3/22/51 | 200 | 215 | |||||||||||||||
VERIZON COMMUNICATIO 4.272% 1/15/36 | 50 | 59 | |||||||||||||||
VERIZON COMMUNICATIO 4.400% 11/01/34 | 70 | 82 | |||||||||||||||
VIACOM INC 5.850% 9/01/43 | 105 | 141 | |||||||||||||||
VIATRIS INC 2.300% 6/22/27 | 588 | 591 | |||||||||||||||
VIRGINIA ELEC & POWE 3.800% 9/15/47 | 50 | 56 | |||||||||||||||
VMWARE INC 1.400% 8/15/26 | 680 | 668 | |||||||||||||||
VMWARE INC 2.950% 8/21/22 | 140 | 142 | |||||||||||||||
VMWARE INC 4.650% 5/15/27 | 160 | 180 | |||||||||||||||
VODAFONE GROUP PLC 5.000% 5/30/38 | 300 | 373 | |||||||||||||||
VORNADO REALTY LP 3.500% 1/15/25 | 70 | 73 | |||||||||||||||
VR BANCO SANTANDER 1.722% 9/14/27 | 200 | 196 | |||||||||||||||
VR BANK OF AMERICA 1.734% 7/22/27 | 450 | 447 | |||||||||||||||
VR BANK OF AMERICA 1.898% 7/23/31 | 160 | 153 | |||||||||||||||
VR BANK OF AMERICA 2.087% 6/14/29 | 219 | 217 | |||||||||||||||
VR BANK OF AMERICA 2.496% 2/13/31 | 750 | 752 | |||||||||||||||
VR BANK OF AMERICA 2.572% 10/20/32 | 345 | 347 | |||||||||||||||
VR BANK OF AMERICA 2.676% 6/19/41 | 1,000 | 962 | |||||||||||||||
VR BANK OF AMERICA 2.687% 4/22/32 | 335 | 340 | |||||||||||||||
VR BANK OF AMERICA 3.970% 3/05/29 | 81 | 89 | |||||||||||||||
VR BANK OF AMERICA 3.974% 2/07/30 | 2,465 | 2,715 | |||||||||||||||
VR BANK OF AMERICA 4.330% 3/15/50 | 180 | 223 | |||||||||||||||
VR BANK OF MONTREAL 3.803% 12/15/32 | 67 | 72 | |||||||||||||||
VR BARCLAYS PLC 2.894% 11/24/32 | 200 | 201 | |||||||||||||||
VR BARCLAYS PLC 4.338% 5/16/24 | 200 | 208 | |||||||||||||||
VR BARCLAYS PLC 4.610% 2/15/23 | 220 | 221 | |||||||||||||||
VR CITIGROUP INC 1.122% 1/28/27 | 500 | 487 | |||||||||||||||
VR CITIGROUP INC 2.520% 11/03/32 | 385 | 385 | |||||||||||||||
VR CITIGROUP INC 2.666% 1/29/31 | 500 | 507 | |||||||||||||||
VR CITIGROUP INC 3.668% 7/24/28 | 290 | 313 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
29
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
VR CITIGROUP INC 3.878% 1/24/39 | 50 | 57 | |||||||||||||||
VR CITIGROUP INC 3.980% 3/20/30 | 300 | 331 | |||||||||||||||
VR CITIGROUP INC 4.412% 3/31/31 | 2,605 | 2,975 | |||||||||||||||
VR DEUTSCHE BANK NY 2.129% 11/24/26 | 220 | 220 | |||||||||||||||
VR DEUTSCHE BANK NY 2.222% 9/18/24 | 390 | 395 | |||||||||||||||
VR GOLDMAN SACHS 4.223% 5/01/29 | 2,755 | 3,060 | |||||||||||||||
VR GOLDMAN SACHS GRO 1.992% 1/27/32 | 400 | 384 | |||||||||||||||
VR GOLDMAN SACHS GRO 2.383% 7/21/32 | 290 | 286 | |||||||||||||||
VR GOLDMAN SACHS GRO 3.272% 9/29/25 | 500 | 525 | |||||||||||||||
VR GOLDMAN SACHS GRO 3.691% 6/05/28 | 639 | 688 | |||||||||||||||
VR GOLDMAN SACHS GRO 4.411% 4/23/39 | 210 | 251 | |||||||||||||||
VR HSBC HOLDINGS PLC 2.206% 8/17/29 | 220 | 216 | |||||||||||||||
VR HSBC HOLDINGS PLC 2.357% 8/18/31 | 320 | 313 | |||||||||||||||
VR JOHN DEERE CAPI 1.133% 6/07/23 | 1,116 | 1,123 | |||||||||||||||
* | VR JPMORGAN CHASE & 4.005% 4/23/29 | 2,485 | 2,743 | ||||||||||||||
* | VR JPMORGAN CHASE & 4.203% 7/23/29 | 600 | 671 | ||||||||||||||
VR LLOYDS BANKING GR 2.438% 2/05/26 | 300 | 306 | |||||||||||||||
VR MAGELLAN MIDSTREA 6.400% 5/01/37 | 70 | 91 | |||||||||||||||
VR MANUF & TRADERS 1.098% 5/18/22 | 2,274 | 2,278 | |||||||||||||||
VR MIZUHO FINANCIAL 1.234% 5/22/27 | 284 | 275 | |||||||||||||||
* | VR MORGAN STANLEY 1.794% 2/13/32 | 470 | 445 | ||||||||||||||
* | VR MORGAN STANLEY 3.622% 4/01/31 | 200 | 218 | ||||||||||||||
* | VR MORGAN STANLEY 3.772% 1/24/29 | 1,355 | 1,474 | ||||||||||||||
* | VR MORGAN STANLEY 4.431% 1/23/30 | 137 | 156 | ||||||||||||||
* | VR MORGAN STANLEY 4.457% 4/22/39 | 135 | 162 | ||||||||||||||
VR NATWEST GROUP PLC 1.642% 6/14/27 | 333 | 328 | |||||||||||||||
VR NORTHERN TRUST CO 3.375% 5/08/32 | 38 | 40 | |||||||||||||||
VR PNC BANK NA 0.46345% 2/24/23 | 2,085 | 2,086 | |||||||||||||||
VR ROYAL BK SCOTLND 3.754% 11/01/29 | 236 | 246 | |||||||||||||||
VR ROYAL BK SCOTLND 4.269% 3/22/25 | 200 | 212 | |||||||||||||||
VR ROYAL BK SCOTLND 4.445% 5/08/30 | 235 | 264 | |||||||||||||||
VR SANTANDER UK GROU 1.673% 6/14/27 | 270 | 264 | |||||||||||||||
* | VR WELLS FARGO & 4.478% 4/04/31 | 1,300 | 1,510 | ||||||||||||||
* | VR WELLS FARGO & COM 3.196% 6/17/27 | 535 | 564 | ||||||||||||||
VR WESTPAC BANKING 2.894% 2/04/30 | 250 | 255 | |||||||||||||||
VR WESTPAC BANKING 4.322% 11/23/31 | 120 | 130 | |||||||||||||||
WALT DISNEY COMPANY/ 4.700% 3/23/50 | 170 | 224 | |||||||||||||||
WALT DISNEY COMPANY/ 7.625% 11/30/28 | 100 | 136 | |||||||||||||||
* | WELLS FARGO & COMPAN 4.100% 6/03/26 | 36 | 39 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
30
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
* | WELLS FARGO & COMPAN 4.300% 7/22/27 | 148 | 165 | ||||||||||||||
* | WELLS FARGO & COMPAN 4.900% 11/17/45 | 67 | 84 | ||||||||||||||
WELLTOWER INC 2.700% 2/15/27 | 18 | 19 | |||||||||||||||
WELLTOWER INC 3.100% 1/15/30 | 115 | 120 | |||||||||||||||
WELLTOWER INC 4.250% 4/01/26 | 100 | 110 | |||||||||||||||
WESTPAC BANKING CORP 3.133% 11/18/41 | 175 | 173 | |||||||||||||||
WISCONSIN ENERGY COR 3.550% 6/15/25 | 29 | 31 | |||||||||||||||
WP CAREY INC 2.450% 2/01/32 | 180 | 176 | |||||||||||||||
WP CAREY INC 4.000% 2/01/25 | 200 | 213 | |||||||||||||||
WP CAREY INC 4.250% 10/01/26 | 300 | 328 | |||||||||||||||
WRKCO INC 3.900% 6/01/28 | 90 | 99 | |||||||||||||||
WW GRAINGER INC 4.600% 6/15/45 | 91 | 116 | |||||||||||||||
XCEL ENERGY INC 3.400% 6/01/30 | 200 | 215 | |||||||||||||||
XILINX INC 2.375% 6/01/30 | 584 | 591 | |||||||||||||||
YALE-NEW HAVEN HLTH 2.496% 7/01/50 | 210 | 194 | |||||||||||||||
ZIMMER BIOMET HOLDIN 2.600% 11/24/31 | 233 | 234 | |||||||||||||||
ZOETIS INC 2.000% 5/15/30 | 190 | 187 | |||||||||||||||
Total Corporate Debt Instruments | $ | 131,852 | |||||||||||||||
Common Stocks | |||||||||||||||||
10X GENOMICS INC | 34 | 5,094 | |||||||||||||||
1-800-FLOWERS.COM INC | 46 | 1,076 | |||||||||||||||
ABBVIE INC | 24 | 3,294 | |||||||||||||||
ACADEMY SPORTS & OUTDOORS INC | 25 | 1,109 | |||||||||||||||
ACCO BRANDS CORP | 196 | 1,617 | |||||||||||||||
ACI WORLDWIDE INC | 46 | 1,593 | |||||||||||||||
ADAPTIVE BIOTECHNOLOGIES CORP | 26 | 741 | |||||||||||||||
ADOBE INC | 18 | 10,053 | |||||||||||||||
ADTRAN INC | 85 | 1,932 | |||||||||||||||
ADVANCED MICRO DEVICES INC | 20 | 2,864 | |||||||||||||||
AERCAP HOLDINGS NV | 61 | 3,964 | |||||||||||||||
AFLAC INC | 69 | 4,041 | |||||||||||||||
AGILENT TECHNOLOGIES INC | 28 | 4,518 | |||||||||||||||
AIR LEASE CORP | 38 | 1,669 | |||||||||||||||
AIRBNB INC | 50 | 8,403 | |||||||||||||||
ALASKA AIR GROUP INC | 23 | 1,180 | |||||||||||||||
ALBANY INTL CORP NEW CL A | 34 | 2,965 | |||||||||||||||
ALCOA CORP | 86 | 5,099 | |||||||||||||||
ALEXANDER & BALDWIN INC | 162 | 4,059 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
31
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
ALIGN TECHNOLOGY INC | 32 | 21,080 | |||||||||||||||
ALLEGHANY CORP DEL NEW | 4 | 2,985 | |||||||||||||||
ALLEGRO MICROSYSTEMS INC | 30 | 1,071 | |||||||||||||||
ALLIANT ENERGY CORPORATION | 30 | 1,857 | |||||||||||||||
ALLSCRIPTS HEALTHCARE SOLUTIONS INC | 88 | 1,632 | |||||||||||||||
ALLSTATE CORP | 35 | 4,141 | |||||||||||||||
ALLY FINANCIAL INC | 85 | 4,033 | |||||||||||||||
ALPHABET INC CL C | 4 | 12,422 | |||||||||||||||
AMAZON COM INC COM | 11 | 38,291 | |||||||||||||||
AMERICAN ASSETS TRUST INC | 34 | 1,263 | |||||||||||||||
* | AMERICAN EXPRESS CO | 4,605 | 753,455 | ||||||||||||||
AMERICAN FINL GROUP INC OHIO COM | 29 | 3,996 | |||||||||||||||
AMERICAN HOMES 4 RENT | 102 | 4,444 | |||||||||||||||
AMERICAN TOWER CORP | 24 | 7,119 | |||||||||||||||
AMERICAN WOODMARK CORP COM | 25 | 1,615 | |||||||||||||||
AMERICOLD REALTY TRUST | 73 | 2,405 | |||||||||||||||
* | AMERIPRISE FINL INC | 19 | 5,762 | ||||||||||||||
AMERISOURCEBERGEN CORP | 29 | 3,867 | |||||||||||||||
AMGEN INC | 22 | 4,949 | |||||||||||||||
AMKOR TECHNOLOGIES INC COM | 53 | 1,321 | |||||||||||||||
APRIA INC | 37 | 1,209 | |||||||||||||||
APTARGROUP INC COM | 10 | 1,286 | |||||||||||||||
ARAMARK | 74 | 2,721 | |||||||||||||||
ARCUS BIOSCIENCES INC | 18 | 709 | |||||||||||||||
ARGENX SE-ADR | 4 | 1,401 | |||||||||||||||
ARGO GROUP INTL HLDGS LTD | 22 | 1,295 | |||||||||||||||
ASBURY AUTOMOTIVE GROUP INC | 7 | 1,261 | |||||||||||||||
ASCENDIS PHARMA A/S-ADR | 5 | 686 | |||||||||||||||
ASSURED GUARANTY LTD USD 1.0 | 29 | 1,447 | |||||||||||||||
ASTRAZENECA PLC ADR | 51 | 2,981 | |||||||||||||||
AT & T INC | 308 | 7,586 | |||||||||||||||
ATLANTIC UNION BANKSHARES CORP | 39 | 1,463 | |||||||||||||||
ATLASSIAN CORP PLC-CLASS A | 43 | 16,477 | |||||||||||||||
ATRICURE INC | 20 | 1,377 | |||||||||||||||
AUTODESK INC | 9 | 2,531 | |||||||||||||||
AVALARA INC | 8 | 1,085 | |||||||||||||||
AVEANNA HEALTHCARE HOLDINGS IN | 230 | 1,705 | |||||||||||||||
AXALTA COATING SYSTEMS LTD | 55 | 1,806 | |||||||||||||||
AXON ENTERPRISE INC | 8 | 1,334 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
32
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
AZEK CO INC/THE | 49 | 2,261 | |||||||||||||||
AZZ INC. | 23 | 1,247 | |||||||||||||||
BANC OF CALIFORNIA INC | 122 | 2,398 | |||||||||||||||
BANCO SANTANDER CEN-SPON - ADR | 1,093 | 3,596 | |||||||||||||||
BANDWIDTH INC | 10 | 696 | |||||||||||||||
BANK NEW YORK MELLON CORP COM | 101 | 5,843 | |||||||||||||||
BANK OF AMERICA CORP | 233 | 10,359 | |||||||||||||||
BAXTER INTL INC | 45 | 3,837 | |||||||||||||||
BECTON DICKINSON & CO | 16 | 3,923 | |||||||||||||||
BELDEN INC | 40 | 2,604 | |||||||||||||||
BENTLEY SYSTEMS INC | 41 | 1,977 | |||||||||||||||
* | BERKSHIRE HATHAWAY INC. | 27 | 8,032 | ||||||||||||||
BEST BUY INC | 43 | 4,389 | |||||||||||||||
BIOGEN INC | 16 | 3,719 | |||||||||||||||
BJ'S WHOLESALE CLUB HOLDINGS | 23 | 1,540 | |||||||||||||||
BLOCK INC CL A | 148 | 23,955 | |||||||||||||||
BLOOMIN' BRANDS INC | 59 | 1,230 | |||||||||||||||
BLUEPRINT MEDICINES CORP | 14 | 1,500 | |||||||||||||||
BOK FINANCIAL CORPORATION | 29 | 3,061 | |||||||||||||||
BOOZ ALLEN HAMILTON HOLDING CO | 24 | 1,993 | |||||||||||||||
BOSTON SCIENTIFIC CORP COM | 65 | 2,753 | |||||||||||||||
BP PLC - ADR | 184 | 4,893 | |||||||||||||||
BRANDYWINE RLTY TR BD | 133 | 1,789 | |||||||||||||||
BRIGHTVIEW HOLDINGS INC | 91 | 1,284 | |||||||||||||||
BRISTOL MYERS SQUIBB CO | 154 | 9,621 | |||||||||||||||
BRUNSWICK CORP | 24 | 2,367 | |||||||||||||||
BUILDERS FIRSTSOURCE INC | 25 | 2,107 | |||||||||||||||
CACI INTL INC FORMERLY CACI INC TO | 4 | 1,199 | |||||||||||||||
CADENCE BANK | 58 | 1,719 | |||||||||||||||
CALLAWAY GOLF CO COM | 84 | 2,328 | |||||||||||||||
CANADIAN NAT RES LTD | 115 | 4,853 | |||||||||||||||
CAPITAL ONE FINANCIAL CORP | 23 | 3,337 | |||||||||||||||
CARVANA CO | 24 | 5,588 | |||||||||||||||
CATALENT INC | 16 | 1,997 | |||||||||||||||
CATERPILLAR INC | 19 | 4,011 | |||||||||||||||
CBIZ INC | 51 | 1,987 | |||||||||||||||
CDK GLOBAL INC | 60 | 2,510 | |||||||||||||||
CENTERSPACE | 14 | 1,569 | |||||||||||||||
CHAMPIONX CORP | 56 | 1,140 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
33
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
CHARLES RIVER LABORATORIES | 5 | 2,016 | |||||||||||||||
CHARTER COMMUNICATIONS INC-A | 18 | 11,992 | |||||||||||||||
CHEMED CORP NEW | 2 | 1,270 | |||||||||||||||
CHESAPEAKE ENERGY CORP | 20 | 1,261 | |||||||||||||||
CHEVRON CORP | 27 | 3,173 | |||||||||||||||
CIGNA CORP | 18 | 4,133 | |||||||||||||||
CITIGROUP INC. | 278 | 16,840 | |||||||||||||||
CLEAN HARBORS INC | 18 | 1,767 | |||||||||||||||
CLEARWATER ANALYTICS HLDGS INC | 30 | 689 | |||||||||||||||
CLOUDFLARE INC | 41 | 5,339 | |||||||||||||||
COGNEX CORP | 23 | 1,804 | |||||||||||||||
COLGATE PALMOLIVE CO | 51 | 4,386 | |||||||||||||||
CONAGRA BRANDS INC | 126 | 4,289 | |||||||||||||||
CONOCOPHILLIPS | 113 | 8,165 | |||||||||||||||
CONTINENTAL RESOURCES INC/OK | 81 | 3,626 | |||||||||||||||
COOPER COS INC COM NEW | 7 | 3,100 | |||||||||||||||
CORPORATE OFFICE PROPERTIES COM | 39 | 1,095 | |||||||||||||||
CORTEVA INC | 104 | 4,899 | |||||||||||||||
COSTAR GROUP, INC | 169 | 13,318 | |||||||||||||||
COSTCO WHOLESALE CORP | 19 | 10,990 | |||||||||||||||
CROWN CASTLE INTL CORP | 14 | 2,860 | |||||||||||||||
CROWN HLDGS INC | 30 | 3,355 | |||||||||||||||
CTS CORP | 52 | 1,911 | |||||||||||||||
CUMMINS INC. | 26 | 5,693 | |||||||||||||||
CVS HEALTH CORPORATION | 70 | 7,241 | |||||||||||||||
CYBER-ARK SOFTWARE LTD/ISRAE | 7 | 1,248 | |||||||||||||||
D R HORTON INC COM | 27 | 2,883 | |||||||||||||||
DANA INCORPORATED | 107 | 2,439 | |||||||||||||||
DEXCOM INC | 32 | 17,410 | |||||||||||||||
DIAMONDBACK ENERGY INC | 16 | 1,736 | |||||||||||||||
DISCOVERY COMMUNICATIONS-A | 102 | 2,389 | |||||||||||||||
DOORDASH INC | 66 | 9,814 | |||||||||||||||
DORIAN LPG LTD | 82 | 1,044 | |||||||||||||||
DRIVEN BRANDS HOLDINGS INC | 41 | 1,378 | |||||||||||||||
DUPONT DE NEMOURS INC | 122 | 9,870 | |||||||||||||||
EAGLE MATLS INC | 7 | 1,219 | |||||||||||||||
EASTERN BANKSHARES INC | 69 | 1,391 | |||||||||||||||
EASTMAN CHEM CO COM | 20 | 2,475 | |||||||||||||||
EBAY INC | 24 | 1,609 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
34
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
ECOVYST INC | 297 | 3,039 | |||||||||||||||
EDISON INTL COM | 80 | 5,426 | |||||||||||||||
EDWARDS LIFESCIENCES CORP | 82 | 10,685 | |||||||||||||||
ELASTIC NV | 8 | 1,009 | |||||||||||||||
ELEMENT SOLUTIONS INC | 133 | 3,230 | |||||||||||||||
ELI LILLY & CO COM | 15 | 4,254 | |||||||||||||||
EMCOR GROUP INC COM | 19 | 2,382 | |||||||||||||||
ENCOMPASS HEALTH CORP | 35 | 2,271 | |||||||||||||||
ENCORE WIRE CORP | 9 | 1,336 | |||||||||||||||
ENTEGRIS INC | 9 | 1,289 | |||||||||||||||
ENVESTNET INC | 14 | 1,135 | |||||||||||||||
ENVISTA HOLDINGS CORP | 67 | 3,010 | |||||||||||||||
EOG RESOURCES, INC | 41 | 3,624 | |||||||||||||||
EQUINIX INC | 4 | 3,179 | |||||||||||||||
ESSENT GROUP LTD | 57 | 2,604 | |||||||||||||||
ESTEE LAUDER COMPANIES INC | 8 | 2,851 | |||||||||||||||
EVERCORE INC | 8 | 1,060 | |||||||||||||||
EVEREST RE GROUP LTD | 7 | 1,823 | |||||||||||||||
EVO PAYMENTS INC | 37 | 947 | |||||||||||||||
EXLSERVICE HOLDINGS INC | 9 | 1,251 | |||||||||||||||
EXXON MOBIL CORPORATION | 70 | 4,277 | |||||||||||||||
FASTENAL CO | 92 | 5,881 | |||||||||||||||
FEDEX CORPORATION | 28 | 7,174 | |||||||||||||||
FIRST ADVANTAGE CORP | 88 | 1,685 | |||||||||||||||
FIRST CTZNS BANCSHARES INC CL A | 2 | 1,991 | |||||||||||||||
FIRST MIDWEST BANCORP INC DEL | 67 | 1,375 | |||||||||||||||
FIRST SOURCE CORP | 22 | 1,093 | |||||||||||||||
FIRSTENERGY CORP COM | 112 | 4,641 | |||||||||||||||
FIVERR INTERNATIONAL LTD | 33 | 3,710 | |||||||||||||||
FLOOR & DECOR HOLDINGS INC | 95 | 12,362 | |||||||||||||||
FMC CORP COM NEW | 12 | 1,374 | |||||||||||||||
FNF GROUP | 78 | 4,070 | |||||||||||||||
FOCUS FINANCIAL PARTNERS INC | 18 | 1,051 | |||||||||||||||
FOX CORP | 102 | 3,749 | |||||||||||||||
FULLER H B CO | 20 | 1,631 | |||||||||||||||
GATX CORP | 19 | 1,937 | |||||||||||||||
GENERAL MOTORS CO | 110 | 6,460 | |||||||||||||||
GENTHERM INC | 10 | 835 | |||||||||||||||
GFL ENVIRONMENTAL INC-SUB VT | 85 | 3,202 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
35
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
GLAXOSMITHKLINE PLC - ADR | 124 | 5,463 | |||||||||||||||
GLOBAL PMTS INC W/I | 27 | 3,707 | |||||||||||||||
GLOBAL-E ONLINE LTD | 18 | 1,160 | |||||||||||||||
GREAT WESTERN BANCORP INC | 47 | 1,610 | |||||||||||||||
GUARDANT HEALTH INC | 6 | 570 | |||||||||||||||
HAEMONETICS CORP MASS | 46 | 2,420 | |||||||||||||||
HAMILTON LANE INC | 12 | 1,254 | |||||||||||||||
HANCOCK WHITNEY CORP | 48 | 2,391 | |||||||||||||||
HCA HOLDINGS INC | 14 | 3,571 | |||||||||||||||
HENRY JACK & ASSOC INC COM | 8 | 1,319 | |||||||||||||||
HEXCEL CORP NEW COM | 59 | 3,065 | |||||||||||||||
HOLLEY INC | 121 | 1,570 | |||||||||||||||
HOME DEPOT INC | 12 | 5,128 | |||||||||||||||
HORMEL FOODS CORP COM | 81 | 3,934 | |||||||||||||||
HOSTESS BRANDS INC | 83 | 1,691 | |||||||||||||||
HP INC | 164 | 6,159 | |||||||||||||||
HUBBELL INCORPORATED | 8 | 1,750 | |||||||||||||||
HUNTINGTON BANCSHARES INC | 244 | 3,759 | |||||||||||||||
HUNTSMAN CORP | 143 | 4,978 | |||||||||||||||
HURON CONSULTING GROUP INC | 50 | 2,512 | |||||||||||||||
IAA INC | 23 | 1,172 | |||||||||||||||
ICF INTERNATIONAL INC | 20 | 2,043 | |||||||||||||||
ICU MED INC COM | 8 | 2,010 | |||||||||||||||
IDACORP INC | 25 | 2,793 | |||||||||||||||
IHS MARKIT LTD | 37 | 4,898 | |||||||||||||||
ILLUMINA INC | 3 | 1,257 | |||||||||||||||
INGREDION INC | 57 | 5,551 | |||||||||||||||
INSPIRE MEDICAL SYSTEMS INC | 5 | 1,081 | |||||||||||||||
INTEGRA LIFESCIENCES HOLDING | 25 | 1,673 | |||||||||||||||
INTEGRAL AD SCIENCE HOLDING CO | 29 | 646 | |||||||||||||||
INTEL CORP | 68 | 3,502 | |||||||||||||||
INTERNATIONAL BANCSHARES CRP | 46 | 1,936 | |||||||||||||||
INTERNATIONAL GENERAL INSURANC | 117 | 950 | |||||||||||||||
INTRA-CELLULAR THERAPIES INC | 80 | 4,176 | |||||||||||||||
INTUIT COM | 33 | 21,370 | |||||||||||||||
IQVIA HOLDINGS INC | 16 | 4,615 | |||||||||||||||
ITT INC | 16 | 1,655 | |||||||||||||||
J & J SNACK FOODS CORP | 16 | 2,564 | |||||||||||||||
JACK IN THE BOX, INC. | 24 | 2,136 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
36
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
JAZZ PHARMACEUTICALS PLC | 29 | 3,732 | |||||||||||||||
JFROG LTD | 16 | 475 | |||||||||||||||
JM SMUCKER CO | 29 | 3,912 | |||||||||||||||
JOHNSON & JOHNSON | 49 | 8,423 | |||||||||||||||
JOHNSON CONTROLS INTERNATION | 118 | 9,595 | |||||||||||||||
* | JPMORGAN CHASE & CO | 60 | 9,481 | ||||||||||||||
JUNIPER NETWORKS INC | 206 | 7,369 | |||||||||||||||
KAR AUCTION SERVICES INC | 144 | 2,246 | |||||||||||||||
KEMPER CORP | 37 | 2,178 | |||||||||||||||
KEYCORP NEW | 164 | 3,798 | |||||||||||||||
KIMBERLY CLARK CORP COM | 28 | 4,002 | |||||||||||||||
KKR & CO INC -A | 51 | 3,785 | |||||||||||||||
KONTOOR BRANDS INC | 45 | 2,328 | |||||||||||||||
KROGER CO | 168 | 7,609 | |||||||||||||||
L3HARRIS TECHNOLOGIES INC | 22 | 4,755 | |||||||||||||||
LANTHEUS HOLDINGS INC | 49 | 1,424 | |||||||||||||||
LESLIE'S INC | 78 | 1,845 | |||||||||||||||
LHC GROUP INC | 15 | 2,004 | |||||||||||||||
LITTELFUSE INC COM | 2 | 692 | |||||||||||||||
LIVENT CORP | 43 | 1,046 | |||||||||||||||
LOCKHEED MARTIN CORP | 14 | 5,022 | |||||||||||||||
LUMEN TECHNOLOGIES INC | 277 | 3,480 | |||||||||||||||
LUXFER HOLDINGS PLC | 86 | 1,653 | |||||||||||||||
LXP INDUSTRIAL TRUST REIT | 98 | 1,534 | |||||||||||||||
LYONDELLBASELL INDU-CL A | 39 | 3,615 | |||||||||||||||
MACOM TECHNOLOGY SOLUTIONS H | 18 | 1,370 | |||||||||||||||
MADISON SQUARE GARDEN ENTERTAI | 30 | 2,135 | |||||||||||||||
MAGNA INTL INC CL A | 28 | 2,283 | |||||||||||||||
MAGNOLIA OIL GAS CORP CL A | 95 | 1,793 | |||||||||||||||
MARRIOTT VACATIONS WORLDWIDE C | 9 | 1,538 | |||||||||||||||
MASCO CORP | 56 | 3,897 | |||||||||||||||
MASONITE INTERNATIONAL CORP | 21 | 2,536 | |||||||||||||||
MASTERCARD INC | 14 | 4,922 | |||||||||||||||
MATCH GROUP INC NEW | 139 | 18,382 | |||||||||||||||
MCDONALDS CORP | 16 | 4,396 | |||||||||||||||
MCKESSON CORP | 21 | 5,170 | |||||||||||||||
MEDNAX INC | 70 | 1,910 | |||||||||||||||
MEDTRONIC PLC | 22 | 2,275 | |||||||||||||||
MERIT MEDICAL SYS INC | 27 | 1,678 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
37
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
META PLATFORMS INC | 108 | 35,960 | |||||||||||||||
* | METLIFE INC | 80 | 5,024 | ||||||||||||||
METTLER-TOLEDO INTL INC | 2 | 2,800 | |||||||||||||||
MGIC INVT CORP WI | 167 | 2,414 | |||||||||||||||
MICRON TECHNOLOGY INC | 38 | 3,499 | |||||||||||||||
MIDDLEBY CORP | 7 | 1,337 | |||||||||||||||
MKS INSTRS INC | 14 | 2,525 | |||||||||||||||
MOMENTIVE GLOBAL INC | 48 | 1,026 | |||||||||||||||
MONOLITHIC PWR SYS INC | 2 | 814 | |||||||||||||||
MONRO INC | 31 | 1,826 | |||||||||||||||
MOOG INC CL A | 31 | 2,526 | |||||||||||||||
* | MORGAN STANLEY | 32 | 3,113 | ||||||||||||||
MYT NETHERLANDS PARENT BV ADR | 35 | 744 | |||||||||||||||
NANOSTRING TECHNOLOGIES INC | 22 | 933 | |||||||||||||||
NATIONAL RETAIL PPTYS INC | 54 | 2,588 | |||||||||||||||
NATIONAL VISION HOLDINGS INC | 38 | 1,833 | |||||||||||||||
NEENAH, INC | 47 | 2,191 | |||||||||||||||
NETAPP INC | 53 | 4,912 | |||||||||||||||
NETFLIX INC | 62 | 37,638 | |||||||||||||||
NEW JERSEY RES CORP | 38 | 1,564 | |||||||||||||||
NEW RELIC INC | 12 | 1,342 | |||||||||||||||
NEW YORK CMNTY BANCORP INC | 368 | 4,489 | |||||||||||||||
NEWMONT CORP | 132 | 8,166 | |||||||||||||||
NICE LTD - SPON ADR | 6 | 1,943 | |||||||||||||||
NIKE INC CL B | 18 | 2,979 | |||||||||||||||
NISOURCE INC | 184 | 5,073 | |||||||||||||||
NMI HOLDINGS INC | 73 | 1,592 | |||||||||||||||
NOMAD FOODS LTD | 91 | 2,304 | |||||||||||||||
NORFOLK SOUTHERN CORP | 14 | 4,198 | |||||||||||||||
NORTHROP GRUMMAN CORP | 7 | 2,864 | |||||||||||||||
NORTHWEST BANCSHARES INC/MD | 92 | 1,299 | |||||||||||||||
NORTHWESTERN CORP | 20 | 1,140 | |||||||||||||||
NVIDIA CORP | 37 | 10,951 | |||||||||||||||
OLLIE'S BARGAIN OUTLET HOLDING | 17 | 870 | |||||||||||||||
OMNICOM GROUP | 58 | 4,269 | |||||||||||||||
ORACLE CORPORATION | 54 | 4,666 | |||||||||||||||
ORION ENGINEERED CARBONS SA | 101 | 1,853 | |||||||||||||||
ORTHO CLINICAL DIAGNOSTICS HOL | 92 | 1,965 | |||||||||||||||
OUTSET MEDICAL INC | 22 | 1,014 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
38
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
OWENS & MINOR INC COM | 59 | 2,551 | |||||||||||||||
OWENS CORNING INC | 42 | 3,774 | |||||||||||||||
PARAGON 28 INC | 40 | 711 | |||||||||||||||
PAYCHEX INC | 41 | 5,624 | |||||||||||||||
PAYLOCITY HOLDING CORP | 8 | 1,889 | |||||||||||||||
PAYPAL HOLDINGS INC | 32 | 6,055 | |||||||||||||||
PDC ENERGY INC | 47 | 2,305 | |||||||||||||||
PENTAIR PLC | 47 | 3,432 | |||||||||||||||
PERELLA WEINBERG PARTNERS | 155 | 1,988 | |||||||||||||||
PERFORMANCE FOOD GROUP CO | 48 | 2,203 | |||||||||||||||
PFIZER INC | 66 | 3,925 | |||||||||||||||
PHYSICIANS REALTY TRUST | 105 | 1,984 | |||||||||||||||
PIEDMONT OFFICE REALTY TRU-A | 106 | 1,941 | |||||||||||||||
PINNACLE FINL PARTNERS INC | 25 | 2,431 | |||||||||||||||
PINTEREST INC | 55 | 1,992 | |||||||||||||||
PJT PARTNERS INC | 29 | 2,149 | |||||||||||||||
PLANET FITNESS INC | 14 | 1,277 | |||||||||||||||
POPULAR INC | 55 | 4,490 | |||||||||||||||
PORTLAND GEN ELEC CO | 49 | 2,573 | |||||||||||||||
POST HOLDINGS INC | 16 | 1,811 | |||||||||||||||
POTLATCHDELTIC CORP | 24 | 1,453 | |||||||||||||||
POWERSCHOOL HOLDINGS INC | 45 | 744 | |||||||||||||||
PPL CORPORATION | 83 | 2,505 | |||||||||||||||
PRIMORIS SERVIES CORPORATION | 60 | 1,443 | |||||||||||||||
PROASSURANCE CORPORATION | 66 | 1,666 | |||||||||||||||
PROCTER & GAMBLE CO | 31 | 5,071 | |||||||||||||||
PROGRESS SOFTWARE CORP | 38 | 1,836 | |||||||||||||||
PRUDENTIAL FINL INC | 35 | 3,832 | |||||||||||||||
PTC THERAPEUTICS INC | 25 | 996 | |||||||||||||||
PULMONX CORP | 26 | 834 | |||||||||||||||
PULTE GRP INC | 186 | 10,609 | |||||||||||||||
Q2 HOLDINGS INC | 16 | 1,311 | |||||||||||||||
QUEST DIAGNOSTICS INC | 26 | 4,412 | |||||||||||||||
RADIUS GLOBAL INFRASTRUCTURE I | 149 | 2,402 | |||||||||||||||
RAMBUS INC DEL COM | 62 | 1,821 | |||||||||||||||
REALTY INCOME CORP COM | 59 | 4,202 | |||||||||||||||
REGAL REXNORD CORP | 12 | 2,042 | |||||||||||||||
REGIONS FINL CORP NEW | 217 | 4,724 | |||||||||||||||
REINSURANCE GROUP AMER CLASS A NEW | 14 | 1,515 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
39
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
RENAISSANCERE HOLDINGS COM | 12 | 1,981 | |||||||||||||||
ROBERT HALF INTL INC | 47 | 5,141 | |||||||||||||||
ROLLINS INC | 110 | 3,748 | |||||||||||||||
RPM INTERNATIONAL INC | 14 | 1,384 | |||||||||||||||
RPT REALTY | 175 | 2,338 | |||||||||||||||
RUSH STREET INTERACTIVE INC | 43 | 710 | |||||||||||||||
RYMAN HOSPITALITY PROPERTIES | 37 | 3,434 | |||||||||||||||
S&P GLOBAL INC | 6 | 2,920 | |||||||||||||||
SAILPOINT TECHNOLOGIES HOLDING | 38 | 1,847 | |||||||||||||||
SALESFORCE COM INC | 27 | 6,913 | |||||||||||||||
SAREPTA THERAPEUTICS INC | 108 | 9,682 | |||||||||||||||
* | SCHWAB CHARLES CORP NEW | 98 | 8,260 | ||||||||||||||
SCIENCE APPLICATIONS INTERNATI | 49 | 4,079 | |||||||||||||||
SEA LTD-ADR | 146 | 32,618 | |||||||||||||||
SEALED AIR CORP COM | 50 | 3,351 | |||||||||||||||
SERVICENOW INC | 63 | 41,222 | |||||||||||||||
SHOPIFY INC - A W/I | 11 | 14,920 | |||||||||||||||
SIGNATURE BANK | 7 | 2,135 | |||||||||||||||
SILK ROAD MEDICAL INC | 18 | 780 | |||||||||||||||
SIMMONS 1ST NATL CORP | 101 | 2,976 | |||||||||||||||
SIRIUS XM HOLDINGS INC | 634 | 4,025 | |||||||||||||||
SIRIUSPOINT LTD | 166 | 1,348 | |||||||||||||||
SLM CORP | 156 | 3,070 | |||||||||||||||
SMARTSHEET INC | 24 | 1,820 | |||||||||||||||
SNOWFLAKE INC | 41 | 13,775 | |||||||||||||||
SONIC AUTOMOTIVE INC | 37 | 1,854 | |||||||||||||||
SPECTRUM BRANDS HLDGS INC NEW | 37 | 3,758 | |||||||||||||||
SPIRE INC | 22 | 1,444 | |||||||||||||||
SPROUT SOCIAL INC | 9 | 816 | |||||||||||||||
STAAR SURGICAL CO COM NEW PAR | 5 | 438 | |||||||||||||||
STAG INDUSTRIAL INC | 25 | 1,215 | |||||||||||||||
STEEL DYNAMICS INC COM | 58 | 3,606 | |||||||||||||||
SUN COUNTRY AIRLINES HOLDINGS | 36 | 970 | |||||||||||||||
SUNNOVA ENERGY INTERNATIONAL I | 25 | 701 | |||||||||||||||
SYNAPTICS INC | 6 | 1,737 | |||||||||||||||
SYNCHRONY FINANCIAL | 85 | 3,929 | |||||||||||||||
SYNEOS HEALTH INC | 14 | 1,397 | |||||||||||||||
SYNOVUS FINANCIAL CORP | 49 | 2,334 | |||||||||||||||
TANDEM DIABETES CARE INC | 8 | 1,204 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
40
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
TARGET CORP | 13 | 2,986 | |||||||||||||||
TELADOC HEALTH INC | 20 | 1,809 | |||||||||||||||
TERADYNE INC | 50 | 8,130 | |||||||||||||||
TETRA TECH INC NEW | 6 | 985 | |||||||||||||||
TEXAS INSTRUMENTS INC | 39 | 7,369 | |||||||||||||||
THERMO FISHER SCIENTIFIC INC | 6 | 3,670 | |||||||||||||||
THERMON GROUP HOLDINGS INC | 68 | 1,147 | |||||||||||||||
THOR INDS INC | 43 | 4,469 | |||||||||||||||
TIMKEN CO | 26 | 1,819 | |||||||||||||||
T-MOBILE US INC | 85 | 9,817 | |||||||||||||||
TRADE DESK INC/THE | 61 | 5,558 | |||||||||||||||
TRANSUNION | 38 | 4,448 | |||||||||||||||
TRAVELERS COMPANIES, INC | 25 | 3,911 | |||||||||||||||
TRI POINTE HOMES INC | 83 | 2,311 | |||||||||||||||
TRIMAS CORP | 97 | 3,599 | |||||||||||||||
TRIUMPH BANCORP INC | 10 | 1,192 | |||||||||||||||
TWILIO INC | 81 | 21,449 | |||||||||||||||
TWO HARBORS INVESTMENT CORP | 570 | 3,288 | |||||||||||||||
TYSON FOODS INC CL A DEL | 78 | 6,834 | |||||||||||||||
UBER TECHNOLOGIES INC | 428 | 17,946 | |||||||||||||||
UBIQUITI INC | 12 | 3,619 | |||||||||||||||
UGI CORP NEW COM | 124 | 5,723 | |||||||||||||||
ULTA BEAUTY, INC | 7 | 2,997 | |||||||||||||||
UNIFIRST CORP MASS | 8 | 1,632 | |||||||||||||||
URBAN EDGE PROPERTIES-W/I | 112 | 2,125 | |||||||||||||||
US BANCORP | 78 | 4,387 | |||||||||||||||
VERITEX HOLDINGS INC | 60 | 2,394 | |||||||||||||||
VERIZON COMMUNICATIONS | 92 | 4,786 | |||||||||||||||
VERTIV HOLDINGS LLC | 50 | 1,255 | |||||||||||||||
VIATRIS INC | 228 | 3,082 | |||||||||||||||
VIAVI SOLUTIONS INC | 118 | 2,074 | |||||||||||||||
VIMEO INC | 19 | 334 | |||||||||||||||
VISA INC-CLASS A SHRS | 171 | 37,059 | |||||||||||||||
VISTEON CORP/NEW | 18 | 2,008 | |||||||||||||||
VONTIER CORP | 165 | 5,078 | |||||||||||||||
VOYA FINANCIAL INC | 48 | 3,150 | |||||||||||||||
WALGREENS BOOTS ALLIANCE INC | 74 | 3,834 | |||||||||||||||
WARNER MUSIC GROUP CORP | 233 | 10,077 | |||||||||||||||
WATERS CORP | 22 | 8,048 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
41
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
WAYFAIR INC | 13 | 2,432 | |||||||||||||||
WEBSTER FINL CORP WATERBURY CONN | 31 | 1,751 | |||||||||||||||
* | WELLS FARGO & CO | 240 | 11,516 | ||||||||||||||
WESTERN ALLIANCE BANCORPORATION | 11 | 1,206 | |||||||||||||||
WHIRLPOOL CORP | 14 | 3,191 | |||||||||||||||
WHITE MTNS INS GROUP | 3 | 2,634 | |||||||||||||||
WIDEOPENWEST INC | 91 | 1,957 | |||||||||||||||
WILLIAMS SONOMA INC | 23 | 3,890 | |||||||||||||||
* | WILLIS TOWERS WATSON PUB LTDCO | 24 | 5,605 | ||||||||||||||
WINTRUST FINL CORP | 13 | 1,211 | |||||||||||||||
WNS HOLDINGS LTD ADR | 38 | 3,392 | |||||||||||||||
WORKIVA INC | 13 | 1,696 | |||||||||||||||
WYNDHAM HOTELS & RESORTS INC | 16 | 1,404 | |||||||||||||||
ZENDESK INC | 8 | 866 | |||||||||||||||
ZIMMER BIOMET HOLDINGS, INC | 34 | 4,341 | |||||||||||||||
ZOETIS INC | 80 | 19,607 | |||||||||||||||
ZURN WATER SOLUTIONS CORP | 38 | 1,383 | |||||||||||||||
ZYNGA INC | 282 | 1,805 | |||||||||||||||
Total Common Stocks | $ | 2,492,831 | |||||||||||||||
U.S. Government and Agency Obligations | |||||||||||||||||
FHLMC PL #841090 V-M 1.890% 10/01/46 | 357 | 369 | |||||||||||||||
FHLMC POOL #G60722 3.000% 10/01/46 | 404 | 426 | |||||||||||||||
FHLMC POOL #J36413 3.000% 2/01/32 | 1,025 | 1,082 | |||||||||||||||
FHLMC POOL #Q42018 3.500% 7/01/46 | 202 | 215 | |||||||||||||||
FHLMC POOL #QD0878 2.500% 11/01/51 | 1,427 | 1,464 | |||||||||||||||
FHLMC POOL #RB5039 3.500% 3/01/40 | 1,494 | 1,583 | |||||||||||||||
FHLMC POOL #SB0378 3.500% 4/01/34 | 669 | 708 | |||||||||||||||
FHLMC POOL #SB8021 3.000% 12/01/34 | 1,606 | 1,681 | |||||||||||||||
FHLMC POOL #SD0397 2.500% 7/01/50 | 1,428 | 1,466 | |||||||||||||||
FHLMC POOL #SD8037 2.500% 1/01/50 | 1,373 | 1,402 | |||||||||||||||
FHLMC POOL #ZA5297 4.000% 3/01/48 | 283 | 306 | |||||||||||||||
FHLMC POOL #ZM0724 4.000% 1/01/46 | 949 | 1,026 | |||||||||||||||
FHLMC POOL #ZM6956 4.500% 6/01/48 | 977 | 1,067 | |||||||||||||||
FHLMC POOL #ZS4735 3.500% 9/01/47 | 424 | 450 | |||||||||||||||
FNMA #BM6347 V-M 2.028% 2/01/41 | 323 | 340 | |||||||||||||||
FNMA POOL #AM7514 3.070% 2/01/25 | 2,900 | 3,039 | |||||||||||||||
FNMA POOL #AM7619 2.940% 1/01/23 | 1,770 | 1,794 | |||||||||||||||
FNMA POOL #AM7901 3.360% 2/01/30 | 88 | 97 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
42
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FNMA POOL #AM8141 2.780% 3/01/27 | 867 | 914 | |||||||||||||||
FNMA POOL #AM8572 2.750% 4/01/25 | 3,470 | 3,609 | |||||||||||||||
FNMA POOL #AM8856 2.920% 6/01/30 | 4,509 | 4,831 | |||||||||||||||
FNMA POOL #AM9169 3.080% 6/01/27 | 1,938 | 2,073 | |||||||||||||||
FNMA POOL #AM9491 3.550% 8/01/30 | 121 | 134 | |||||||||||||||
FNMA POOL #AM9567 2.970% 7/01/24 | 1,363 | 1,368 | |||||||||||||||
FNMA POOL #AM9615 2.680% 9/01/22 | 3,176 | 3,192 | |||||||||||||||
FNMA POOL #AN5935 3.130% 7/01/27 | 928 | 996 | |||||||||||||||
FNMA POOL #AN6026 2.980% 6/01/27 | 765 | 813 | |||||||||||||||
FNMA POOL #AN6850 3.220% 9/01/32 | 1,000 | 1,045 | |||||||||||||||
FNMA POOL #AN7596 3.160% 6/01/30 | 1,329 | 1,460 | |||||||||||||||
FNMA POOL #AS5469 4.000% 7/01/45 | 1,209 | 1,324 | |||||||||||||||
FNMA POOL #BK8753 4.500% 6/01/49 | 474 | 513 | |||||||||||||||
FNMA POOL #BL0907 3.880% 12/01/28 | 1,350 | 1,529 | |||||||||||||||
FNMA POOL #BL3217 3.330% 7/01/34 | 2,237 | 2,501 | |||||||||||||||
FNMA POOL #BL4333 2.520% 11/01/29 | 1,472 | 1,548 | |||||||||||||||
FNMA POOL #BL4791 2.710% 11/01/29 | 1,000 | 1,065 | |||||||||||||||
FNMA POOL #BL5353 2.715% 6/01/28 | 1,987 | 2,098 | |||||||||||||||
FNMA POOL #BM3375 4.000% 1/01/48 | 679 | 740 | |||||||||||||||
FNMA POOL #BM3499 4.000% 3/01/48 | 2,081 | 2,232 | |||||||||||||||
FNMA POOL #BU0992 3.000% 11/01/51 | 1,497 | 1,573 | |||||||||||||||
FNMA POOL #BU0993 3.000% 11/01/51 | 1,492 | 1,565 | |||||||||||||||
FNMA POOL #FM1000 3.000% 4/01/47 | 109 | 113 | |||||||||||||||
FNMA POOL #FM1218 3.500% 7/01/34 | 179 | 190 | |||||||||||||||
FNMA POOL #FM2096 3.500% 11/01/49 | 2,038 | 2,166 | |||||||||||||||
FNMA POOL #FM3340 3.500% 5/01/35 | 2,361 | 2,483 | |||||||||||||||
FNMA POOL #FM5819 4.000% 2/01/48 | 476 | 512 | |||||||||||||||
FNMA POOL #FM8599 3.500% 1/01/35 | 686 | 723 | |||||||||||||||
FNMA POOL #FM8968 3.000% 4/01/48 | 320 | 336 | |||||||||||||||
FNMA POOL #FM9427 4.000% 7/01/49 | 977 | 1,045 | |||||||||||||||
FNMA POOL #FM9461 3.500% 11/01/51 | 504 | 537 | |||||||||||||||
FNMA POOL #FM9473 3.000% 8/01/41 | 2,114 | 2,204 | |||||||||||||||
FNMA POOL #FM9559 3.000% 1/01/40 | 2,191 | 2,282 | |||||||||||||||
FNMA POOL #FM9728 2.500% 11/01/51 | 441 | 454 | |||||||||||||||
FNMA POOL #FM9995 4.000% 9/01/41 | 2,050 | 2,190 | |||||||||||||||
FNMA POOL #MA3340 3.500% 4/01/33 | 2,263 | 2,386 | |||||||||||||||
FNMA POOL #MA3361 4.000% 5/01/38 | 1,907 | 2,040 | |||||||||||||||
FNMA POOL #MA3683 3.500% 6/01/39 | 1,922 | 2,023 | |||||||||||||||
FNMA POOL #MA4208 2.000% 11/01/50 | 1,452 | 1,449 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
43
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
GNMA II #CA0265 V-M 3.004% 12/20/70 | 1,395 | 1,452 | |||||||||||||||
GNMA II POOL #MA7534 2.500% 8/20/51 | 4,277 | 4,385 | |||||||||||||||
GNMA II POOL #MA7649 2.500% 10/20/51 | 1,067 | 1,094 | |||||||||||||||
GNMA POOL #784044 4.990% 11/20/37 | 1,180 | 1,285 | |||||||||||||||
GNMA POOL #784045 4.500% 7/20/45 | 503 | 540 | |||||||||||||||
GNMA POOL #784602 4.000% 5/20/38 | 1,019 | 1,082 | |||||||||||||||
GNMA POOL #BA7567 4.500% 5/20/48 | 236 | 250 | |||||||||||||||
GNMA POOL #BI0416 4.500% 11/20/48 | 294 | 315 | |||||||||||||||
GNMA POOL #BJ1318 5.000% 5/20/49 | 737 | 805 | |||||||||||||||
GNMA POOL #BK7169 5.000% 12/20/48 | 378 | 409 | |||||||||||||||
GNMA POOL #BL7729 5.000% 5/20/49 | 423 | 465 | |||||||||||||||
GNMA POOL #BM9692 4.500% 7/20/49 | 770 | 820 | |||||||||||||||
RFCSP STRIP PRINCIPAL 1/15/30 | 500 | 436 | |||||||||||||||
TENN VAL AUTH CPN STRIP 3/15/32 | 300 | 247 | |||||||||||||||
TENN VALLEY AUTH 4.250% 9/15/65 | 124 | 181 | |||||||||||||||
TENN VALLEY AUTH 4.625% 9/15/60 | 70 | 107 | |||||||||||||||
TVA PRIN STRIP 6/15/35 | 500 | 376 | |||||||||||||||
U S TREASURY SEC STRIPPED 5/15/23 | 2,195 | 2,180 | |||||||||||||||
U S TREASURY SEC STRIPPED 8/15/23 | 205 | 203 | |||||||||||||||
U S TREASURY SEC STRIPPED 11/15/22 | 300 | 299 | |||||||||||||||
US TREAS SEC STRIPPED | 300 | 252 | |||||||||||||||
US TREAS SEC STRIPPED 5/15/33 | 900 | 739 | |||||||||||||||
US TREAS SEC STRIPPED 11/15/32 | 1,000 | 830 | |||||||||||||||
US TREAS SEC STRIPPED 11/15/33 | 900 | 730 | |||||||||||||||
US TREASURY BOND 1.125% 5/15/40 | 200 | 175 | |||||||||||||||
US TREASURY BOND 1.250% 5/15/50 | 3,545 | 3,010 | |||||||||||||||
US TREASURY BOND 1.625% 11/15/50 | 390 | 363 | |||||||||||||||
US TREASURY BOND 1.750% 8/15/41 | 4,418 | 4,283 | |||||||||||||||
US TREASURY BOND 1.875% 2/15/41 | 285 | 282 | |||||||||||||||
US TREASURY BOND 1.875% 2/15/51 | 2,035 | 2,013 | |||||||||||||||
US TREASURY BOND 1.875% 11/15/51 | 260 | 258 | |||||||||||||||
US TREASURY BOND 2.000% 8/15/51 | 2,394 | 2,440 | |||||||||||||||
US TREASURY BOND 2.250% 8/15/46 | 10,649 | 11,260 | |||||||||||||||
US TREASURY BOND 2.250% 8/15/49 | 1,870 | 2,001 | |||||||||||||||
US TREASURY BOND 2.375% 11/15/49 | 185 | 203 | |||||||||||||||
US TREASURY BOND 2.500% 5/15/46 | 4,815 | 5,322 | |||||||||||||||
US TREASURY BOND 2.750% 8/15/42 | 910 | 1,037 | |||||||||||||||
US TREASURY BOND 2.750% 11/15/42 | 1,170 | 1,333 | |||||||||||||||
US TREASURY BOND 2.875% 8/15/45 | 105 | 123 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
44
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
US TREASURY BOND 3.000% 2/15/47 | 30 | 36 | |||||||||||||||
US TREASURY BOND 3.000% 2/15/48 | 80 | 98 | |||||||||||||||
US TREASURY BOND 3.000% 5/15/42 | 1,665 | 1,972 | |||||||||||||||
US TREASURY BOND 3.000% 11/15/44 | 119 | 142 | |||||||||||||||
US TREASURY BOND 3.125% 2/15/43 | 2,000 | 2,411 | |||||||||||||||
US TREASURY BOND 3.125% 11/15/41 | 1,500 | 1,803 | |||||||||||||||
US TREASURY BOND 3.375% 5/15/44 | 1,659 | 2,089 | |||||||||||||||
US TREASURY BOND 3.500% 2/15/39 | 2,190 | 2,747 | |||||||||||||||
US TREASURY BOND 3.625% 2/15/44 | 1,000 | 1,301 | |||||||||||||||
US TREASURY BOND 3.625% 8/15/43 | 2,700 | 3,502 | |||||||||||||||
US TREASURY BOND 3.750% 11/15/43 | 470 | 622 | |||||||||||||||
US TREASURY BOND 4.375% 2/15/38 | 445 | 613 | |||||||||||||||
US TREASURY BOND 4.375% 5/15/41 | 1,160 | 1,634 | |||||||||||||||
US TREASURY BOND 4.500% 2/15/36 | 777 | 1,068 | |||||||||||||||
US TREASURY NOTE 0.125% 7/31/23 | 4,819 | 4,781 | |||||||||||||||
US TREASURY NOTE 0.500% 2/28/26 | 365 | 355 | |||||||||||||||
US TREASURY NOTE 0.625% 7/31/26 | 3,592 | 3,493 | |||||||||||||||
US TREASURY NOTE 0.625% 8/15/30 | 650 | 606 | |||||||||||||||
US TREASURY NOTE 0.750% 4/30/26 | 590 | 578 | |||||||||||||||
US TREASURY NOTE 0.875% 6/30/26 | 614 | 604 | |||||||||||||||
US TREASURY NOTE 0.875% 11/15/30 | 1,250 | 1,188 | |||||||||||||||
US TREASURY NOTE 1.250% 3/31/28 | 7,630 | 7,562 | |||||||||||||||
US TREASURY NOTE 1.250% 6/30/28 | 70 | 69 | |||||||||||||||
US TREASURY NOTE 1.250% 8/15/31 | 3,959 | 3,871 | |||||||||||||||
US TREASURY NOTE 1.375% 1/31/22 | 3,750 | 3,754 | |||||||||||||||
US TREASURY NOTE 1.375% 8/31/23 | 10,200 | 10,321 | |||||||||||||||
US TREASURY NOTE 1.500% 2/28/23 | 6,275 | 6,349 | |||||||||||||||
US TREASURY NOTE 1.625% 8/15/29 | 30 | 30 | |||||||||||||||
US TREASURY NOTE 1.750% 2/28/22 | 7,560 | 7,580 | |||||||||||||||
US TREASURY NOTE 1.750% 5/31/22 | 3,750 | 3,775 | |||||||||||||||
US TREASURY NOTE 1.750% 12/31/24 | 9,403 | 9,618 | |||||||||||||||
US TREASURY NOTE 1.750% 12/31/26 | 442 | 452 | |||||||||||||||
US TREASURY NOTE 2.000% 6/30/24 | 81 | 83 | |||||||||||||||
US TREASURY NOTE 2.125% 2/29/24 | 1,080 | 1,111 | |||||||||||||||
US TREASURY NOTE 2.250% 2/15/27 | 4,582 | 4,800 | |||||||||||||||
US TREASURY NOTE 2.250% 11/15/24 | 52 | 54 | |||||||||||||||
US TREASURY NOTE 2.250% 11/15/25 | 46 | 48 | |||||||||||||||
US TREASURY NOTE 2.375% 3/15/22 | 5,890 | 5,917 | |||||||||||||||
US TREASURY NOTE 2.500% 2/15/22 | 5,000 | 5,014 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
45
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
US TREASURY NOTE 2.500% 2/28/26 | 50 | 53 | |||||||||||||||
US TREASURY NOTE 2.500% 5/15/24 | 74 | 77 | |||||||||||||||
US TREASURY NOTE 2.500% 8/15/23 | 1,600 | 1,648 | |||||||||||||||
US TREASURY NOTE 2.750% 5/31/23 | 194 | 200 | |||||||||||||||
US TREASURY NOTE 2.875% 4/30/25 | 115 | 122 | |||||||||||||||
US TREASURY NOTE 2.875% 5/31/25 | 170 | 180 | |||||||||||||||
US TREASURY SEC STRIPPED | 1,775 | 1,464 | |||||||||||||||
VR FNMA POOL #AL7395 5.559% 9/01/55 | 1,495 | 1,708 | |||||||||||||||
Total U.S. Government and Agency Obligations | $ | 239,859 | |||||||||||||||
Common/Collective Trusts | |||||||||||||||||
* | AMEX R/VANGUARD FIDUCIARY EXT MKT | 3,691 | 572,227 | ||||||||||||||
* | AMEX R/VANGUARD FIDUCIARY INTL STK | 951 | 124,205 | ||||||||||||||
* | AMEX R/VANGUARD FIDUCIARY TOT BD | 867 | 100,720 | ||||||||||||||
* | BLACKROCK INSTL/MSCI EAFE SMALL CAP | 3,179 | 101,729 | ||||||||||||||
* | BLACKROCK INSTL/U S TREAS INFLATION | 3,624 | 45,899 | ||||||||||||||
* | COLUMBIA TRUST GOV MONEY MKT FUND | 28,101 | 28,101 | ||||||||||||||
* | FIAM GRP TR FOR/CORE PLUS COMMINGLE | 4,840 | 119,552 | ||||||||||||||
LOOMIS SAYLES CORE PLUS FULL DISC TR | 4,734 | 119,113 | |||||||||||||||
* | MSIM/INTERNATIONAL EQUITY II TRUST | 8,522 | 360,133 | ||||||||||||||
NEUBERGER BERMAN/EMERGING MKTS EQUIT | 5,376 | 79,571 | |||||||||||||||
* | VANGUARD EMPLOYEE BENEFIT INDEX #528 | 2,418 | 1,427,249 | ||||||||||||||
* | WF DISCOVERY CIT N | 6,598 | 112,310 | ||||||||||||||
Total Common/Collective Trusts | $ | 3,190,809 | |||||||||||||||
Mutual Funds | |||||||||||||||||
AMER FNDS EUROPAC GROW-R6 #2616 | 6,159 | 398,675 | |||||||||||||||
DFA EMERGING MARKETS VALUE FD #5095 | 2,272 | 70,443 | |||||||||||||||
Total Mutual Funds | $ | 469,118 | |||||||||||||||
Self-Directed Brokerage Accounts | |||||||||||||||||
CASH EQUIVALENTS | 19,927 | ||||||||||||||||
COMMON STOCK | 8,732 | ||||||||||||||||
MUTUAL FUNDS | 133,777 | ||||||||||||||||
Total Self-Directed Brokerage Accounts | $ | 162,436 | |||||||||||||||
Other Investments | |||||||||||||||||
Asset-Backed Securities | |||||||||||||||||
20 TSQ GRO CMO V-M 3.0999% 5/15/35 | 1,400 | 1,348 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
46
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
ACC TRUST 0.740% 11/20/23 | 343 | 343 | |||||||||||||||
AMERICAN CREDIT ACCE 2.690% 12/12/25 | 292 | 293 | |||||||||||||||
AMERICAN CREDIT ACCE 2.760% 9/12/25 | 383 | 385 | |||||||||||||||
AMERICAN HOMES 4 REN 3.467% 4/17/52 | 351 | 367 | |||||||||||||||
AMERICAN HOMES 4 REN 3.678% 12/17/36 | 653 | 683 | |||||||||||||||
AMERICAN HOMES 4 REN 3.786% 10/17/36 | 437 | 454 | |||||||||||||||
AMERICAN HOMES 4 REN 4.407% 4/17/52 | 720 | 748 | |||||||||||||||
AMERICAN HOMES 4 REN 5.639% 4/17/52 | 150 | 161 | |||||||||||||||
AMERICAN HOMES 4 REN 6.070% 10/17/45 | 142 | 155 | |||||||||||||||
AMERICREDIT AUTOMOBI 1.590% 10/20/25 | 1,100 | 1,107 | |||||||||||||||
AMERICREDIT AUTOMOBI 2.690% 6/19/23 | 15 | 15 | |||||||||||||||
AMERICREDIT AUTOMOBI 3.080% 12/18/23 | 1,699 | 1,716 | |||||||||||||||
AMSR TRUST 1.527% 8/17/26 | 1,390 | 1,358 | |||||||||||||||
AMSR TRUST 1.806% 9/17/37 | 1,845 | 1,818 | |||||||||||||||
AMSR TRUST 1.953% 6/17/38 | 395 | 389 | |||||||||||||||
BB-UBS TRUST 3.430% 11/05/36 | 1,350 | 1,398 | |||||||||||||||
BUSINESS JET SECURIT 2.162% 4/15/36 | 531 | 521 | |||||||||||||||
BUSINESS JET SECURIT 2.981% 11/15/35 | 535 | 534 | |||||||||||||||
BUSINESS JET SECURIT 4.212% 7/15/34 | 312 | 314 | |||||||||||||||
CAMILLO 2016-SFR1 5.000% 12/05/23 | 353 | 362 | |||||||||||||||
CAPITAL ONE MULTI-AS 1.040% 11/16/26 | 372 | 370 | |||||||||||||||
CARMAX AUTO OWNER TR 2.340% 11/17/25 | 2,070 | 2,112 | |||||||||||||||
CARMAX AUTO OWNER TR 3.370% 7/15/24 | 298 | 300 | |||||||||||||||
CARVANA AUTO RECEIVA 2.010% 3/17/25 | 1,131 | 1,136 | |||||||||||||||
CARVANA AUTO RECEIVA 3.000% 6/17/24 | 1,300 | 1,309 | |||||||||||||||
CASCADE MH ASSET TRU 1.753% 2/25/46 | 1,107 | 1,088 | |||||||||||||||
CF HIPPOLYTA ISSUER 1.530% 3/15/61 | 1,025 | 1,006 | |||||||||||||||
CF HIPPOLYTA ISSUER 1.690% 7/15/60 | 444 | 440 | |||||||||||||||
CITIGROUP COMMERCIAL 3.762% 6/10/48 | 700 | 747 | |||||||||||||||
CITIGROUP COMMERCIAL 4.371% 9/10/46 | 929 | 972 | |||||||||||||||
COLONY AMERICAN FINA 1.358% 8/15/53 | 223 | 217 | |||||||||||||||
COMM MORTGAGE TRUS 0.21167% 12/10/45 | 743 | 747 | |||||||||||||||
COMM MORTGAGE TRUST 3.759% 8/10/48 | 313 | 334 | |||||||||||||||
COMM MORTGAGE TRUST 3.902% 7/10/50 | 700 | 746 | |||||||||||||||
COMMERCIAL MORTGAGE 2.853% 10/15/45 | 795 | 804 | |||||||||||||||
CPS AUTO TRUST 1.590% 12/15/27 | 947 | 941 | |||||||||||||||
CPS AUTO TRUST 2.540% 12/15/25 | 535 | 539 | |||||||||||||||
CPS AUTO TRUST 3.790% 6/15/23 | 8 | 8 | |||||||||||||||
CPS AUTO TRUST 4.400% 6/17/24 | 89 | 90 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
47
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
CREDIT ACCEPTANCE AU 0.960% 2/15/30 | 1,225 | 1,218 | |||||||||||||||
CREDIT ACCEPTANCE AU 1.260% 4/15/30 | 1,405 | 1,387 | |||||||||||||||
CREDIT ACCEPTANCE AU 1.640% 6/17/30 | 760 | 750 | |||||||||||||||
CREDIT ACCEPTANCE AU 1.770% 12/17/29 | 1,675 | 1,679 | |||||||||||||||
CREDIT ACCEPTANCE AU 2.390% 4/16/29 | 670 | 679 | |||||||||||||||
CREDIT ACCEPTANCE AU 3.060% 3/15/29 | 1,600 | 1,634 | |||||||||||||||
CREDIT SUISSE MORT 1.66773% 9/27/60 | 1,484 | 1,472 | |||||||||||||||
DB MASTER FINANCE LL 2.045% 11/20/51 | 226 | 221 | |||||||||||||||
DB MASTER FINANCE LL 2.493% 11/20/51 | 523 | 521 | |||||||||||||||
DBWF 2015-LCM M/MTG 1.000% 6/10/34 | 182 | 183 | |||||||||||||||
DIAMOND RESORTS OWNE 1.510% 11/21/33 | 259 | 257 | |||||||||||||||
DRIVE AUTO RECEIVABL 2.360% 3/16/26 | 774 | 780 | |||||||||||||||
DRIVE AUTO RECEIVABL 3.690% 8/17/26 | 185 | 189 | |||||||||||||||
DRIVE AUTO RECEIVABL 4.140% 8/15/24 | 397 | 402 | |||||||||||||||
DRIVE AUTO RECEIVABL 4.300% 9/16/24 | 189 | 191 | |||||||||||||||
DT AUTO OWNER TRUST 0.870% 5/17/27 | 755 | 743 | |||||||||||||||
EXETER AUTOMOBILE RE 3.110% 8/15/25 | 765 | 782 | |||||||||||||||
EXETER AUTOMOBILE RE 3.300% 3/15/24 | 631 | 634 | |||||||||||||||
EXETER AUTOMOBILE RE 3.530% 11/15/23 | 158 | 160 | |||||||||||||||
EXETER AUTOMOBILE RE 3.680% 7/17/23 | 181 | 183 | |||||||||||||||
FANNIEMAE-ACES 0.670% 5/25/27 | 186 | 181 | |||||||||||||||
FANNIEMAE-ACES 1.200% 8/25/28 | 80 | 78 | |||||||||||||||
FANNIEMAE-ACES 2.980% 9/25/24 | 733 | 794 | |||||||||||||||
FED HOME LN MTG CORP 2.770% 5/25/25 | 1,500 | 1,570 | |||||||||||||||
FED HOME LN MTG CORP 3.350% 9/25/28 | 917 | 977 | |||||||||||||||
FED HOME LN MTG CORP 3.500% 3/15/35 | 1,517 | 1,665 | |||||||||||||||
FED HOME LN MTG CORP 3.500% 6/15/26 | 281 | 292 | |||||||||||||||
FED HOME LN MTG CORP 4.500% 4/15/39 | 27 | 28 | |||||||||||||||
FED HOME LN MTG CORP 6.000% 11/15/23 | 8 | 9 | |||||||||||||||
FED HOME LN MTG CORP 6.250% 10/15/23 | 35 | 36 | |||||||||||||||
FED HOME LN MTG CORP 7.000% 5/15/37 | 732 | 902 | |||||||||||||||
FED HOME LN MTG CORP 7.000% 12/15/36 | 77 | 91 | |||||||||||||||
FED NATL MTG ASSN 2.500% 8/25/42 | 177 | 182 | |||||||||||||||
FED NATL MTG ASSN 3.000% 1/25/46 | 306 | 323 | |||||||||||||||
FED NATL MTG ASSN 3.500% 5/25/49 | 1,376 | 1,439 | |||||||||||||||
FED NATL MTG ASSN 3.500% 11/25/57 | 1,153 | 1,208 | |||||||||||||||
FED NATL MTG ASSN 4.500% 12/25/40 | 829 | 936 | |||||||||||||||
FED NATL MTG ASSN 5.500% 6/25/35 | 169 | 191 | |||||||||||||||
FED NATL MTG ASSN 6.000% 3/25/36 | 51 | 58 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
48
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FHF TRUST 2021-1 1.270% 3/15/27 | 492 | 489 | |||||||||||||||
FHLMC MULTIFAMILY ST 2.811% 9/25/24 | 591 | 611 | |||||||||||||||
FHLMC MULTIFAMILY ST 2.982% 11/25/25 | 542 | 566 | |||||||||||||||
FHLMC-GNMA 8.000% 12/25/22 | 1 | 1 | |||||||||||||||
FIRST INVESTORS AUTO 1.170% 3/15/27 | 700 | 692 | |||||||||||||||
FIRST INVESTORS AUTO 3.000% 1/16/24 | 47 | 47 | |||||||||||||||
FIRST INVESTORS AUTO 3.440% 3/15/24 | 439 | 443 | |||||||||||||||
FIRSTKEY HOMES 2020- 1.339% 9/17/25 | 599 | 588 | |||||||||||||||
FIRSTKEY HOMES 2020- 1.538% 8/17/38 | 1,619 | 1,579 | |||||||||||||||
FIRSTKEY HOMES 2020- 1.567% 10/19/37 | 1,185 | 1,156 | |||||||||||||||
FIRSTKEY HOMES 2020- 1.607% 9/17/26 | 1,370 | 1,324 | |||||||||||||||
FIRSTKEY HOMES 2020- 1.941% 9/17/25 | 231 | 228 | |||||||||||||||
FLAGSHIP CREDIT AUTO 2.480% 8/15/24 | 445 | 449 | |||||||||||||||
FLAGSHIP CREDIT AUTO 2.740% 10/15/25 | 1,100 | 1,120 | |||||||||||||||
FLAGSHIP CREDIT AUTO 2.770% 12/15/25 | 620 | 633 | |||||||||||||||
FLAGSHIP CREDIT AUTO 2.920% 11/15/23 | 17 | 17 | |||||||||||||||
FLAGSHIP CREDIT AUTO 3.390% 1/16/24 | 193 | 194 | |||||||||||||||
FLAGSHIP CREDIT AUTO 3.580% 1/15/24 | 130 | 132 | |||||||||||||||
FNMA M17 CMO V-M 1.033% 11/25/22 | 86 | 86 | |||||||||||||||
FORD CREDIT AUTO OWN 1.530% 5/15/34 | 750 | 745 | |||||||||||||||
FREDDIE MAC - SCRT 3.000% 3/25/59 | 451 | 466 | |||||||||||||||
FREDDIE MAC - SCRT 3.000% 5/25/60 | 1,386 | 1,447 | |||||||||||||||
FREDDIE MAC - SCRT 3.500% 5/25/57 | 1,401 | 1,471 | |||||||||||||||
FREDDIE MAC - SCRT 3.500% 7/25/58 | 841 | 883 | |||||||||||||||
FREDDIE MAC - SCRT 3.500% 11/25/57 | 1,355 | 1,405 | |||||||||||||||
FREDDIE MAC - SCRT 4.000% 3/25/59 | 1,230 | 1,309 | |||||||||||||||
FREDDIE MAC - SCRT 4.000% 11/25/57 | 1,870 | 1,990 | |||||||||||||||
FRTKL 2.172% 9/17/38 | 1,005 | 980 | |||||||||||||||
GLS AUTO RECEIVABLES 1.110% 9/15/26 | 1,274 | 1,257 | |||||||||||||||
GM FINANCIAL SECURIT 1.230% 5/17/27 | 520 | 513 | |||||||||||||||
GNMA SER H13 CMO 0.68125% 5/20/66 | 177 | 178 | |||||||||||||||
GNMA SER H29 CMO 0.70125% 11/20/65 | 1,148 | 1,156 | |||||||||||||||
GOODGREEN TRUST 3.260% 10/15/53 | 372 | 378 | |||||||||||||||
GOODGREEN TRUST 3.740% 10/15/52 | 114 | 118 | |||||||||||||||
GOVT NATL MTG ASSN 3.500% 3/20/49 | 184 | 190 | |||||||||||||||
GOVT NATL MTG ASSN 3.500% 8/20/47 | 549 | 590 | |||||||||||||||
GOVT NATL MTG ASSN 4.500% 10/16/39 | 1,375 | 1,488 | |||||||||||||||
GOVT NATL MTG ASSN 5.000% 8/20/39 | 176 | 194 | |||||||||||||||
GOVT NATL MTG ASSN 5.000% 10/20/39 | 489 | 541 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
49
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
HERO FUNDING TRUST 3.080% 9/20/42 | 267 | 274 | |||||||||||||||
HERO FUNDING TRUST 3.950% 9/20/48 | 353 | 362 | |||||||||||||||
HERO FUNDING TRUST 4.460% 9/20/47 | 320 | 335 | |||||||||||||||
HERO FUNDING TRUST 4.670% 9/20/48 | 587 | 616 | |||||||||||||||
HERO FUNDING TRUST 104.070% 9/20/48 | 64 | 67 | |||||||||||||||
HILTON GRAND VACATIO 2.660% 12/27/28 | 74 | 75 | |||||||||||||||
HYUNDAI AUTO LEASE 0.610% 10/15/25 | 620 | 617 | |||||||||||||||
HYUNDAI AUTO RECEIVA 1.030% 12/15/27 | 525 | 521 | |||||||||||||||
INDEPENDENCE PLAZA 3.763% 7/10/35 | 1,200 | 1,241 | |||||||||||||||
JPMBB COMMERCIAL MO 3.7748% 8/15/47 | 823 | 866 | |||||||||||||||
JPMBB COMMERCIAL MO 4.1327% 8/15/46 | 754 | 776 | |||||||||||||||
MARINER FINANCE ISSU 1.860% 3/20/36 | 1,005 | 988 | |||||||||||||||
MARINER FINANCE ISSU 3.510% 7/20/32 | 965 | 980 | |||||||||||||||
MERCURY FINANCIAL CR 1.540% 3/20/26 | 976 | 975 | |||||||||||||||
* | MORGAN STANLEY BAML 3.531% 11/15/48 | 413 | 439 | ||||||||||||||
MRCD MORTGAGE TRUS 2.71752% 12/15/36 | 1,846 | 1,812 | |||||||||||||||
NRZ EXCESS SPREAD CO 3.844% 12/25/25 | 780 | 783 | |||||||||||||||
OAK STREET INVESTMEN 1.850% 10/20/50 | 446 | 442 | |||||||||||||||
OPORTUN FUNDING LLC 1.210% 3/08/28 | 1,172 | 1,169 | |||||||||||||||
PAGAYA AI DEBT SELEC 1.180% 11/15/27 | 838 | 836 | |||||||||||||||
PROGRESS RESIDENTIAL 1.294% 10/17/27 | 564 | 553 | |||||||||||||||
PROGRESS RESIDENTIAL 1.495% 10/17/27 | 415 | 405 | |||||||||||||||
PROGRESS RESIDENTIAL 1.524% 7/17/38 | 1,835 | 1,797 | |||||||||||||||
PROGRESS RESIDENTIAL 2.082% 9/17/38 | 640 | 626 | |||||||||||||||
PROGRESS RESIDENTIAL 2.197% 4/19/38 | 775 | 758 | |||||||||||||||
RENEW 2017-1 1.67064% 9/28/52 | 143 | 148 | |||||||||||||||
RENEW FINANCIAL 3.220% 9/22/53 | 133 | 137 | |||||||||||||||
SABEY DATA CENTER IS 1.881% 6/20/46 | 453 | 447 | |||||||||||||||
SANTANDER CONSUMER 1.030% 11/16/26 | 760 | 745 | |||||||||||||||
SANTANDER DRIVE AUTO 1.280% 2/17/26 | 810 | 809 | |||||||||||||||
SANTANDER DRIVE AUTO 3.320% 3/15/24 | 240 | 241 | |||||||||||||||
SIERRA RECEIVABLES 1.340% 11/20/37 | 293 | 289 | |||||||||||||||
SIERRA RECEIVABLES 2.320% 7/20/37 | 568 | 569 | |||||||||||||||
SMALL BUSINESS ADMIN 1.750% 11/01/46 | 753 | 753 | |||||||||||||||
SMALL BUSINESS ADMIN 1.850% 12/01/46 | 372 | 373 | |||||||||||||||
SOCIAL PROFESSIONAL 2.540% 5/15/46 | 396 | 403 | |||||||||||||||
TIDEWATER AUTO RECEI 4.300% 11/15/24 | 155 | 155 | |||||||||||||||
TRICON AMERICAN HOME 1.499% 7/17/38 | 240 | 235 | |||||||||||||||
TRICON RESIDENTIAL 1.943% 7/17/38 | 374 | 372 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
50
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
UBS-BARCLAYS COMMER 3.244% 4/10/46 | 445 | 453 | |||||||||||||||
UPSTART SECURITIZATI 0.840% 9/20/31 | 1,189 | 1,177 | |||||||||||||||
USASF RECEIVABLES LL 1.490% 3/17/25 | 820 | 813 | |||||||||||||||
VANTAGE DATA CENTERS 1.992% 9/15/45 | 454 | 445 | |||||||||||||||
VENDEE MORTGAGE TRUS 5.000% 5/15/33 | 300 | 331 | |||||||||||||||
VR AMSR TRUST 2.31862% 6/17/38 | 545 | 535 | |||||||||||||||
VR FANNIEMAE-ACES 1.904% 10/25/30 | 1,352 | 143 | |||||||||||||||
VR FANNIEMAE-ACES 1.974% 11/25/33 | 10,799 | 1,386 | |||||||||||||||
VR FANNIEMAE-ACES 2.466% 12/25/26 | 160 | 167 | |||||||||||||||
VR FANNIEMAE-ACES 3.070% 6/25/27 | 691 | 741 | |||||||||||||||
VR FANNIEMAE-ACES 3.552% 9/25/28 | 690 | 769 | |||||||||||||||
VR FED HOME LN MTG 0.456% 2/15/43 | 160 | 160 | |||||||||||||||
VR FED HOME LN MTG 0.526% 9/15/36 | 31 | 31 | |||||||||||||||
VR FED NATL MTG AS 0.737% 9/25/41 | 37 | 38 | |||||||||||||||
VR FED NATL MTG AS 2.80368% 4/25/44 | 56 | 60 | |||||||||||||||
VR FHLMC MULTIFAMI 3.284% 6/25/25 | 1,000 | 1,062 | |||||||||||||||
VR FHLMC MULTIFAMI 3.364% 12/25/27 | 680 | 745 | |||||||||||||||
VR FREMF MORTGAGE 4.2521% 4/25/51 | 800 | 865 | |||||||||||||||
VR FREMF MORTGAGE 3.55513% 6/25/45 | 800 | 822 | |||||||||||||||
VR FREMF MORTGAGE 3.57709% 11/25/49 | 180 | 189 | |||||||||||||||
VR FREMF MORTGAGE 3.66941% 1/25/48 | 1,200 | 1,261 | |||||||||||||||
VR FREMF MORTGAGE 3.87146% 7/25/49 | 220 | 227 | |||||||||||||||
VR FREMF MORTGAGE 4.07281% 11/25/47 | 191 | 200 | |||||||||||||||
VR FREMF MORTGAGE 4.46275% 12/25/50 | 1,000 | 1,084 | |||||||||||||||
VR GOODGREEN TRUS 22.97129% 10/15/53 | 369 | 383 | |||||||||||||||
VR GOVT NATL MTG 0.541% 6/20/65 | 654 | 655 | |||||||||||||||
VR GOVT NATL MTG 0.541% 7/20/65 | 650 | 651 | |||||||||||||||
VR GOVT NATL MTG 0.661% 3/20/67 | 457 | 459 | |||||||||||||||
VR GOVT NATL MTG 4.763% 10/20/43 | 517 | 582 | |||||||||||||||
VR GOVT NATL MTG 5.253% 5/20/40 | 549 | 621 | |||||||||||||||
VR GOVT NATL MTG 5.530% 10/20/40 | 666 | 755 | |||||||||||||||
VR GOVT NATL MTG 5.548% 1/20/38 | 412 | 474 | |||||||||||||||
VR GOVT NATL MTG AS 0.541% 6/20/65 | 653 | 654 | |||||||||||||||
VR GOVT NATL MTG AS 0.551% 2/20/61 | 656 | 657 | |||||||||||||||
VR GOVT NATL MTG AS 0.601% 6/20/67 | 445 | 446 | |||||||||||||||
VR GOVT NATL MTG AS 0.621% 9/20/65 | 890 | 894 | |||||||||||||||
VR GOVT NATL MTG AS 0.621% 10/20/65 | 632 | 635 | |||||||||||||||
VR GOVT NATL MTG AS 0.761% 12/20/65 | 371 | 374 | |||||||||||||||
VR GOVT NATL MTG AS 0.931% 8/20/66 | 360 | 365 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
51
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
VR GOVT NATL MTG AS 1.101% 12/20/66 | 162 | 165 | |||||||||||||||
VR KKR INDUSTRIAL 0.9362% 12/15/37 | 375 | 372 | |||||||||||||||
VR LAKEVIEW 2021-C 1.84115% 11/10/32 | 40 | 40 | |||||||||||||||
VR VCAT ASSET SECURI 2.115% 3/27/51 | 635 | 634 | |||||||||||||||
VR VERICREST OPPORT 1.8925% 2/27/51 | 630 | 625 | |||||||||||||||
VR VERICREST OPPORT 1.8925% 3/27/51 | 1,477 | 1,466 | |||||||||||||||
VR VERICREST OPPORT 1.9918% 5/25/51 | 2,417 | 2,406 | |||||||||||||||
VR VERICREST OPPORT 2.1157% 3/27/51 | 884 | 879 | |||||||||||||||
VR VERICREST OPPORT 2.2395% 4/25/51 | 959 | 953 | |||||||||||||||
VR VERICREST OPPORT 2.2396% 3/27/51 | 726 | 721 | |||||||||||||||
WESTGATE RESORTS 3.580% 12/20/31 | 135 | 135 | |||||||||||||||
Total Asset-Backed Securities | $ | 135,748 | |||||||||||||||
Foreign Sovereign Debt | |||||||||||||||||
REPUBLIC OF CHILE 2.550% 1/27/32 | 200 | 200 | |||||||||||||||
REPUBLIC OF COLOMBIA 4.500% 1/28/26 | 200 | 209 | |||||||||||||||
REPUBLIC OF PANAMA 3.870% 7/23/60 | 270 | 270 | |||||||||||||||
UNITED MEXICAN STATE 2.659% 5/24/31 | 301 | 294 | |||||||||||||||
UNITED MEXICAN STATE 3.750% 1/11/28 | 392 | 421 | |||||||||||||||
UNITED MEXICAN STATE 3.771% 5/24/61 | 222 | 204 | |||||||||||||||
UNITED MEXICAN STATE 4.125% 1/21/26 | 270 | 296 | |||||||||||||||
UNITED MEXICAN STATE 4.350% 1/15/47 | 35 | 36 | |||||||||||||||
UNITED MEXICAN STATE 4.500% 1/31/50 | 350 | 371 | |||||||||||||||
Total Foreign Sovereign Debt | $ | 2,301 | |||||||||||||||
Municipal Bonds | |||||||||||||||||
OHIO ST UNIV 4.048% 12/01/56 | 81 | 106 | |||||||||||||||
OHIO UNIV GEN RECPTS 5.590% 12/01/14 | 195 | 303 | |||||||||||||||
Total Municipal Bonds | $ | 409 | |||||||||||||||
Private Placement Bonds | |||||||||||||||||
CREDIT SUIS V-D CONV 3.091% 5/14/32 | 370 | 377 | |||||||||||||||
P/P 7-ELEVEN INC 2.500% 2/10/41 | 156 | 144 | |||||||||||||||
P/P AIA GROUP LTD 3.200% 3/11/25 | 360 | 376 | |||||||||||||||
P/P AIA GROUP LTD 3.200% 9/16/40 | 200 | 205 | |||||||||||||||
P/P AIR CANADA 2013- 4.125% 11/15/26 | 600 | 614 | |||||||||||||||
P/P AIR CANADA 2015- 3.600% 3/15/27 | 711 | 716 | |||||||||||||||
P/P AIR CANADA 2017- 3.300% 1/15/30 | 63 | 64 | |||||||||||||||
P/P AIR CANADA 2017- 3.550% 1/15/30 | 217 | 211 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
52
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
P/P AMERICAN TOWER 3.652% 3/23/28 | 230 | 241 | |||||||||||||||
P/P ATHENE GLOBAL FU 1.450% 1/08/26 | 260 | 255 | |||||||||||||||
P/P ATHENE GLOBAL FU 2.500% 1/14/25 | 72 | 74 | |||||||||||||||
P/P ATHENE GLOBAL FU 2.750% 6/25/24 | 140 | 144 | |||||||||||||||
P/P ATHENE GLOBAL FU 2.950% 11/12/26 | 595 | 622 | |||||||||||||||
P/P AUSGRID FINANCE 3.850% 5/01/23 | 200 | 205 | |||||||||||||||
P/P AUST & NZ BANKIN 2.570% 11/25/35 | 210 | 201 | |||||||||||||||
P/P AVIATION CAPITAL 1.950% 1/30/26 | 230 | 224 | |||||||||||||||
P/P AVOLON HOLDINGS 2.528% 11/18/27 | 1,242 | 1,207 | |||||||||||||||
P/P AVOLON HOLDINGS 2.875% 2/15/25 | 367 | 375 | |||||||||||||||
P/P AVOLON HOLDINGS 3.625% 5/01/22 | 800 | 805 | |||||||||||||||
P/P AVOLON HOLDINGS 5.500% 1/15/26 | 430 | 475 | |||||||||||||||
P/P BAE SYSTEMS PLC 1.900% 2/15/31 | 292 | 277 | |||||||||||||||
P/P BAE SYSTEMS PLC 3.400% 4/15/30 | 350 | 374 | |||||||||||||||
P/P BANCO NACIONAL 2.500% 8/11/30 | 300 | 281 | |||||||||||||||
P/P BLACKSTONE HOLDI 3.500% 9/10/49 | 200 | 216 | |||||||||||||||
P/P BOC AVIATION LTD 2.750% 9/18/22 | 200 | 202 | |||||||||||||||
P/P BPCE SA 4.625% 7/11/24 | 200 | 214 | |||||||||||||||
P/P BRITISH AIR 18-1 3.800% 9/20/31 | 95 | 98 | |||||||||||||||
P/P BRITISH AIR 18-1 4.125% 9/20/31 | 247 | 250 | |||||||||||||||
P/P BROADCOM INC 3.137% 11/15/35 | 300 | 302 | |||||||||||||||
P/P BROADCOM INC 3.187% 11/15/36 | 700 | 699 | |||||||||||||||
P/P BROOKLYN UNION 4.273% 3/15/48 | 100 | 114 | |||||||||||||||
P/P CGI INC 2.300% 9/14/31 | 409 | 394 | |||||||||||||||
P/P CLEVELAND ELECTR 3.500% 4/01/28 | 95 | 101 | |||||||||||||||
P/P COMCAST CORP 2.887% 11/01/51 | 244 | 236 | |||||||||||||||
P/P COMCAST CORP 2.987% 11/01/63 | 200 | 190 | |||||||||||||||
P/P COTERRA ENERGY 3.900% 5/15/27 | 250 | 269 | |||||||||||||||
P/P COX COMMUNICATIO 3.350% 9/15/26 | 415 | 441 | |||||||||||||||
P/P CREDIT AGRICOLE 2.811% 1/11/41 | 250 | 239 | |||||||||||||||
P/P CREDIT SUISSE GR 3.574% 1/09/23 | 598 | 598 | |||||||||||||||
P/P CVS PASS-THROUGH 4.163% 8/10/36 | 229 | 250 | |||||||||||||||
P/P CVS PASS-THROUGH 4.704% 1/10/36 | 285 | 321 | |||||||||||||||
P/P CVS PASS-THROUGH 5.773% 1/10/33 | 193 | 223 | |||||||||||||||
P/P CVS PASS-THROUGH 5.926% 1/10/34 | 421 | 499 | |||||||||||||||
P/P DUQUESNE LIGHT 3.616% 8/01/27 | 230 | 243 | |||||||||||||||
P/P EASTERN GAS TRAN 3.900% 11/15/49 | 206 | 228 | |||||||||||||||
P/P ENI SPA 4.000% 9/12/23 | 200 | 209 | |||||||||||||||
P/P FERGUSON FINANCE 3.250% 6/02/30 | 350 | 368 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
53
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
P/P FLEX INTERMEDIAT 3.363% 6/30/31 | 405 | 407 | |||||||||||||||
P/P GAIF BOND ISSUER 3.400% 9/30/26 | 95 | 101 | |||||||||||||||
P/P GALAXY PIPELINE 2.940% 9/30/40 | 300 | 299 | |||||||||||||||
P/P GLENCORE FUNDING 2.625% 9/23/31 | 113 | 110 | |||||||||||||||
P/P GOODMAN US FIN 3.700% 3/15/28 | 86 | 93 | |||||||||||||||
P/P GRAY OAK PIPELIN 3.450% 10/15/27 | 415 | 433 | |||||||||||||||
P/P GREAT-WEST LIFEC 4.581% 5/17/48 | 130 | 168 | |||||||||||||||
P/P GTP ACQUISITION 3.482% 6/16/25 | 190 | 198 | |||||||||||||||
P/P HYUNDAI CAPITAL 1.150% 11/10/22 | 421 | 422 | |||||||||||||||
P/P INTL FLAVOR & FR 3.268% 11/15/40 | 150 | 152 | |||||||||||||||
P/P JERSEY CENTRAL 4.300% 1/15/26 | 50 | 54 | |||||||||||||||
P/P KEYSPAN GAS EAST 2.742% 8/15/26 | 200 | 204 | |||||||||||||||
P/P KKR GROUP FINAN 3.500% 8/25/50 | 200 | 209 | |||||||||||||||
P/P LUNDIN ENERGY FI 3.100% 7/15/31 | 200 | 202 | |||||||||||||||
P/P MASS MUTUAL LIFE 3.375% 4/15/50 | 210 | 221 | |||||||||||||||
* | P/P MET LIFE GLOB FU 3.000% 9/19/27 | 180 | 191 | ||||||||||||||
P/P MEXICO CITY ARPT 5.500% 7/31/47 | 207 | 207 | |||||||||||||||
P/P MICROCHIP TECHNO 0.983% 9/01/24 | 445 | 437 | |||||||||||||||
P/P MID-ATLANTIC INT 4.100% 5/15/28 | 50 | 55 | |||||||||||||||
P/P MITSUBISHI UFJ 2.652% 9/19/22 | 200 | 202 | |||||||||||||||
P/P MITSUI FUDOSAN 2.950% 1/23/23 | 450 | 459 | |||||||||||||||
P/P NATIONAL AUSTRAL 2.332% 8/21/30 | 250 | 240 | |||||||||||||||
P/P NBN CO LTD 2.625% 5/05/31 | 400 | 402 | |||||||||||||||
P/P NEW ENGLAND POWE 3.800% 12/05/47 | 50 | 55 | |||||||||||||||
P/P NEW YORK LIFE GL 3.000% 1/10/28 | 81 | 86 | |||||||||||||||
P/P NEW YORK LIFE IN 4.450% 5/15/69 | 90 | 114 | |||||||||||||||
P/P NGPL PIPECO LLC 3.250% 7/15/31 | 240 | 244 | |||||||||||||||
P/P NISSAN MOTOR CO 4.345% 9/17/27 | 500 | 540 | |||||||||||||||
P/P NRG ENERGY INC 2.450% 12/02/27 | 225 | 223 | |||||||||||||||
P/P NRG ENERGY INC 4.450% 6/15/29 | 155 | 169 | |||||||||||||||
P/P NXP BV/NXP FDG/N 2.500% 5/11/31 | 300 | 301 | |||||||||||||||
P/P NXP BV/NXP FDG/N 3.150% 5/01/27 | 350 | 368 | |||||||||||||||
P/P NXP BV/NXP FDG/N 3.250% 5/11/41 | 425 | 439 | |||||||||||||||
P/P PARK AEROSPACE 5.500% 2/15/24 | 89 | 95 | |||||||||||||||
P/P PARKER-HANNIFIN 4.100% 3/01/47 | 42 | 49 | |||||||||||||||
P/P PENNSYLVANIA ELE 3.250% 3/15/28 | 26 | 27 | |||||||||||||||
P/P PENSKE TRUCK LEA 3.900% 2/01/24 | 425 | 447 | |||||||||||||||
P/P PRUDENTIAL INSUR 8.300% 7/01/25 | 300 | 363 | |||||||||||||||
P/P SAUDI INTERNATIO 2.250% 2/02/33 | 200 | 195 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
54
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
P/P SCENTRE GROUP TR 3.500% 2/12/25 | 200 | 211 | |||||||||||||||
P/P SCHLUMBERGER HLD 3.900% 5/17/28 | 416 | 449 | |||||||||||||||
P/P SES SA 3.600% 4/04/23 | 50 | 51 | |||||||||||||||
P/P SMITHFIELD FOODS 3.000% 10/15/30 | 400 | 398 | |||||||||||||||
P/P SOCIETE GENERALE 4.750% 11/24/25 | 670 | 728 | |||||||||||||||
P/P STANDARD CHARTER 4.300% 2/19/27 | 200 | 214 | |||||||||||||||
P/P STELLANTIS FIN 2.691% 9/15/31 | 209 | 206 | |||||||||||||||
P/P TEACHERS INSUR 4.270% 5/15/47 | 70 | 85 | |||||||||||||||
P/P TEACHERS INSUR 4.900% 9/15/44 | 40 | 51 | |||||||||||||||
P/P TEXAS EASTERN TR 3.500% 1/15/28 | 33 | 35 | |||||||||||||||
P/P TRITON CONTAINER 1.150% 6/07/24 | 200 | 197 | |||||||||||||||
P/P UBS GROUP FUNDIN 3.491% 5/23/23 | 200 | 202 | |||||||||||||||
P/P UBS GROUP FUNDIN 4.125% 4/15/26 | 400 | 437 | |||||||||||||||
P/P UNICREDIT SPA 2.569% 9/22/26 | 350 | 349 | |||||||||||||||
P/P UNIVERSAL HEALTH 2.650% 10/15/30 | 180 | 179 | |||||||||||||||
P/P VOLKSWAGEN GROUP 4.625% 11/13/25 | 265 | 292 | |||||||||||||||
VR P/P ABN AMRO BANK 2.470% 12/13/29 | 300 | 300 | |||||||||||||||
VR P/P AIB GROUP PLC 4.263% 4/10/25 | 250 | 263 | |||||||||||||||
VR P/P BANK OF IRELA 2.029% 9/30/27 | 227 | 223 | |||||||||||||||
VR P/P BNP PARIBAS 2.588% 8/12/35 | 590 | 565 | |||||||||||||||
VR P/P BPCE SA 1.652% 10/06/26 | 250 | 247 | |||||||||||||||
VR P/P BPCE SA 2.277% 1/20/32 | 275 | 265 | |||||||||||||||
VR P/P CREDIT AGRICO 1.247% 1/26/27 | 450 | 438 | |||||||||||||||
VR P/P CREDIT SUISSE 1.305% 2/02/27 | 290 | 280 | |||||||||||||||
VR P/P MACQUARIE BAN 3.052% 3/03/36 | 200 | 197 | |||||||||||||||
VR P/P MACQUARIE GRO 1.340% 1/12/27 | 380 | 370 | |||||||||||||||
VR P/P MACQUARIE GRO 2.871% 1/14/33 | 200 | 199 | |||||||||||||||
VR P/P NATIONAL AUST 3.933% 8/02/34 | 250 | 265 | |||||||||||||||
VR P/P SCENTRE GROUP 4.750% 9/24/80 | 220 | 230 | |||||||||||||||
VR P/P SOCIETE GENER 2.889% 6/09/32 | 440 | 439 | |||||||||||||||
VR P/P SWISS RE FINA 5.000% 4/02/49 | 200 | 224 | |||||||||||||||
VR P/P UBS GROUP AG 2.095% 2/11/32 | 200 | 194 | |||||||||||||||
VR P/P UNICREDIT SPA 5.861% 6/19/32 | 200 | 219 | |||||||||||||||
Total Private Placement Bonds | $ | 33,554 | |||||||||||||||
Total Other Investments | $ | 172,012 | |||||||||||||||
Total Investments, at Fair Value | $ | 6,909,783 | |||||||||||||||
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
55
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
Fully Benefit Responsive Investment Contracts | |||||||||||||||||
U.S. Government and Agency Obligations | |||||||||||||||||
FEDERAL HOME LOAN BANKS 0.5% 4/14/2025 | 10,000 | 9,819 | |||||||||||||||
FEDERAL HOME LOAN MORTGAG 0.375% 7/21/2025 | 18,850 | 18,362 | |||||||||||||||
FEDERAL NATIONAL MORTGAGE 1.75% 7/02/2024 | 1,951 | 1,993 | |||||||||||||||
FFCB 0.185% 6/17/2022 | 6,700 | 6,701 | |||||||||||||||
FGOLD 15YR 3.5% 10/01/2025 | 9 | 10 | |||||||||||||||
FGOLD 15YR 3.5% 9/01/2025 | 38 | 40 | |||||||||||||||
FGOLD 15YR 4% 2/01/2025 | 47 | 49 | |||||||||||||||
FGOLD 15YR 4% 7/01/2025 | 220 | 232 | |||||||||||||||
FGOLD 15YR 4% 8/01/2025 | 82 | 87 | |||||||||||||||
FGOLD 15YR 3% 1/01/2027 | 811 | 851 | |||||||||||||||
FGOLD 15YR 3% 1/01/2032 | 444 | 468 | |||||||||||||||
FGOLD 15YR 3% 1/01/2033 | 296 | 311 | |||||||||||||||
FGOLD 15YR 3% 11/01/2025 | 154 | 162 | |||||||||||||||
FGOLD 15YR 3% 11/01/2026 | 136 | 142 | |||||||||||||||
FGOLD 15YR 3% 3/01/2027 | 699 | 733 | |||||||||||||||
FGOLD 15YR 3% 3/01/2033 | 528 | 555 | |||||||||||||||
FGOLD 15YR 3.5% 1/01/2034 | 425 | 449 | |||||||||||||||
FGOLD 15YR 3.5% 10/01/2025 | 445 | 469 | |||||||||||||||
FGOLD 15YR 3.5% 11/01/2025 | 21 | 22 | |||||||||||||||
FGOLD 15YR 3.5% 12/01/2025 | 331 | 349 | |||||||||||||||
FGOLD 15YR 3.5% 2/01/2026 | 22 | 23 | |||||||||||||||
FGOLD 15YR 3.5% 3/01/2026 | 27 | 29 | |||||||||||||||
FGOLD 15YR 3.5% 5/01/2026 | 16 | 16 | |||||||||||||||
FGOLD 15YR 3.5% 5/01/2032 | 865 | 915 | |||||||||||||||
FGOLD 15YR 3.5% 6/01/2026 | 291 | 307 | |||||||||||||||
FGOLD 15YR 3.5% 7/01/2026 | 328 | 346 | |||||||||||||||
FGOLD 15YR 3.5% 8/01/2026 | 269 | 284 | |||||||||||||||
FGOLD 15YR 3.5% 9/01/2026 | 30 | 32 | |||||||||||||||
FGOLD 15YR 4% 10/01/2025 | 6 | 6 | |||||||||||||||
FGOLD 15YR 4% 3/01/2026 | 25 | 26 | |||||||||||||||
FGOLD 15YR 4% 5/01/2026 | 181 | 191 | |||||||||||||||
FGOLD 15YR 4% 6/01/2024 | 33 | 34 | |||||||||||||||
FGOLD 15YR 4% 6/01/2025 | 12 | 13 | |||||||||||||||
FGOLD 15YR 4% 6/01/2026 | 609 | 641 | |||||||||||||||
FGOLD 15YR GIANT 3% 1/01/2027 | 201 | 211 | |||||||||||||||
FGOLD 15YR GIANT 3% 3/01/2031 | 568 | 598 | |||||||||||||||
FGOLD 15YR GIANT 3% 3/01/2032 | 834 | 877 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
56
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FGOLD 15YR GIANT 3% 6/01/2027 | 227 | 238 | |||||||||||||||
FGOLD 15YR GIANT 3% 9/01/2030 | 341 | 359 | |||||||||||||||
FGOLD 15YR GIANT 3% 9/01/2031 | 319 | 336 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 1/01/2027 | 284 | 299 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 1/01/2030 | 184 | 195 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 10/01/2029 | 18 | 19 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 11/01/2025 | 63 | 66 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 11/01/2029 | 246 | 259 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 11/01/2033 | 197 | 208 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 12/01/2033 | 216 | 228 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 3/01/2030 | 135 | 143 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 4/01/2026 | 64 | 68 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 4/01/2029 | 92 | 97 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 4/01/2030 | 287 | 304 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 5/01/2033 | 1,001 | 1,058 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 6/01/2029 | 177 | 187 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 7/01/2026 | 16 | 17 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 7/01/2029 | 438 | 464 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 8/01/2026 | 58 | 61 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 8/01/2029 | 581 | 615 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 8/01/2032 | 1,182 | 1,251 | |||||||||||||||
FGOLD 15YR GIANT 3.5% 9/01/2025 | 68 | 72 | |||||||||||||||
FGOLD 15YR GIANT 4% 10/01/2025 | 18 | 19 | |||||||||||||||
FGOLD 15YR GIANT 4% 12/01/2025 | 6 | 6 | |||||||||||||||
FGOLD 15YR GIANT 4% 5/01/2026 | 92 | 97 | |||||||||||||||
FGOLD 15YR GIANT 4% 6/01/2026 | 165 | 173 | |||||||||||||||
FHLB 2.125% 12/11/2026 | 3,975 | 4,120 | |||||||||||||||
FHLB 2.375% 3/14/2025 | 30,275 | 31,545 | |||||||||||||||
FHLB 2.75% 12/13/2024 | 1,600 | 1,680 | |||||||||||||||
FHLB 5.375% 8/15/2024 | 9,150 | 10,187 | |||||||||||||||
FHLMC 0.375% 4/20/2023 | 23,300 | 23,254 | |||||||||||||||
FHLMC 0.375% 9/23/2025 | 8,550 | 8,316 | |||||||||||||||
FHLMC 15YR UMBS 2% 8/01/2035 | 9,814 | 10,061 | |||||||||||||||
FHLMC 15YR UMBS 3% 12/01/2034 | 1,162 | 1,223 | |||||||||||||||
FHLMC 15YR UMBS MIRROR 2.5% 11/01/2032 | 1,221 | 1,268 | |||||||||||||||
FHLMC 15YR UMBS MIRROR 2.5% 5/01/2033 | 1,273 | 1,319 | |||||||||||||||
FHLMC 15YR UMBS MIRROR 2.5% 7/01/2032 | 592 | 614 | |||||||||||||||
FHLMC 15YR UMBS MIRROR 3% 4/01/2034 | 498 | 523 | |||||||||||||||
FHLMC 15YR UMBS SUPER 2% 10/01/2035 | 8,849 | 9,072 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
57
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FHLMC 15YR UMBS SUPER 2% 5/01/2035 | 2,413 | 2,474 | |||||||||||||||
FHLMC 15YR UMBS SUPER 2% 6/01/2035 | 1,934 | 1,988 | |||||||||||||||
FHLMC 15YR UMBS SUPER 2% 9/01/2035 | 8,313 | 8,522 | |||||||||||||||
FHLMC 15YR UMBS SUPER 2.5% 2/01/2035 | 4,724 | 4,886 | |||||||||||||||
FHLMC 15YR UMBS SUPER 2.5% 8/01/2034 | 1,434 | 1,485 | |||||||||||||||
FHLMC 15YR UMBS SUPER 3% 1/01/2034 | 291 | 305 | |||||||||||||||
FHLMC 5/1 HYBRID ARM 1.89% 12/01/2036 | 104 | 109 | |||||||||||||||
FHLMC REFERENCE NOTE 0.25% 8/24/2023 | 15,275 | 15,175 | |||||||||||||||
FHLMC REFERENCE NOTE 1.5% 2/12/2025 | 11,425 | 11,597 | |||||||||||||||
FHLMC_K018 2.789% 1/25/2022 | 198 | 198 | |||||||||||||||
FHLMC_K019 2.272% 3/25/2022 | 2,081 | 2,082 | |||||||||||||||
FHLMC_K024 2.573% 9/25/2022 | 895 | 904 | |||||||||||||||
FHLMC_K025 2.682% 10/25/2022 | 2,011 | 2,038 | |||||||||||||||
FHLMC_K026 2.51% 11/25/2022 | 863 | 875 | |||||||||||||||
FHLMC_K027 2.637% 1/25/2023 | 475 | 483 | |||||||||||||||
FHLMC_K030 3.25% 4/25/2023 | 2,989 | 3,066 | |||||||||||||||
FHLMC_K031 3.3% 4/25/2023 | 7,400 | 7,609 | |||||||||||||||
FHLMC_K032 3.31% 5/25/2023 | 9,925 | 10,240 | |||||||||||||||
FHLMC_K039 2.683% 12/25/2023 | 1,722 | 1,750 | |||||||||||||||
FHLMC_K040 2.768% 4/25/2024 | 1,589 | 1,629 | |||||||||||||||
FHLMC_K043 2.532% 10/25/2023 | 545 | 554 | |||||||||||||||
FHLMC_K050 2.802% 1/25/2025 | 3,781 | 3,877 | |||||||||||||||
FHLMC_K066 2.797% 12/25/2026 | 2,513 | 2,623 | |||||||||||||||
FHLMC_K720 2.716% 6/25/2022 | 1,124 | 1,127 | |||||||||||||||
FHLMC_K727 2.632% 10/25/2023 | 352 | 355 | |||||||||||||||
FHLMC_K736 1.895% 6/25/2025 | 7,728 | 7,828 | |||||||||||||||
FHLMC_T-13 6.085% 9/25/2029 | — | 0 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2026 | 203 | 214 | |||||||||||||||
FNMA 15YR 3.5% 10/01/2025 | 112 | 119 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2025 | 630 | 663 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2025 | 108 | 113 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2026 | 4 | 5 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2026 | 219 | 230 | |||||||||||||||
FNMA 15YR 3.5% 3/01/2026 | 61 | 65 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2026 | 79 | 83 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2025 | 13 | 14 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2026 | 3 | 3 | |||||||||||||||
FNMA 15YR 4% 1/01/2025 | 8 | 9 | |||||||||||||||
FNMA 15YR 4% 2/01/2025 | — | 1 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
58
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FNMA 15YR 4% 4/01/2025 | 137 | 143 | |||||||||||||||
FNMA 15YR 4% 5/01/2025 | 87 | 92 | |||||||||||||||
FNMA 15YR 4% 6/01/2025 | 16 | 17 | |||||||||||||||
FNMA 15YR 4% 9/01/2024 | 74 | 78 | |||||||||||||||
FNMA 15YR 4% 9/01/2025 | 5 | 5 | |||||||||||||||
FNMA 15YR 4.5% 3/01/2023 | 4 | 4 | |||||||||||||||
FNMA 15YR 4.5% 7/01/2023 | 3 | 3 | |||||||||||||||
FNMA 15YR 5% 10/01/2024 | 18 | 18 | |||||||||||||||
FNMA 15YR 5% 2/01/2023 | 8 | 9 | |||||||||||||||
FNMA 15YR 5% 3/01/2023 | 4 | 4 | |||||||||||||||
FNMA 15YR 5% 8/01/2023 | — | 0 | |||||||||||||||
FNMA 15YR 5.5% 8/01/2023 | 3 | 3 | |||||||||||||||
FNMA 15YR 6% 4/01/2023 | 24 | 25 | |||||||||||||||
FNMA 0.625% 4/22/2025 | 11,850 | 11,685 | |||||||||||||||
FNMA 10/1 HYBRID ARM 1.71% 10/01/2034 | 6 | 6 | |||||||||||||||
FNMA 10/1 HYBRID ARM 2.09% 12/01/2033 | 4 | 4 | |||||||||||||||
FNMA 15YR 2.5% 2/01/2033 | 1,581 | 1,642 | |||||||||||||||
FNMA 15YR 3% 1/01/2032 | 581 | 611 | |||||||||||||||
FNMA 15YR 3% 1/01/2033 | 1,852 | 1,948 | |||||||||||||||
FNMA 15YR 3% 1/01/2034 | 1,329 | 1,395 | |||||||||||||||
FNMA 15YR 3% 10/01/2030 | 2,744 | 2,884 | |||||||||||||||
FNMA 15YR 3% 10/01/2033 | 1,249 | 1,312 | |||||||||||||||
FNMA 15YR 3% 11/01/2030 | 595 | 624 | |||||||||||||||
FNMA 15YR 3% 11/01/2031 | 849 | 893 | |||||||||||||||
FNMA 15YR 3% 11/01/2033 | 843 | 885 | |||||||||||||||
FNMA 15YR 3% 2/01/2030 | 455 | 477 | |||||||||||||||
FNMA 15YR 3% 2/01/2031 | 2,405 | 2,528 | |||||||||||||||
FNMA 15YR 3% 2/01/2032 | 590 | 620 | |||||||||||||||
FNMA 15YR 3% 2/01/2034 | 834 | 877 | |||||||||||||||
FNMA 15YR 3% 3/01/2031 | 342 | 359 | |||||||||||||||
FNMA 15YR 3% 3/01/2032 | 297 | 313 | |||||||||||||||
FNMA 15YR 3% 3/01/2033 | 430 | 453 | |||||||||||||||
FNMA 15YR 3% 4/01/2031 | 357 | 376 | |||||||||||||||
FNMA 15YR 3% 4/01/2032 | 2,812 | 2,945 | |||||||||||||||
FNMA 15YR 3% 5/01/2031 | 1,176 | 1,237 | |||||||||||||||
FNMA 15YR 3% 6/01/2034 | 326 | 342 | |||||||||||||||
FNMA 15YR 3% 7/01/2027 | 106 | 111 | |||||||||||||||
FNMA 15YR 3% 7/01/2030 | 151 | 159 | |||||||||||||||
FNMA 15YR 3% 7/01/2032 | 990 | 1,042 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
59
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FNMA 15YR 3% 8/01/2031 | 447 | 470 | |||||||||||||||
FNMA 15YR 3% 9/01/2029 | 635 | 674 | |||||||||||||||
FNMA 15YR 3% 9/01/2031 | 718 | 755 | |||||||||||||||
FNMA 15YR 3% 9/01/2032 | 938 | 988 | |||||||||||||||
FNMA 15YR 3% 9/01/2033 | 598 | 627 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2026 | 130 | 137 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2027 | 494 | 519 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2029 | 18 | 19 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2030 | 698 | 737 | |||||||||||||||
FNMA 15YR 3.5% 1/01/2034 | 350 | 369 | |||||||||||||||
FNMA 15YR 3.5% 10/01/2026 | 475 | 500 | |||||||||||||||
FNMA 15YR 3.5% 10/01/2028 | 215 | 228 | |||||||||||||||
FNMA 15YR 3.5% 10/01/2029 | 37 | 39 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2026 | 2 | 2 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2027 | 12 | 12 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2028 | 200 | 211 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2029 | 156 | 164 | |||||||||||||||
FNMA 15YR 3.5% 11/01/2033 | 1,496 | 1,581 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2025 | 189 | 199 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2026 | 144 | 151 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2028 | 132 | 139 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2029 | 881 | 930 | |||||||||||||||
FNMA 15YR 3.5% 12/01/2032 | 791 | 839 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2026 | 155 | 164 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2027 | 27 | 29 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2028 | 3 | 3 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2029 | 557 | 590 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2031 | 545 | 575 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2032 | 1,463 | 1,547 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2033 | 294 | 311 | |||||||||||||||
FNMA 15YR 3.5% 2/01/2034 | 493 | 521 | |||||||||||||||
FNMA 15YR 3.5% 3/01/2032 | 1,065 | 1,121 | |||||||||||||||
FNMA 15YR 3.5% 3/01/2033 | 744 | 787 | |||||||||||||||
FNMA 15YR 3.5% 4/01/2026 | 218 | 229 | |||||||||||||||
FNMA 15YR 3.5% 4/01/2027 | 57 | 61 | |||||||||||||||
FNMA 15YR 3.5% 4/01/2030 | 293 | 311 | |||||||||||||||
FNMA 15YR 3.5% 4/01/2033 | 234 | 248 | |||||||||||||||
FNMA 15YR 3.5% 4/01/2034 | 1,254 | 1,325 | |||||||||||||||
FNMA 15YR 3.5% 5/01/2027 | 93 | 99 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
60
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FNMA 15YR 3.5% 5/01/2029 | 131 | 139 | |||||||||||||||
FNMA 15YR 3.5% 5/01/2033 | 44 | 46 | |||||||||||||||
FNMA 15YR 3.5% 6/01/2027 | 480 | 505 | |||||||||||||||
FNMA 15YR 3.5% 6/01/2029 | 244 | 258 | |||||||||||||||
FNMA 15YR 3.5% 6/01/2030 | 347 | 368 | |||||||||||||||
FNMA 15YR 3.5% 6/01/2032 | 546 | 578 | |||||||||||||||
FNMA 15YR 3.5% 6/01/2033 | 2,247 | 2,376 | |||||||||||||||
FNMA 15YR 3.5% 7/01/2029 | 910 | 961 | |||||||||||||||
FNMA 15YR 3.5% 7/01/2032 | 421 | 446 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2026 | 71 | 75 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2027 | 123 | 129 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2029 | 608 | 640 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2032 | 1,159 | 1,227 | |||||||||||||||
FNMA 15YR 3.5% 8/01/2033 | 434 | 458 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2026 | 689 | 726 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2028 | 404 | 425 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2029 | 982 | 1,039 | |||||||||||||||
FNMA 15YR 3.5% 9/01/2033 | 506 | 533 | |||||||||||||||
FNMA 15YR 4% 1/01/2029 | 348 | 368 | |||||||||||||||
FNMA 15YR 4% 11/01/2026 | 93 | 98 | |||||||||||||||
FNMA 15YR 4% 5/01/2027 | 4 | 4 | |||||||||||||||
FNMA 15YR 4% 7/01/2025 | 19 | 20 | |||||||||||||||
FNMA 15YR 4% 8/01/2026 | 21 | 22 | |||||||||||||||
FNMA 15YR 4% 9/01/2025 | 6 | 6 | |||||||||||||||
FNMA 15YR 4.5% 5/01/2024 | 32 | 33 | |||||||||||||||
FNMA 15YR 4.5% 6/01/2026 | 38 | 39 | |||||||||||||||
FNMA 15YR 5% 2/01/2023 | 9 | 9 | |||||||||||||||
FNMA 15YR 5% 3/01/2023 | — | — | |||||||||||||||
FNMA 15YR 5% 4/01/2024 | 7 | 7 | |||||||||||||||
FNMA 15YR UMBS 2% 7/01/2035 | 6,341 | 6,500 | |||||||||||||||
FNMA 15YR UMBS 2.5% 10/01/2034 | 2,408 | 2,489 | |||||||||||||||
FNMA 15YR UMBS 2.5% 12/01/2034 | 2,515 | 2,606 | |||||||||||||||
FNMA 15YR UMBS 2.5% 2/01/2035 | 5,002 | 5,182 | |||||||||||||||
FNMA 15YR UMBS 2.5% 5/01/2035 | 1,420 | 1,468 | |||||||||||||||
FNMA 15YR UMBS 2.5% 8/01/2034 | 5,067 | 5,240 | |||||||||||||||
FNMA 15YR UMBS 3% 7/01/2034 | 1,302 | 1,361 | |||||||||||||||
FNMA 15YR UMBS SUPER 2% 7/01/2035 | 2,670 | 2,737 | |||||||||||||||
FNMA 15YR UMBS SUPER 2% 8/01/2035 | 3,978 | 4,078 | |||||||||||||||
FNMA 15YR UMBS SUPER 2% 9/01/2035 | 8,438 | 8,650 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
61
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
FNMA 2.625% 9/06/2024 | 22,050 | 23,053 | |||||||||||||||
FNMA 2.875% 9/12/2023 | 19,575 | 20,298 | |||||||||||||||
FNMA 6M LIBOR ARM 1.54% 11/01/2032 | 26 | 26 | |||||||||||||||
FNMA 6M LIBOR ARM 1.578% 3/01/2034 | 77 | 79 | |||||||||||||||
FNMA 6M LIBOR ARM 1.643% 4/01/2035 | 74 | 75 | |||||||||||||||
FNMA 6M LIBOR ARM 1.665% 12/01/2032 | 73 | 74 | |||||||||||||||
FNMA 6M LIBOR ARM 1.917% 9/01/2035 | 126 | 130 | |||||||||||||||
FNMA 7/1 HYBRID ARM 1.918% 1/01/2034 | 34 | 34 | |||||||||||||||
FNMA 7/1 HYBRID ARM 2.044% 1/01/2036 | 3 | 3 | |||||||||||||||
FNMA 7/1 HYBRID ARM 2.245% 3/01/2036 | 16 | 17 | |||||||||||||||
FNMA BENCHMARK NOTE 0.375% 8/25/2025 | 12,500 | 12,155 | |||||||||||||||
FNMA BENCHMARK NOTE 0.5% 11/07/2025 | 400 | 390 | |||||||||||||||
FNMA_03-W11 2.993% 6/25/2033 | 1 | 1 | |||||||||||||||
TREASURY NOTE 0.25% 6/15/2024 | 45,450 | 44,782 | |||||||||||||||
TREASURY NOTE 0.75% 5/31/2026 | 84,775 | 83,066 | |||||||||||||||
UMBS 15YR TBA(REG B) 2% 1/18/2037 | 34,200 | 35,034 | |||||||||||||||
UMBS 15YR TBA(REG B) 2.5% 1/18/2037 | 51,925 | 53,688 | |||||||||||||||
Total U.S. Government and Agency Obligations | $ | 630,763 | |||||||||||||||
Common/Collective Trusts | |||||||||||||||||
* | COLUMBIA TRUST GOV MONEY 0% 1/00/1900 | 96,331 | 96,331 | ||||||||||||||
Total Common/Collective Trusts | $ | 96,331 | |||||||||||||||
Pooled Separate Accounts | |||||||||||||||||
* | MET LIFE SEPARATE ACCOUNT CONTRACT | 292 | 33,076 | ||||||||||||||
Total Pooled Separate Accounts | $ | 33,076 | |||||||||||||||
Wrapper Contracts | |||||||||||||||||
AMERICAN UNITED LIFE - S00016, 2.440% | 4 | ||||||||||||||||
* | JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24% | 19 | |||||||||||||||
LINCOLN NATIONAL LIFE | — | ||||||||||||||||
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08% | 23 | ||||||||||||||||
PACIFIC LIFE - # 26755, MATURES 12/31/50, 4.00% | — | ||||||||||||||||
PRUDENTIAL GA63690 | 18 | ||||||||||||||||
RBC I - #10903, MATURES 12/31/50, 4.02% | — | ||||||||||||||||
Total Wrapper Contracts | $ | 64 | |||||||||||||||
Total Fully Benefit Responsive Investment Contracts, at Fair Value | $ | 760,234 | |||||||||||||||
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
62
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, 2021
(a) (b) (c) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount (in thousands) | (e) Current Value (in thousands) | |||||||||||||||
Adjustment from Fair Value to Contract Value | |||||||||||||||||
AMERICAN UNITED LIFE - S00016, 2.440% | 468 | ||||||||||||||||
* | JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24% | (473) | |||||||||||||||
LINCOLN NATIONAL LIFE | 159 | ||||||||||||||||
* | MET LIFE - #28972, MATURES 12/31/50, 3.98% | (212) | |||||||||||||||
* | Met LIFE (SA)- #32745 | (565) | |||||||||||||||
MONUMENT LIFE II - #MDA00633TR, MATURES 12/31/50, 4.11% | — | ||||||||||||||||
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08% | (614) | ||||||||||||||||
PACIFIC LIFE - # 26755, MATURES 12/31/50, 4.00% | 21 | ||||||||||||||||
PRUDENTIAL GA63690 | 574 | ||||||||||||||||
RBC I - #10903, MATURES 12/31/50, 4.02% | (820) | ||||||||||||||||
Total Adjustments | $ | (1,462) | |||||||||||||||
Total Fully Benefit Responsive Investment Contracts, at Contract Value | $ | 758,772 | |||||||||||||||
TOTAL INVESTMENTS | $ | 7,668,555 | |||||||||||||||
Loan to Participants | |||||||||||||||||
* | Various Loans - 3.25% through 9.50% due through July 20, 2051 (cost $0) | 62,048 | |||||||||||||||
Loans to Participants Total | $ | 62,048 |
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed, except where indicated
63
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Acquired and Disposed of Within Year)
For the Year Ended December 31, 2021
(a) & (b) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount | (d) Proceeds of dispositions | ||||||||||||
(in thousands) | (in thousands) | |||||||||||||
CORPORATE DEBT INSTRUMENTS | ||||||||||||||
ALEXANDRIA REAL ESTA 2.000% | 270 | 266 | ||||||||||||
BOEING CO 1.167% 2/04/23 | 220 | 220 | ||||||||||||
BRISTOL-MYERS SQUIBB 1.450% 11/13/30 | 140 | 135 | ||||||||||||
CANADIAN NATL RAILWA 2.450% 5/01/50 | 200 | 191 | ||||||||||||
CAPITAL ONE FINANCIA 3.950% 9/01/69 | 285 | 295 | ||||||||||||
CARNOW AUTO RECEIVAB 0.970% 10/15/24 | 920 | 920 | ||||||||||||
CHARTER COMM OPT LLC 2.250% 1/15/29 | 643 | 633 | ||||||||||||
CHENIERE CORPUS CHRI 5.125% 6/30/27 | 185 | 212 | ||||||||||||
CHEVRON USA INC 5.050% 11/15/44 | 60 | 81 | ||||||||||||
CHEVRON USA INC 6.000% 3/01/41 | 100 | 147 | ||||||||||||
CHEVRON USA INC 3.250% 10/15/29 | 140 | 156 | ||||||||||||
CITRIX SYSTEMS INC 1.25% 3/1/26 | 105 | 102 | ||||||||||||
DISCOVER BANK 3.450% 7/27/26 | 250 | 273 | ||||||||||||
EBAY INC 2.600% 5/10/31 | 950 | 966 | ||||||||||||
ENABLE MIDSTREAM PAR 5.000% 5/15/44 | 180 | 196 | ||||||||||||
FREEDOM FINANCIAL 1.030% 6/19/28 | 2,000 | 1,996 | ||||||||||||
FREEDOM FINANCIAL 0.660% 3/20/28 | 587 | 587 | ||||||||||||
GENERAL MOTORS FINL 2.400% 4/10/28 | 300 | 306 | ||||||||||||
GENERAL MOTORS FINL 1.200% 10/15/24 | 175 | 175 | ||||||||||||
GENERAL MOTORS FINL 1.250% 1/08/26 | 599 | 589 | ||||||||||||
GENERAL MOTORS FINL 2.700% 6/10/31 | 215 | 212 | ||||||||||||
GOLDMAN SACHS GROUP 0.481% 1/27/23 | 360 | 360 | ||||||||||||
IHS MARKIT LTD 4.250% 5/01/29 | 372 | 429 | ||||||||||||
KOHL'S CORPORATION 9.500% 5/15/25 | 135 | 175 | ||||||||||||
LOWE'S COS INC 1.700% 10/15/30 | 275 | 261 | ||||||||||||
MICROSOFT CORP 2.921% 3/17/52 | 163 | 169 | ||||||||||||
MID-AMERICA APARTMEN 3.950% 3/15/29 | 250 | 286 | ||||||||||||
MPLX LP 5.200% 12/01/47 | 125 | 151 | ||||||||||||
OGE ENERGY CORP 0.703% 5/26/23 | 195 | 195 | ||||||||||||
OKLAHOMA G&E CO 0.553% 5/26/23 | 195 | 195 | ||||||||||||
PPG INDUSTRIES INC 1.200% 3/15/26 | 155 | 155 | ||||||||||||
PROLOGIS LP 2.250% 4/15/30 | 25 | 26 | ||||||||||||
ROYAL BK SCOTLND GRP 3.875% 9/12/23 | 215 | 227 | ||||||||||||
T-MOBILE USA INC 1.500% 2/15/26 | 370 | 373 | ||||||||||||
VERIZON COMMUNICATIO 2.100% 3/22/28 | 45 | 45 | ||||||||||||
* | VR CHARLES SCHWAB 4.000% 6/01/70 | 375 | 395 | |||||||||||
VR CITIGROUP INC 4.075% 4/23/29 | 502 | 567 | ||||||||||||
VR CITIGROUP INC 1.122% 1/28/27 | 397 | 393 | ||||||||||||
VR CITIGROUP INC 3.875% 5/18/69 | 145 | 149 |
* Indicates party-in-interest
64
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Acquired and Disposed of Within Year)
For the Year Ended December 31, 2021
(a) & (b) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount | (d) Proceeds of dispositions | ||||||||||||
(in thousands) | (in thousands) | |||||||||||||
VR GOLDMAN SACHS 1.43895% 3/09/27 | 585 | 576 | ||||||||||||
VR GOLDMAN SACHS 4.09556% 11/10/69 | 220 | 225 | ||||||||||||
VR LLOYDS BANKING GR 1.627% 5/11/27 | 270 | 267 | ||||||||||||
* | VR MORGAN STANLEY 3.217% 4/22/42 | 295 | 306 | |||||||||||
* | VR MORGAN STANLEY 0.529% 1/25/24 | 385 | 384 | |||||||||||
VR SVB FINANCIAL 4.000% 8/15/69 | 520 | 541 | ||||||||||||
VR VERICREST OPPORT 2.2395% 2/27/51 | 2,320 | 2,323 | ||||||||||||
* | VR WELLS FARGO 3.900% 3/15/69 | 270 | 280 | |||||||||||
WILLIAMS COMPANIES 2.600% 3/15/31 | 185 | 184 | ||||||||||||
PRIVATE PLACEMENT BONDS | ||||||||||||||
P/P ALIMENTATION COU 3.439% 5/13/41 | 215 | 221 | ||||||||||||
P/P ALIMENTATION COU 3.625% 5/13/51 | 240 | 250 | ||||||||||||
P/P ATHENE GLOBAL FU 0.950% 1/08/24 | 345 | 345 | ||||||||||||
P/P AVOLON HOLDINGS 2.125% 2/21/26 | 105 | 104 | ||||||||||||
P/P BNP PARIBAS 2.824% 1/26/41 | 590 | 556 | ||||||||||||
P/P BPCE SA 1.000% 1/20/26 | 375 | 366 | ||||||||||||
P/P CONOCOPHILLIPS 2.400% 2/15/31 | 135 | 136 | ||||||||||||
P/P F&G GLOBAL FUNDI 1.750% 6/30/26 | 220 | 220 | ||||||||||||
P/P FLEX INTERMEDIAT 4.317% 12/30/39 | 160 | 167 | ||||||||||||
P/P GENERAL MILLS IN 3.000% 2/01/51 | 110 | 110 | ||||||||||||
P/P HYUNDAI CAPITAL 1.300% 1/08/26 | 115 | 112 | ||||||||||||
P/P HYUNDAI CAPITAL 1.800% 1/08/28 | 225 | 218 | ||||||||||||
P/P HYUNDAI CAPITAL 1.500% 6/15/26 | 185 | 181 | ||||||||||||
P/P HYUNDAI CAPITAL 1.250% 2/08/26 | 200 | 196 | ||||||||||||
P/P HYUNDAI CAPITAL 3.000% 2/10/27 | 200 | 208 | ||||||||||||
P/P INTL FLAVOR & FR 3.468% 12/01/50 | 115 | 120 | ||||||||||||
P/P KIA CORP 1.750% 10/16/26 | 205 | 204 | ||||||||||||
P/P LSEGA FINANCING 2.000% 4/06/28 | 525 | 523 | ||||||||||||
P/P LUNDIN ENERGY FI 2.000% 7/15/26 | 200 | 199 | ||||||||||||
P/P NATWEST MARKETS 0.800% 8/12/24 | 275 | 274 | ||||||||||||
P/P NISSAN MOTOR ACC 2.000% 3/09/26 | 155 | 155 | ||||||||||||
P/P NORDEA BANK ABP 1.500% 9/30/26 | 200 | 197 | ||||||||||||
P/P NORTHWESTERN MUT 1.700% 6/01/28 | 235 | 233 | ||||||||||||
P/P NUTRITION & BIOS 1.832% 10/15/27 | 130 | 130 | ||||||||||||
P/P 7-ELEVEN INC 1.300% 2/10/28 | 153 | 146 | ||||||||||||
P/P 7-ELEVEN INC 0.950% 2/10/26 | 190 | 185 | ||||||||||||
VR P/P ABN AMRO BANK 1.542% 6/16/27 | 300 | 296 | ||||||||||||
VR P/P BNP PARIBAS 2.871% 4/19/32 | 305 | 308 | ||||||||||||
VR P/P BNP PARIBAS 1.323% 1/13/27 | 241 | 236 |
* Indicates party-in-interest
65
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Acquired and Disposed of Within Year)
For the Year Ended December 31, 2021
(a) & (b) Identity of Issue, Borrower, Lessor, or Similar Party involved; Description of transaction including rate of interest and maturity date | Number of Shares/ Units or Face Amount | (d) Proceeds of dispositions | ||||||||||||
(in thousands) | (in thousands) | |||||||||||||
VR P/P BNP PARIBAS 2.159% 9/15/29 | 385 | 378 | ||||||||||||
VR P/P DNB BANK ASA 1.605% 3/30/28 | 355 | 349 | ||||||||||||
VR P/P MACQUARIE GRO 1.340% 1/12/27 | 130 | 128 | ||||||||||||
VR P/P SOCIETE GENER 1.792% 6/09/27 | 200 | 197 | ||||||||||||
VR P/P STANDARD CHAR 1.456% 1/14/27 | 200 | 195 | ||||||||||||
VR P/P UBS GROUP AG 1.494% 8/10/27 | 200 | 196 | ||||||||||||
VR P/P UNICREDIT SPA 1.982% 6/03/27 | 200 | 196 |
* Indicates party-in-interest
66
SIGNATURE
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 16, 2022 | By | /s/ Rita Pang | |||||||||
Rita Pang | |||||||||||
Employee Benefits Administration Committee |
67
EXHIBIT INDEX
Exhibit Number | Description | How Filed | ||||||
23 | Electronically filed herewith |
E-1