UNITED STATES
SECURITIES AND EXCHANGE COMMISISION
WASHINGTON, DC 20549
FORM 11-K
☒ | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
COMMISSION FILE NUMBER 1-14756
A. | Full title of the plan and the address of the plan, if different from that of the issuer named below: |
AMEREN CORPORATION
SAVINGS INVESTMENT PLAN
B. | Name of issuer of securities held pursuant to the plan and the address of its principal executive office: |
Ameren Corporation
1901 Chouteau Avenue
St. Louis, Missouri 63103
Ameren Corporation
Savings Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2016 and 2015
Ameren Corporation
Savings Investment Plan
Report of Independent Registered Public Accounting Firm December 31, 2016 and 2015 |
1 | |||
Financial Statements |
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Statements of Net Assets Available for Benefits December 31, 2016 and 2015 |
2 | |||
Statements of Changes in Net Assets Available for Benefits Years Ended December 31, 2016 and 2015 |
3 | |||
December 31, 2016 and 2015 |
4-15 | |||
Supplemental Schedule* |
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Schedule H, Line 4iSchedule of Assets (Held at End of Year) December 31, 2016 |
1-10 |
* | Other schedules required by 29 CFR 2520.103-10 of the Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 (ERISA), as amended, have been omitted because they are not applicable. |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Participants and Administrator of the
Ameren Corporation Savings Investment Plan
St. Louis, Missouri
We have audited the accompanying statements of net assets available for benefits of the Ameren Corporation Savings Investment Plan as of December 31, 2016 and 2015 and the related statements of changes in net assets available for benefits for the years then ended. These financial statements are the responsibility of the Plans management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, the financial statements referred to above present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2016 and 2015 and the changes in net assets available for benefits for the years then ended in conformity with U.S. generally accepted accounting principles.
The supplemental Schedule H, Line 4i Schedule of Assets (Held at End of Year) as of December 31, 2016 has been subjected to audit procedures performed in conjunction with the audit of the Ameren Corporation Savings Investment Plans financial statements. The supplemental schedule is the responsibility of the Plans management. Our audit procedures included determining whether the information presented in the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in conformity with the Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedule is fairly stated in all material respects in relation to the financial statements as a whole.
/s/ Crowe Horwath LLP |
Crowe Horwath LLP |
South Bend, Indiana
June 23, 2017
1
Ameren Corporation
Savings Investment Plan
Statements of Net Assets Available for Benefits
December 31, 2016 and 2015
2016 | 2015 | |||||||
Assets |
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Investments, at fair value |
$ | 1,794,642,191 | $ | 1,644,525,649 | ||||
Investments, at contract value |
299,821,780 | 283,716,698 | ||||||
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Total investments |
2,094,463,971 | 1,928,242,347 | ||||||
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Cash |
1,807,150 | (34,858 | ) | |||||
Receivables |
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Notes receivable from participants |
34,530,404 | 34,637,440 | ||||||
Participant contributions |
1,078,010 | 1,507,524 | ||||||
Employer contributions |
322,437 | 513,140 | ||||||
Dividends and interest |
458,599 | 577,701 | ||||||
Due from brokers for securities sold |
6,534,911 | 10,661,338 | ||||||
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Total receivables |
42,924,361 | 47,897,143 | ||||||
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Total assets |
2,139,195,482 | 1,976,104,632 | ||||||
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Liabilities |
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Accrued expenses |
340,926 | 391,501 | ||||||
Due to brokers for securities purchased |
14,236,300 | 9,762,293 | ||||||
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Total liabilities |
14,577,226 | 10,153,794 | ||||||
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Net assets available for benefits |
$ | 2,124,618,256 | $ | 1,965,950,838 | ||||
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The accompanying notes are an integral part of these financial statements.
2
Ameren Corporation
Savings Investment Plan
Statements of Changes in Net Assets Available for Benefits
Years Ended December 31, 2016 and 2015
2016 | 2015 | |||||||
Additions: |
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Investment income/(loss) |
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Interest and dividends |
$ | 22,418,798 | $ | 24,706,214 | ||||
Net appreciation/(depreciation) in fair value of investments |
157,034,429 | (37,457,301 | ) | |||||
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Total investment income/(loss) |
179,453,227 | (12,751,087 | ) | |||||
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Interest on notes receivable from participants |
1,390,534 | 1,405,566 | ||||||
Participant contributions |
83,371,122 | 81,725,541 | ||||||
Employer contributions |
29,197,593 | 29,153,939 | ||||||
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Total additions |
293,412,476 | 99,533,959 | ||||||
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Deductions: |
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Benefits paid to participants |
131,144,664 | 153,600,149 | ||||||
Administrative expenses |
3,600,394 | 3,267,792 | ||||||
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Total deductions |
134,745,058 | 156,867,941 | ||||||
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Net increase/(decrease) |
158,667,418 | (57,333,982 | ) | |||||
Net assets available for benefits |
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Beginning of year |
1,965,950,838 | 2,023,284,820 | ||||||
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End of year |
$ | 2,124,618,256 | $ | 1,965,950,838 | ||||
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The accompanying notes are an integral part of these financial statements.
3
Ameren Corporation
Savings Investment Plan
December 31, 2016 and 2015
1. | Description of the Plan |
General
The following is a summary of the various provisions of the Ameren Corporation Savings Investment Plan (the Plan). Participants should refer to the Plan document for more complete information.
The Plan is a defined contribution plan. Its purpose is to provide employees eligible to participate (the Participants) of Ameren Corporation (the Company) and its wholly owned subsidiaries the option to defer a portion of their compensation for federal income tax purposes in accordance with Section 401(k) of the Internal Revenue Code (the Code). The Plan is subject to certain provisions of the Employee Retirement Income Security Act of 1974 (ERISA), as amended, and regulations of the Securities and Exchange Commission.
The Company serves as sponsor of the Plan, and, consequently, has the authority to amend or terminate the Plan subject to certain restrictions. The Board of Directors of the Company has the authority and responsibility for the general administration of the Plan. Fidelity Management Trust Company, as Trustee, has the authority and responsibility to hold and protect the assets of the Plan in accordance with Plan provisions and with the Trust and Administrative Agreement.
Participation
All regular full-time employees are eligible to participate upon employment, and part-time or temporary employees are eligible to participate upon completion of a year of service of at least 1,000 hours. Employees covered by a collective bargaining agreement (CBA) are eligible to participate only if the CBA provides for such participation.
If employees do not make an election, nor opt-out within 30 days of employment; they are automatically enrolled at a 6% pre-tax contribution rate, invested in a Target Date fund based upon the date at which the participant is or will be age 65, and further enrolled in auto-escalation increasing their pre-tax contribution 1% annually, with no cap on the annual increases. Employees may opt-out or make alternative elections at any time.
Contributions
Each year, Participants may contribute up to 100% of eligible compensation, as defined in the Plan, and subject to annual limitations imposed by the Code.
The Company makes an Employer Basic Matching Contribution plus an Employer Additional Matching Contribution in an amount equal to a percent of the amount each Participant contributes to the Plan, up to a certain maximum percentage of the Participants compensation that he or she elects to contribute to the Plan each year. The amount of Company matching contribution depends on the Participants employment classification, and for contract employees is determined by the collective bargaining agreement with the specific union representing the Participants. The Company also makes true-up Employer Basic Matching Contributions for Participants who contribute the IRS maximum before the end of the year and, as a result, do not receive the full company match. The Employer Additional Matching Contributions are invested in the Ameren Stock Fund.
4
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
The Plan permits catch-up contributions for all employees age 50 and older. Eligible employees could contribute $6,000 in 2016 and 2015, as a catch-up contribution. The Company does not match catch-up contributions.
Participants direct the investment of their contributions and the Employer Basic Matching Contributions to his or her account to any of the investment options available under the Plan, including Company stock. Contributions may be allocated to a single investment option or allocated in increments of one percent to any combination of investment options. Such elections may be changed daily. Although the Employer Additional Matching Contributions are invested in the Ameren Stock Fund, they may be immediately reallocated to other funds at the participants discretion.
Earnings derived from the assets of any investment fund are reinvested in the fund to which they relate. Participants may elect daily to reallocate, by actual dollar or percentage in one percent increments, the value of their accounts between funds. Pending investment of the assets into any investment fund, the Trustee may temporarily make certain short-term investments.
Participant Accounts
Each Participants account is credited with the Participants contributions and an allocation of (a) the Companys contributions, and (b) Plan earnings, and is charged with an allocation of administrative expenses. Allocations are based on Participant contributions, eligible compensation, Participant account balances, or specific Participant transactions, as defined. The benefit to which the Participant is entitled is the benefit which can be provided from the Participants account. Each Participant directs the investment of his or her account to any of the investment options available under the Plan.
Notes Receivable from Participants
The Plan permits Participants to borrow from their accounts within the Plan. Such borrowings may be made subject to the following: (1) the minimum amount of the loan is $1,000, (2) the amount of the loan may not exceed the lesser of $50,000 or 50% of the vested amount in the Participants account, (3) the loan will bear a fixed interest rate and repayments will be made through mutual agreement subject to certain statutory repayment time limits, (4) each loan shall bear a reasonable interest rate as determined under policies established for the Plan and (5) such other rules and regulations as may be adopted by the Company. At December 31, 2016 and 2015, the interest rates on participant loans ranged from 4.00 percent to 10.50 percent.
Vesting
The amounts in Participants accounts, including Company contributions, are fully vested at all times.
Payment of Benefits
The total amount of a Participants account shall be distributed to the Participant according to one of the options as described in the Plan document and as elected by the Participant after termination of employment. All distributions shall be in the form of cash except that Participants may elect to have his or her interest in the Ameren Stock Fund distributed in shares of Ameren common stock. Participants may withdraw certain basic contributions, rollover contributions and related earnings thereon upon reaching age 59 1/2, in the event of total disability or financial hardship as defined
5
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
by the Plan or the Code. For purposes of distributions, the Participants account value will be determined as of the last business day coincident with or immediately preceding the day of distribution. Contributions to the Plan and investment income thereon are taxable to Participants upon distribution pursuant to the rules provided for under the Plan and the Code.
The Plan also allows, at the discretion of the Company, participants of the former Union Electric Company Employee Stock Ownership Plan and the former Ameren Corporation Employee Stock Ownership Plan for Certain Employees of AmerenCIPS, to receive certain distributions prior to termination of employment.
Plan Termination
The Company intends to continue the Plan indefinitely. However, the Company may at any time and for any reason, subject to ERISA and Internal Revenue Service regulations, suspend or terminate the Plan provided that such action does not retroactively adversely affect the rights of any Participant under the Plan.
2. | Summary of Significant Accounting Policies |
Basis of Accounting
The accompanying financial statements of the Plan are prepared on the accrual basis of accounting, except that benefit payments to Participants are recorded upon distribution.
Use of Estimates
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of changes in net assets available for benefits during the reporting period. Actual results could differ from those estimates.
Investment Valuation and Income Recognition
All investments are presented at fair value, except for fully benefit-responsive investment contracts, which are reported at contract value, as of December 31, 2016 and 2015. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 3 for discussion of fair value measurements.
The Plan has direct investments in fully benefit-responsive investment contracts. Investments held by a defined contribution plan are required to be reported at fair value, except for fully benefit-responsive investment contracts. Contract value is the relevant measurement attribute for the portion of the net assets available for benefits of a defined contribution plan attributable to fully benefit-responsive investment contracts because contract value is the amount Participants normally would receive if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
Purchases and sales of securities are recorded on a trade date basis. Interest income is recorded on the accrual basis. Dividend income is recorded on the ex-dividend date. Net appreciation (depreciation) in fair value of investments includes the Plans gains and losses on investments bought and sold as well as held during the year.
6
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
Notes Receivable from Participants
Notes receivable from Participants are measured at their unpaid principal balance plus any accrued but unpaid interest, with no allowance for credit losses, as repayments of principal and interest are received through payroll deductions and the notes are collateralized by the Participants account balances. Delinquent participant loans are reclassified as distributions based upon the terms of the Plan document.
Administrative Expenses
Fees associated with administering the Plan are generally paid by the Plan. Through March 31, 2015, Trustee and recordkeeping fees were primarily paid via (1) revenue sharing payments (payments made directly from investment managers to the recordkeeper), (2) fees accrued in the investment funds that do not pay revenue sharing, and (3) flat dollar fees that are assessed to all Participants quarterly. Beginning April 1, 2015, Trustee and recordkeeping fees are primarily paid via (1) flat dollar fees that are assessed to all Participants quarterly, and (2) fees accrued in investment funds that are separately-managed accounts (versus commingled funds). Also, effective April 1, 2015, revenue sharing payments are allocated to Participant accounts quarterly.
Risks and Uncertainties
Investment securities are exposed to various risks, such as interest rate, market and credit. Due to the level of risk associated with certain investment securities and the level of uncertainty related to changes in the value of investment securities, it is at least reasonably possible that changes in risks in the near term could materially affect the Participants account balances and the amounts reported in the Statement of Net Assets Available for Benefits.
Concentrations
Company common stock comprised 13% and 12% of investments at December 31, 2016 and December 31, 2015, respectively.
New Accounting Standards
In May 2015, the Financial Accounting Standards Board issued ASU 2015-07, Fair Value Measurement (Topic 820: Disclosures for Investments in Certain Entities that Calculate Net Asset Value Per Share (or Its Equivalent). Under this guidance, investments measured at net asset value (NAV), under the existing practical expedient provided under ASC topic 820, are excluded from the fair value hierarchy. The guidance requires reporting entities to reconcile the fair value hierarchy disclosure to the statement of net assets available for benefits by disclosing the amount of investments measured using the practical expedient. The ASU is effective for fiscal years beginning after December 15, 2016 (December 15, 2015 for public business entities), with early adoption permitted. Retrospective application is required. Management adopted this standard as of December 31, 2016, and retrospectively updated the presentation of these assets in the fair value hierarchy table included in Note 3 Fair Value Measurements. The adoption of this standard had no effect on the Plans net assets available for benefits or changes therein.
7
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
3. | Fair Value Measurements |
The authoritative guidance issued by the FASB regarding fair value measurement provides a framework for measuring fair value for all assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three hierarchy levels:
Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan has the ability to access at the reporting date.
Level 2: Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly. Inputs to the valuation methodology include:
| Quoted prices for similar assets or liabilities in active markets; |
| Quoted prices for identical or similar assets or liabilities in inactive markets; |
| Inputs other than quoted prices that are observable for the asset or liability; |
| Inputs that are derived principally from or corroborated by observable market data by correlation or other means. |
Level 3: Inputs to the valuation methodology that are unobservable and significant to the fair value measurement.
The asset or liabilitys fair value measurement level within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement.
Following is a description of the valuation methodologies used for assets measured at fair value.
There have been no changes in the methodologies used during 2016.
| Margin deposit account: The fair value is estimated to approximate deposit account balances, payable on demand, as no discounts for credit quality or liquidity were determined to be applicable (Level 2 inputs). |
| Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 inputs). |
| Limited partnership: The fair value is determined by obtaining a quoted price from a nationally recognized exchange (Level 1 input). Under ordinary market conditions, daily redemption is available. The limited partnership was held as part of an investment strategy to outperform the Russell 2500 Growth Index. |
8
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
| U.S. government securities and corporate debt securities: Valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities relationship to other benchmark quoted securities (Level 2 inputs). |
| Other debt securities includes both non-U.S. government debt securities and derivatives: Non-U.S. government debt securities are valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities relationship to other benchmark quoted securities (Level 2 inputs). The fair values of exchange-traded derivatives are based upon quoted market prices (Level 1 inputs). The fair values of derivatives that are not traded on an exchange are based upon valuation models using observable market data as of the measurement date (Level 2 inputs). |
| Mutual funds: Valued at the daily closing price as reported by the fund (Level 1 inputs). Mutual funds held by the Plan are open-end mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily net asset value (NAV) and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded. |
| Collective trust funds: The fair values of participation units held in collective trusts are based on the NAV reported by the fund managers as of the financial statement dates and recent transaction prices. Under ordinary market conditions, redemptions of investments in collective trusts are permitted as of daily or monthly valuation dates, as applicable, and are executed at NAV as a practical expedient. |
9
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2016:
Quoted Prices In Active Markets for Identified Assets (Level 1) |
Significant Other Observable Inputs (Level 2) |
Measured at Net Asset Value as a Practical Expedient (a) |
Total | |||||||||||||
Assets |
||||||||||||||||
Margin deposit account |
$ | | $ | 100,200 | $ | | $ | 100,200 | ||||||||
Common stocks-Plan sponsor stock |
268,844,805 | | | 268,844,805 | ||||||||||||
Common stocks-other than Plan sponsor stock |
223,472,836 | | | 223,472,836 | ||||||||||||
U.S. Government securities |
| 14,157,327 | | 14,157,327 | ||||||||||||
Corporate debt securities |
| 25,756,145 | | 25,756,145 | ||||||||||||
Other debt securities |
1,500 | 5,517,816 | | 5,519,316 | ||||||||||||
Collective trust funds |
| | 1,088,860,727 | 1,088,860,727 | ||||||||||||
Mutual funds |
167,941,974 | | | 167,941,974 | ||||||||||||
Liabilities |
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Other debt securities |
(9,930 | ) | (1,209 | ) | | (11,139 | ) | |||||||||
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Total assets reported at fair value |
$ | 660,251,185 | $ | 45,530,279 | $ | 1,088,860,727 | $ | 1,794,642,191 | ||||||||
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(a) | In accordance with ASU 2015-07, certain investments measured at net asset value (NAV) per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits. |
10
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2015:
Quoted Prices In Active Markets for Identified Assets (Level 1) |
Significant Other Observable Inputs (Level 2) |
Measured at Net Asset Value as a Practical Expedient (a) |
Total | |||||||||||||
Assets |
||||||||||||||||
Margin deposit account |
$ | | $ | 213,760 | $ | | $ | 213,760 | ||||||||
Common stocks-Plan sponsor stock |
227,770,008 | | | 227,770,008 | ||||||||||||
Common stocks-other than Plan sponsor stock |
188,526,265 | | | 188,526,265 | ||||||||||||
Limited partnership |
693,154 | | | 693,154 | ||||||||||||
U.S. Government securities |
| 11,911,021 | | 11,911,021 | ||||||||||||
Corporate debt securities |
| 33,564,256 | | 33,564,256 | ||||||||||||
Other debt securities |
1,000 | 1,025,382 | | 1,026,382 | ||||||||||||
Collective trust funds |
| | 982,293,330 | 982,293,330 | ||||||||||||
Mutual funds |
198,537,364 | | | 198,537,364 | ||||||||||||
Liabilities |
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Other debt securities |
(9,891 | ) | | | (9,891 | ) | ||||||||||
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Total assets reported at fair value |
$ | 615,517,900 | $ | 46,714,419 | $ | 982,293,330 | $ | 1,644,525,649 | ||||||||
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(a) | In accordance with ASU 2015-07, certain investments measured at net asset value (NAV) per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits. |
The Plan does not hold any investments requiring Level 3 measurements, and there have not been any transfers between measurement input levels in 2016 or 2015.
4. | Fully Benefit-Responsive Investment Contracts |
The Plan holds investments in a separately-managed stable value account that is managed by Galliard Capital Management. The separately-managed account holds (1) an investment in a money market mutual fund, and (2) a portfolio of synthetic investment contracts, valued at $299,821,780 and $283,716,698 at December 31, 2016 and December 31, 2015, respectively. The investment contracts meet the fully benefit-responsive investment criteria and therefore are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Participants if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
The investment contracts are issued by the following insurance companies:
| American General Life Insurance Company (AGL) |
| Prudential Insurance Company of America (Prudential) |
| Voya Retirement Insurance and Annuity Company (Voya), as of December 31, 2016 |
| Massachusetts Mutual Life Insurance Company (Mass Mutual) |
| Metropolitan Life Insurance Company (Met Life) |
11
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
| New York Life Insurance Company (NYL), as of December 31, 2015 |
As of December 31, 2016, the underlying investments of the AGL, Prudential, and Voya contracts are holdings in collective trust funds. As of December 31, 2015, the underlying investments of the AGL, Prudential, and NYL contracts are holdings in collective trust funds. As of December 31, 2016 and 2015, the underlying investments of the Mass Mutual and Met Life contracts are holdings in portfolios of fixed income securities, which are segregated from the insurance companys general account assets. The segregation of these assets from the insurance companys general account offers certain protections to mitigate the risk that these assets might be subject to creditor claims other than those of the separate account GIC owners.
The investment contracts include wrapper contracts, which are agreements for the wrap issuer to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. The contracts are designed to accrue interest based on crediting rates established by the contract issuers, and also provide a guarantee that the credit rate will not fall below zero percent. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in each contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reset at least quarterly.
The Plans ability to receive amounts due in accordance with fully benefit-responsive investment contracts is dependent on the third-party issuers ability to meet its financial obligations. The issuers ability to meet its contractual obligations may be affected by future economic and regulatory developments.
Certain events might limit the ability of the Plan to transact at contract value. Investment contracts generally provide for withdrawals associated with certain events which are not in the ordinary course of operations. These withdrawals are paid with a market value adjustment applied to the withdrawal as defined in the investment contract. Each contract issuer specifies the events which may trigger a market value adjustment; however, such events may include all or a portion of the following:
| material amendments to the accounts structure or administration; |
| changes to the Plans competing investment options including the elimination of equity wash provisions; |
| complete or partial termination of the investment, including a merger with another investment account; |
| the failure of the Plan to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA; |
| the redemption of all or a portion of the interests in the account held by a participating plan at the direction of the participating plan sponsor, including withdrawals due to the removal of a specifically identifiable group of employees from coverage under the participating plan (such as a group layoff or early retirement incentive program), the closing or sale of a subsidiary, employing unit, or affiliate, the bankruptcy or insolvency of a plan sponsor, the merger of the Plan with another plan, or the Plan sponsors establishment of another tax qualified defined contribution plan; |
12
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
| any change in law, regulation, ruling, administrative or judicial position, or accounting requirement, applicable to the account or participating plans; |
| the delivery of any communication to Participants designed to influence a participant not to invest in the investment option; |
| the addition of an Asset Allocation or Managed Account service without prior approval, or a material change in an existing program; |
| the distribution of a prohibited communication. |
No events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuers and that also would limit the ability of the Plan to transact at contract value with the Participants.
These contracts are evergreen contracts and contain termination provisions, allowing the contract issuer to terminate with notice, at any time at fair value, and providing for automatic termination of the contract if the contract value or the fair value of the underlying portfolio equals zero. The issuer is obligated to pay the excess contract value when the fair value is below contract value at the time of termination. In addition, if the Company defaults in its obligations under the contract (including the issuers determination that the agreement constitutes a non-exempt prohibited transaction as defined under ERISA), and such default is not corrected within the time permitted by the contract, then the contract may be terminated by the issuer and the Plan will receive the fair value as of the date of termination.
5. | Transactions with Parties-in-Interest |
Parties-in-interest are defined under Department of Labor regulations as any fiduciary of the Plan, any party rendering service to the Plan, the employer, and certain others.
At December 31, 2016, the Plan held 5,124,758 shares of Company common stock with a cost and fair value of $193,417,367 and $268,844,805, respectively. During 2016, the Plan purchased 772,300 shares at a cost of $37,758,809 and sold 899,300 shares valued at $43,880,275.
At December 31, 2015, the Plan held 5,268,795 shares of Company common stock with a cost and fair value of $189,208,773 and $227,770,008, respectively. During 2015, the Plan purchased 879,500 shares at a cost of $36,272,199 and sold 921,100 shares valued at $38,778,584.
Dividend income from Company common stock was $8,808,189 and $10,865,043 for the years ended December 31, 2016 and December 31, 2015, respectively.
At December 31, 2016, the Plan held shares in the Fidelity Institutional Money Market Government Portfolio, and at December 31, 2015, the Plan held shares in the Fidelity Management Trust Company Institutional Cash Portfolio. These portfolios are managed by the Trustee, and therefore, qualify as party-in-interest transactions. Notes receivable from Participants also reflect party-in-interest transactions.
Fees paid by the Plan to the Trustee for recordkeeping and trust services were $1,118,005 and $1,060,655 for the years ended December 31, 2016 and December 31, 2015, respectively.
13
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
Fees paid to and investments issued by various Plan investment managers also reflect party-in-interest transactions.
These transactions are allowable party-in-interest transactions under Section 408(b)(8) of ERISA.
6. | Reconciliation of Financial Statements to Form 5500 |
The following is a reconciliation of net assets available for benefits per the financial statements to the Form 5500 at December 31, 2016 and 2015:
2016 | 2015 | |||||||
Net assets available for benefits per the financial statements |
$ | 2,124,618,256 | $ | 1,965,950,838 | ||||
Amounts allocated to deemed distributions of notes receivable from Participants |
(1,343,400 | ) | (1,233,481 | ) | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts |
(646,579 | ) | (609,075 | ) | ||||
|
|
|
|
|||||
Net assets available for benefits per the Form 5500 |
$ | 2,122,628,277 | $ | 1,964,108,282 | ||||
|
|
|
|
Deemed distributions of notes receivable from Participants, resulting from defaults of notes receivable from Participants, are no longer considered assets of the Plan with respect to Form 5500 filings.
The following is a reconciliation of net increase in net assets available for benefits per the financial statements to net income per the Form 5500 for the year ended December 31, 2016:
Net increase in net assets available for benefits per the financial statements |
$ | 158,667,418 | ||
Add: Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the current year-end |
(646,579 | ) | ||
Less: Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the prior year-end |
609,075 | |||
Less: Net increase in defaulted notes receivable from Participants |
(11,032 | ) | ||
Less: Interest income of defaulted notes receivable from Participants |
(98,887 | ) | ||
|
|
|||
Total net income per the Form 5500 |
$ | 158,519,995 | ||
|
|
7. | Federal Income Tax Status |
The Company obtained its latest determination letter September 18, 2013, in which the Internal Revenue Service stated that the Plan was in compliance with the applicable requirements of the Code. Although the Plan has been amended since receiving the determination letter, the Plans administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code.
14
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2016 and 2015
Accounting principles generally accepted in the United States of America require Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the Internal Revenue Service. The Plan administrator has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2016 and 2015, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions; however, there are currently no audits for any tax periods in progress. The Plan administrator believes it is no longer subject to income tax examinations for years prior to 2013.
8. | Subsequent Events |
The Plan was amended effective January 1, 2017, in which the authority and responsibility for the general administration of the Plan was changed from the Board of Directors of the Company to the Administrative Committee of the Company.
The Company filed for a new determination letter with the Internal Revenue Service on January 31, 2017.
15
Page 1 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
Interest-bearing Cash | ||||||||||||||||||
State Street Global Advisors | SSGA Short Term Investment Fund | $ | 11,418,507 | $ | 11,418,507 | |||||||||||||
FUTURES CASH COLLATERAL | 43,760.00 | Shares | 45,000 | 45,000 | ||||||||||||||
SWAP COLLATERAL USD | 170,000.00 | Shares | 55,200 | 55,200 | ||||||||||||||
|
|
|
|
|||||||||||||||
Total Interest-bearing Cash |
11,518,707 | 11,518,707 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Mutual Funds | ||||||||||||||||||
American Funds Group | EuroPacific Growth Fund | 104,011,919 | 100,524,511 | |||||||||||||||
RBC Global Asset Management | RBC BlueBay Absolute Return Fund | 12,145,719 | 11,624,847 | |||||||||||||||
Sands Capital Management | Touchstone Sands Capital Institutional Growth Fund | 36,294,133 | 35,757,175 | |||||||||||||||
* |
Fidelity Management Trust Company | Fidelity Institutional Money Market Government Portfolio | 20,035,441 | 20,035,441 | ||||||||||||||
|
|
|
|
|||||||||||||||
Total Mutual Funds |
172,487,212 | 167,941,974 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Collective Investment Trusts | ||||||||||||||||||
Robeco Trust Company | Boston Partners Large Cap Value Equity Fund E | 60,751,875 | 75,005,484 | |||||||||||||||
Nuveen Fund Advisors | NWQ Small/Mid Cap Value Fund J | 47,526,473 | 74,442,682 | |||||||||||||||
Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund F | 92,543,564 | 95,652,828 | |||||||||||||||
Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund L | 91,238,729 | 92,214,720 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock Equity Index Fund M | 221,687,373 | 242,067,619 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock Russell 2500 Fund M | 140,690,761 | 157,747,240 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2020 Fund L | 90,231,116 | 92,128,060 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2025 Fund L | 78,000,647 | 80,223,085 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2030 Fund L | 54,046,858 | 55,910,912 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock MSCI ACWI ex-US IMI Index Fund M | 60,484,825 | 62,268,999 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index Retirement Fund L | 33,620,081 | 34,165,914 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock US Debt Index Fund M | 65,449,120 | 64,366,138 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2035 Fund L | 29,972,699 | 31,164,414 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2040 Fund L | 27,410,354 | 28,622,847 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2045 Fund L | 26,248,726 | 27,476,083 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2050 Fund L | 22,446,422 | 23,507,988 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock TIPS Bond Index Fund M | 15,281,910 | 15,258,613 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2055 Fund L | 11,903,095 | 12,435,204 | |||||||||||||||
BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2060 Fund L | 631,887 | 650,938 | |||||||||||||||
|
|
|
|
|||||||||||||||
Total Collective Investment Trusts |
1,170,166,515 | 1,265,309,768 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Pooled Separate Account | ||||||||||||||||||
Massachusetts Mutual Life Ins. Co. | Separate Account #SB43 | 39,762,358 | 39,765,409 | |||||||||||||||
|
|
|
|
|||||||||||||||
Insurance Company Separate Accounts | ||||||||||||||||||
Metropolitan Life Ins Co. | Separate Account #690 | 35,091,656 | 36,373,537 | |||||||||||||||
Metropolitan Life Ins Co. | Separate Account #694 | 35,048,594 | 35,168,707 | |||||||||||||||
|
|
|
|
|||||||||||||||
Total Insurance Company Separate Accounts |
|
70,140,250 | 71,542,244 | |||||||||||||||
|
|
|
|
|||||||||||||||
Common Stocks | ||||||||||||||||||
* |
Ameren Corporation | 5,124,758.00 | Shares | 193,417,367 | 268,844,805 | |||||||||||||
TENCENT HOLDINGS LIMITED | 55,471.00 | Shares | 977,771 | 1,356,999 | ||||||||||||||
ALLERGAN PLC | 5,435.00 | Shares | 1,452,725 | 1,141,404 | ||||||||||||||
NXP SEMICONDUCTORS NV | 10,095.00 | Shares | 950,032 | 989,411 | ||||||||||||||
ABBOTT LABORATORIES | 17,647.00 | Shares | 680,403 | 677,821 | ||||||||||||||
ADOBE SYSTEMS INC | 14,238.00 | Shares | 858,104 | 1,465,802 | ||||||||||||||
ALBEMARLE CORP | 5,221.00 | Shares | 427,090 | 449,424 | ||||||||||||||
ALEXION PHARMACEUTICALS | 6,961.00 | Shares | 990,239 | 851,678 | ||||||||||||||
ALIBABA GROUP HLD SPON AD | 19,763.00 | Shares | 1,621,610 | 1,735,389 |
1
Page 2 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
ALPHABET INC CL C | 2,829.00 | Shares | 1,278,136 | 2,183,479 | ||||||||||||||
ALPHABET INC CL A | 2,390.00 | Shares | 968,306 | 1,893,956 | ||||||||||||||
AMAZON.COM INC | 6,176.00 | Shares | 1,824,335 | 4,631,197 | ||||||||||||||
APPLE INC | 28,574.00 | Shares | 2,722,610 | 3,309,441 | ||||||||||||||
BIOMARIN PHARMACEUTICAL | 10,116.00 | Shares | 766,366 | 838,009 | ||||||||||||||
BOEING CO | 11,929.00 | Shares | 1,191,708 | 1,857,107 | ||||||||||||||
BRISTOL-MYERS SQUIBB CO | 25,631.00 | Shares | 1,384,251 | 1,497,876 | ||||||||||||||
CELGENE CORP | 14,153.00 | Shares | 1,320,243 | 1,638,210 | ||||||||||||||
CHARTER COMM INC A | 819.00 | Shares | 207,052 | 235,806 | ||||||||||||||
CONCHO RESOURCES INC | 7,845.00 | Shares | 673,959 | 1,040,247 | ||||||||||||||
CONSTELLATION BRANDS CL A | 2,299.00 | Shares | 349,945 | 352,460 | ||||||||||||||
COSTCO WHOLESALE CORP | 5,869.00 | Shares | 609,925 | 939,686 | ||||||||||||||
EOG RESOURCES INC | 10,085.00 | Shares | 684,409 | 1,019,594 | ||||||||||||||
EXPEDIA INC | 3,770.00 | Shares | 443,993 | 427,066 | ||||||||||||||
FACEBOOK INC A | 24,493.00 | Shares | 950,788 | 2,817,920 | ||||||||||||||
FLEETCOR TECHNOLOGIES INC | 6,987.00 | Shares | 926,720 | 988,800 | ||||||||||||||
GOLDMAN SACHS GROUP INC | 6,232.00 | Shares | 966,265 | 1,492,252 | ||||||||||||||
ADIDAS AG | 5,687.00 | Shares | 890,782 | 898,861 | ||||||||||||||
HALLIBURTON CO | 24,907.00 | Shares | 1,147,175 | 1,347,220 | ||||||||||||||
HOME DEPOT INC | 5,500.00 | Shares | 716,496 | 737,440 | ||||||||||||||
ILLUMINA INC | 4,160.00 | Shares | 260,140 | 532,646 | ||||||||||||||
INDITEX SA UNSPN ADR | 61,354.00 | Shares | 907,829 | 1,041,177 | ||||||||||||||
JPMORGAN CHASE & CO | 10,260.00 | Shares | 816,799 | 885,335 | ||||||||||||||
MARRIOTT INTL INC A | 17,044.00 | Shares | 1,055,278 | 1,409,198 | ||||||||||||||
MASTERCARD INC CL A | 22,321.00 | Shares | 1,138,982 | 2,304,643 | ||||||||||||||
MICROSOFT CORP | 39,225.00 | Shares | 2,155,440 | 2,437,442 | ||||||||||||||
MONDELEZ INTL INC | 26,011.00 | Shares | 845,823 | 1,153,068 | ||||||||||||||
MONSTER BEVERAGE CORP | 17,061.00 | Shares | 770,075 | 756,485 | ||||||||||||||
NETFLIX INC | 13,732.00 | Shares | 773,049 | 1,700,022 | ||||||||||||||
NIKE INC CL B | 29,537.00 | Shares | 770,352 | 1,501,366 | ||||||||||||||
NVIDIA CORP | 17,722.00 | Shares | 889,108 | 1,891,646 | ||||||||||||||
PALO ALTO NETWORKS INC | 5,802.00 | Shares | 895,926 | 725,540 | ||||||||||||||
PARKER HANNIFIN CORP | 5,103.00 | Shares | 712,071 | 714,420 | ||||||||||||||
PRICELINE GROUP INC | 1,146.00 | Shares | 878,833 | 1,680,105 | ||||||||||||||
QUALCOMM INC | 17,432.00 | Shares | 1,039,789 | 1,136,566 | ||||||||||||||
RED HAT INC | 14,909.00 | Shares | 803,700 | 1,039,157 | ||||||||||||||
REGENERON PHARMACEUTICALS | 1,851.00 | Shares | 958,031 | 679,484 | ||||||||||||||
S&P GLOBAL INC | 6,491.00 | Shares | 574,455 | 698,042 | ||||||||||||||
SALESFORCE.COM INC | 23,826.00 | Shares | 1,191,844 | 1,631,128 | ||||||||||||||
SHIRE PLC SPON ADR | 7,230.00 | Shares | 1,587,004 | 1,231,847 | ||||||||||||||
SPLUNK INC | 14,120.00 | Shares | 591,267 | 722,238 | ||||||||||||||
STARBUCKS CORP | 21,502.00 | Shares | 884,621 | 1,193,791 | ||||||||||||||
TJX COMPANIES INC NEW | 10,783.00 | Shares | 574,933 | 810,127 | ||||||||||||||
TESLA INC | 2,962.00 | Shares | 515,856 | 632,950 | ||||||||||||||
TIME WARNER INC | 9,261.00 | Shares | 804,303 | 893,964 | ||||||||||||||
VERTEX PHARMACEUTICALS | 5,198.00 | Shares | 454,514 | 382,937 | ||||||||||||||
VISA INC CL A | 28,160.00 | Shares | 1,200,514 | 2,197,043 | ||||||||||||||
WORKDAY INC CL A | 9,833.00 | Shares | 681,052 | 649,863 | ||||||||||||||
WILLIS TOWERS WATSON PLC | 17,780.00 | Shares | 2,029,694 | 2,174,138 | ||||||||||||||
BROADCOM LTD | 14,717.00 | Shares | 1,950,256 | 2,601,524 | ||||||||||||||
JOHNSON CONTROLS INTERNAT | 61,180.00 | Shares | 2,880,654 | 2,520,004 | ||||||||||||||
ARRIS INTERNATIONAL PLC | 25,119.00 | Shares | 595,203 | 756,835 | ||||||||||||||
AERCAP HOLDINGS NV | 33,707.00 | Shares | 975,670 | 1,402,548 | ||||||||||||||
SUNCOR ENERGY INC | 2,353.00 | Shares | 62,019 | 76,920 | ||||||||||||||
TE CONNECTIVITY LTD | 35,491.00 | Shares | 1,923,805 | 2,458,816 |
2
Page 3 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
EATON CORP PLC | 40,150.00 | Shares | 2,050,385 | 2,693,664 | ||||||||||||||
AFLAC INC | 35,844.00 | Shares | 2,065,208 | 2,494,742 | ||||||||||||||
AECOM | 26,703.00 | Shares | 695,839 | 970,921 | ||||||||||||||
AETNA INC | 19,626.00 | Shares | 1,996,899 | 2,433,820 | ||||||||||||||
AMERIPRISE FINANCIAL INC | 23,160.00 | Shares | 2,081,039 | 2,569,370 | ||||||||||||||
ANTHEM INC | 15,629.00 | Shares | 1,994,496 | 2,246,981 | ||||||||||||||
ASSURANT INC | 11,350.00 | Shares | 900,049 | 1,053,961 | ||||||||||||||
AVIS BUDGET GROUP | 17,114.00 | Shares | 433,908 | 627,742 | ||||||||||||||
CELANESE CORP SER A | 26,098.00 | Shares | 1,663,732 | 2,054,957 | ||||||||||||||
COMCAST CORP CL A | 36,334.00 | Shares | 2,106,993 | 2,508,863 | ||||||||||||||
COMMSCOPE HOLDING CO INC | 32,658.00 | Shares | 1,028,585 | 1,214,878 | ||||||||||||||
CORNING INC | 109,177.00 | Shares | 2,019,303 | 2,649,726 | ||||||||||||||
EOG RESOURCES INC | 29,423.00 | Shares | 2,067,251 | 2,974,665 | ||||||||||||||
GOODYEAR TIRE & RUBBER CO | 45,436.00 | Shares | 1,278,467 | 1,402,609 | ||||||||||||||
HERTZ GLOBAL HOLDINGS INC | 18,314.00 | Shares | 673,539 | 394,850 | ||||||||||||||
LIBERTY INTERACTIVE CL A | 78,808.00 | Shares | 1,991,891 | 1,574,584 | ||||||||||||||
LINCOLN NATIONAL CORP | 39,685.00 | Shares | 1,683,518 | 2,629,925 | ||||||||||||||
MICROSEMI CORP | 17,871.00 | Shares | 675,728 | 964,498 | ||||||||||||||
NCR CORP | 28,655.00 | Shares | 611,784 | 1,162,247 | ||||||||||||||
NATIONAL OILWELL VARCO | 63,425.00 | Shares | 1,785,861 | 2,374,632 | ||||||||||||||
OWENS ILLINOIS INC | 28,291.00 | Shares | 353,639 | 492,546 | ||||||||||||||
SUNCOR ENRGY INC | 86,114.00 | Shares | 1,972,872 | 2,815,067 | ||||||||||||||
SYMANTEC CORP | 103,203.00 | Shares | 1,982,258 | 2,465,520 | ||||||||||||||
TENNECO INC | 9,998.00 | Shares | 368,709 | 624,575 | ||||||||||||||
WESTERN DIGITAL CORP | 38,964.00 | Shares | 1,868,583 | 2,647,604 | ||||||||||||||
WESTERN UNION CO | 87,775.00 | Shares | 1,528,211 | 1,906,473 | ||||||||||||||
WHIRLPOOL CORP | 12,189.00 | Shares | 2,281,494 | 2,215,595 | ||||||||||||||
MOBILEYE NV | 39,387.00 | Shares | 1,696,702 | 1,501,432 | ||||||||||||||
SHOPIFY INC CL A (US) | 5,930.00 | Shares | 240,840 | 254,219 | ||||||||||||||
NORWEGIAN CRUISE LINE HLG | 6,800.00 | Shares | 301,676 | 289,204 | ||||||||||||||
ABIOMED INC | 2,700.00 | Shares | 278,227 | 304,236 | ||||||||||||||
ALBEMARLE CORP | 7,000.00 | Shares | 590,413 | 602,560 | ||||||||||||||
ALIGN TECHNOLOGY INC | 10,018.00 | Shares | 699,888 | 963,030 | ||||||||||||||
AMETEK INC NEW | 16,800.00 | Shares | 837,796 | 816,480 | ||||||||||||||
BLUEBIRD BIO INC | 2,300.00 | Shares | 166,693 | 141,910 | ||||||||||||||
BOOZ ALLEN HAMILTON CL A | 12,200.00 | Shares | 400,405 | 440,054 | ||||||||||||||
BORGWARNER INC | 26,700.00 | Shares | 972,248 | 1,053,048 | ||||||||||||||
BURLINGTON STORES INC | 11,121.00 | Shares | 700,080 | 942,505 | ||||||||||||||
CACI INTERNATIONAL INC | 1,800.00 | Shares | 200,599 | 223,740 | ||||||||||||||
COGNEX CORP | 6,900.00 | Shares | 376,268 | 438,978 | ||||||||||||||
COHERENT INC | 2,449.00 | Shares | 210,030 | 336,456 | ||||||||||||||
COHERUS BIOSCIENCES INC | 8,349.00 | Shares | 177,992 | 235,024 | ||||||||||||||
COMERICA INC | 5,800.00 | Shares | 329,595 | 395,038 | ||||||||||||||
COMMSCOPE HOLDING CO INC | 26,304.00 | Shares | 791,440 | 978,509 | ||||||||||||||
COMMVAULT SYSTEMS INC | 9,000.00 | Shares | 487,402 | 462,600 | ||||||||||||||
DAVE & BUSTERS ENTMT INC | 4,700.00 | Shares | 211,388 | 264,610 | ||||||||||||||
IMAX CORP | 16,000.00 | Shares | 501,951 | 502,400 | ||||||||||||||
DIAMONDBACK ENERGY INC | 4,822.00 | Shares | 375,131 | 487,311 | ||||||||||||||
DYCOM INDUSTRIES INC | 3,978.00 | Shares | 288,656 | 319,394 | ||||||||||||||
E TRADE FINANCIAL CORP | 23,900.00 | Shares | 795,921 | 828,135 | ||||||||||||||
ROYAL CARIBBEAN CRUISES | 11,700.00 | Shares | 911,498 | 959,868 | ||||||||||||||
EXPEDIA INC | 1,700.00 | Shares | 216,883 | 192,576 | ||||||||||||||
FIRST REPUBLIC BANK | 7,924.00 | Shares | 589,704 | 730,117 | ||||||||||||||
FIVE9 INC | 28,090.00 | Shares | 259,466 | 398,597 | ||||||||||||||
GENESEE & WYOMING CL A | 9,200.00 | Shares | 694,306 | 638,572 |
3
Page 4 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
GRUBHUB INC | 8,000.00 | Shares | 313,445 | 300,960 | ||||||||||||||
HEALTHSOUTH CORP | 10,202.00 | Shares | 417,540 | 420,730 | ||||||||||||||
IDEXX LABS INC | 12,906.00 | Shares | 1,006,257 | 1,513,487 | ||||||||||||||
INTER PARFUMS INC | 12,500.00 | Shares | 413,279 | 409,375 | ||||||||||||||
INTRA-CELLULAR THERAPIES | 8,572.00 | Shares | 278,799 | 129,351 | ||||||||||||||
IROBOT CORP | 8,900.00 | Shares | 417,177 | 520,205 | ||||||||||||||
JACK IN THE BOX INC | 1,600.00 | Shares | 155,921 | 178,624 | ||||||||||||||
K2M GROUP HLDGS INC | 18,612.00 | Shares | 386,393 | 372,984 | ||||||||||||||
LEXICON PHARMACEUTICALS | 16,671.00 | Shares | 300,597 | 230,560 | ||||||||||||||
MKS INSTRUMENTS INC | 5,900.00 | Shares | 290,548 | 350,460 | ||||||||||||||
MATCH GROUP INC | 17,400.00 | Shares | 309,583 | 297,540 | ||||||||||||||
MERCURY SYSTEMS INC | 9,773.00 | Shares | 208,975 | 295,340 | ||||||||||||||
METTLER-TOLEDO INTL INC | 970.00 | Shares | 399,009 | 406,003 | ||||||||||||||
MICRON TECHNOLOGY INC | 48,213.00 | Shares | 657,755 | 1,056,829 | ||||||||||||||
MICROSEMI CORP | 4,100.00 | Shares | 166,522 | 221,277 | ||||||||||||||
MIDDLEBY CORP | 7,456.00 | Shares | 915,576 | 960,407 | ||||||||||||||
MINDBODY INC CL A | 18,500.00 | Shares | 363,072 | 394,050 | ||||||||||||||
NEUROCRINE BIOSCIENCES | 3,200.00 | Shares | 155,830 | 123,840 | ||||||||||||||
NEVRO CORPORATION | 8,493.00 | Shares | 523,765 | 617,101 | ||||||||||||||
NEWFIELD EXPLORATION CO | 19,400.00 | Shares | 887,094 | 785,700 | ||||||||||||||
NORDSTROM INC | 8,800.00 | Shares | 499,635 | 421,784 | ||||||||||||||
NUVASIVE INC | 10,562.00 | Shares | 589,207 | 711,456 | ||||||||||||||
PVH CORP | 2,300.00 | Shares | 253,990 | 207,552 | ||||||||||||||
PANERA BREAD CO CL A | 1,660.00 | Shares | 347,178 | 340,449 | ||||||||||||||
PARSLEY ENERGY INC CL A | 6,052.00 | Shares | 132,150 | 213,272 | ||||||||||||||
PROOFPOINT INC | 2,105.00 | Shares | 71,353 | 148,718 | ||||||||||||||
RADIAN GROUP INC | 25,300.00 | Shares | 428,729 | 454,894 | ||||||||||||||
RINGCENTRAL INC CL A | 29,581.00 | Shares | 617,490 | 609,369 | ||||||||||||||
SERVICENOW INC | 13,734.00 | Shares | 707,157 | 1,020,986 | ||||||||||||||
SNYDERS LANCE INC | 19,000.00 | Shares | 695,435 | 728,460 | ||||||||||||||
SPIRIT AIRLINES INC | 14,200.00 | Shares | 735,141 | 821,612 | ||||||||||||||
SQUARE INC CL A | 36,230.00 | Shares | 431,557 | 493,815 | ||||||||||||||
STAMPS.COM INC | 7,548.00 | Shares | 486,391 | 865,378 | ||||||||||||||
TAKE-TWO INTERACTV SOFTWR | 8,500.00 | Shares | 382,359 | 418,965 | ||||||||||||||
TENNECO INC | 14,900.00 | Shares | 840,742 | 930,803 | ||||||||||||||
TESARO INC | 3,885.00 | Shares | 466,403 | 522,455 | ||||||||||||||
TRIMBLE INC | 11,966.00 | Shares | 306,816 | 360,775 | ||||||||||||||
US CONCRETE INC C NEW | 7,322.00 | Shares | 375,231 | 479,591 | ||||||||||||||
US SILICA HOLDINGS INC | 7,400.00 | Shares | 411,893 | 419,432 | ||||||||||||||
ULTA BEAUTY INC | 2,904.00 | Shares | 378,069 | 740,346 | ||||||||||||||
ULTRAGENYX PHARMA INC | 2,571.00 | Shares | 219,651 | 180,767 | ||||||||||||||
UNIVERSAL DISPLAY CORP | 9,102.00 | Shares | 434,272 | 512,443 | ||||||||||||||
VAIL RESORTS INC | 4,869.00 | Shares | 672,784 | 785,418 | ||||||||||||||
VANTIV INC | 5,104.00 | Shares | 278,104 | 304,300 | ||||||||||||||
VIASAT INC | 3,010.00 | Shares | 209,551 | 199,322 | ||||||||||||||
VOCERA COMMUNICATIONS INC | 24,512.00 | Shares | 371,878 | 453,227 | ||||||||||||||
WABASH NATIONAL CORP | 13,600.00 | Shares | 214,353 | 215,152 | ||||||||||||||
WELLCARE HEALTH PLANS INC | 8,105.00 | Shares | 751,904 | 1,111,033 | ||||||||||||||
WHITING PETROLEUM CORP | 16,700.00 | Shares | 209,302 | 200,734 | ||||||||||||||
ZIONS BANCORP | 21,150.00 | Shares | 733,550 | 910,296 | ||||||||||||||
ZUMIEZ INC | 8,500.00 | Shares | 203,572 | 185,725 | ||||||||||||||
OM ASSET MANAGEMENT PLC | 24,777.00 | Shares | 424,898 | 359,267 | ||||||||||||||
AXALTA COATING SYSTEMS | 20,890.00 | Shares | 586,413 | 568,208 | ||||||||||||||
FIRSTSERVICE CORP (US) | 12,605.00 | Shares | 278,014 | 598,485 | ||||||||||||||
HERBALIFE LTD | 8,120.00 | Shares | 477,602 | 390,897 |
4
Page 5 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
ABIOMED INC | 5,750.00 | Shares | 283,582 | 647,910 | ||||||||||||||
AFFILIATED MANAGERS GRP | 6,002.00 | Shares | 883,596 | 872,091 | ||||||||||||||
AKAMAI TECHNOLOGIES INC | 11,650.00 | Shares | 578,825 | 776,822 | ||||||||||||||
AKORN INC | 31,351.00 | Shares | 780,523 | 684,392 | ||||||||||||||
ALIGN TECHNOLOGY INC | 5,327.00 | Shares | 218,038 | 512,085 | ||||||||||||||
AMEDISYS INC | 11,325.00 | Shares | 478,485 | 482,785 | ||||||||||||||
ARISTA NETWORKS INC | 5,540.00 | Shares | 418,890 | 536,106 | ||||||||||||||
BWX TECHNOLOGIES INC | 21,890.00 | Shares | 829,300 | 869,033 | ||||||||||||||
BALL CORP | 9,420.00 | Shares | 688,381 | 707,159 | ||||||||||||||
BANK OF THE OZARKS INC | 18,170.00 | Shares | 766,426 | 955,560 | ||||||||||||||
BLUE BUFFALO PET PRODUCTS | 18,710.00 | Shares | 470,220 | 449,788 | ||||||||||||||
BOOZ ALLEN HAMILTON CL A | 29,613.00 | Shares | 729,892 | 1,068,141 | ||||||||||||||
CBOE HOLDINGS INC | 6,720.00 | Shares | 262,959 | 496,541 | ||||||||||||||
CSRA INC | 26,270.00 | Shares | 732,322 | 836,437 | ||||||||||||||
CABLE ONE INC W/I | 470.00 | Shares | 218,756 | 292,213 | ||||||||||||||
CAMBREX CORP | 15,490.00 | Shares | 725,122 | 835,686 | ||||||||||||||
CARRIZO OIL & GAS INC | 9,820.00 | Shares | 451,607 | 366,777 | ||||||||||||||
CELANESE CORP SER A | 9,260.00 | Shares | 466,746 | 729,132 | ||||||||||||||
CENTENE CORP | 13,950.00 | Shares | 844,997 | 788,315 | ||||||||||||||
COLLIERS INTL GRP INC | 160.00 | Shares | 5,853 | 5,851 | ||||||||||||||
COLLIERS INTL GROUP (US) | 8,404.00 | Shares | 223,769 | 308,847 | ||||||||||||||
COPART INC | 16,610.00 | Shares | 850,831 | 920,360 | ||||||||||||||
COSTAR GROUP INC | 6,393.00 | Shares | 844,904 | 1,205,017 | ||||||||||||||
IMAX CORP | 19,832.00 | Shares | 620,116 | 622,725 | ||||||||||||||
DEVRY EDUCATION GROUP INC | 19,437.00 | Shares | 419,885 | 606,434 | ||||||||||||||
DIAMONDBACK ENERGY INC | 7,520.00 | Shares | 521,714 | 759,971 | ||||||||||||||
DUN & BRADSTREET DEL NEW | 4,350.00 | Shares | 498,255 | 527,742 | ||||||||||||||
ENCORE CAP GROUP INC | 15,419.00 | Shares | 542,326 | 441,754 | ||||||||||||||
EXACT SCIENCES CORP | 44,550.00 | Shares | 541,501 | 595,188 | ||||||||||||||
FACTSET RESEARCH SYS INC | 3,661.00 | Shares | 431,946 | 598,317 | ||||||||||||||
FIRSTCASH INC | 11,751.00 | Shares | 586,489 | 552,297 | ||||||||||||||
FIRSTSERVICE CORP | 120.00 | Shares | 5,710 | 5,708 | ||||||||||||||
GLAUKOS CORP | 14,730.00 | Shares | 481,156 | 505,239 | ||||||||||||||
GUIDEWIRE SOFTWARE INC | 18,112.00 | Shares | 762,663 | 893,465 | ||||||||||||||
HEALTHSOUTH CORP | 14,616.00 | Shares | 497,803 | 602,764 | ||||||||||||||
HEICO CORP CL A | 8,750.00 | Shares | 477,231 | 594,125 | ||||||||||||||
HEXCEL CORPORATION | 13,810.00 | Shares | 577,740 | 710,386 | ||||||||||||||
IBERIABANK CORP | 4,200.00 | Shares | 371,677 | 351,750 | ||||||||||||||
IDEXX LABS INC | 4,036.00 | Shares | 263,671 | 473,302 | ||||||||||||||
ISHARES RUSSEL MIDCP GRWT | 3,079.00 | Shares | 296,367 | 299,864 | ||||||||||||||
ISHARES RUSSELL 2000 GR E | 7,800.00 | Shares | 1,146,105 | 1,200,732 | ||||||||||||||
JONES LANG LASALLE INC | 4,347.00 | Shares | 472,218 | 439,221 | ||||||||||||||
J2 GLOBAL INC | 13,945.00 | Shares | 720,075 | 1,140,701 | ||||||||||||||
LIGAND PHARMACEUTICALS | 9,116.00 | Shares | 610,164 | 926,277 | ||||||||||||||
MARTIN MARIETTA MATERIALS | 2,900.00 | Shares | 475,559 | 642,437 | ||||||||||||||
MAXIMUS INC | 18,750.00 | Shares | 1,040,203 | 1,046,063 | ||||||||||||||
METTLER-TOLEDO INTL INC | 2,430.00 | Shares | 616,192 | 1,017,101 | ||||||||||||||
MIDDLEBY CORP | 6,474.00 | Shares | 575,889 | 833,916 | ||||||||||||||
NU SKIN ENTERPRISES CL A | 5,147.00 | Shares | 222,937 | 245,924 | ||||||||||||||
OLD DOMINION FREIGHT LINE | 16,294.00 | Shares | 889,891 | 1,397,862 | ||||||||||||||
PANDORA MEDIA INC | 24,407.00 | Shares | 396,567 | 318,267 | ||||||||||||||
REPLIGEN | 3,935.00 | Shares | 93,823 | 121,277 | ||||||||||||||
SBA COMM CORP CL A | 8,610.00 | Shares | 682,896 | 889,069 | ||||||||||||||
SIGNATURE BANK | 6,880.00 | Shares | 781,792 | 1,033,376 | ||||||||||||||
SITEONE LANDSCAPE SUPPLY | 10,780.00 | Shares | 360,105 | 374,389 |
5
Page 6 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
SIX FLAGS ENTERTAINMENT | 21,780.00 | Shares | 887,286 | 1,305,929 | ||||||||||||||
TAKE-TWO INTERACTV SOFTWR | 12,430.00 | Shares | 511,975 | 612,675 | ||||||||||||||
TORO CO | 11,294.00 | Shares | 384,108 | 631,899 | ||||||||||||||
TRACTOR SUPPLY CO. | 17,280.00 | Shares | 1,196,036 | 1,309,997 | ||||||||||||||
TRANSDIGM GROUP INC | 3,321.00 | Shares | 633,163 | 826,796 | ||||||||||||||
2U INC | 19,098.00 | Shares | 376,257 | 575,805 | ||||||||||||||
ULTA BEAUTY INC | 2,920.00 | Shares | 479,338 | 744,425 | ||||||||||||||
UNIVERSAL ELECTRONICS INC | 9,210.00 | Shares | 617,120 | 594,506 | ||||||||||||||
VAIL RESORTS INC | 1,755.00 | Shares | 284,568 | 283,099 | ||||||||||||||
VANTIV INC | 14,969.00 | Shares | 505,699 | 892,452 | ||||||||||||||
VEEVA SYS INC CL A | 20,870.00 | Shares | 630,898 | 849,409 | ||||||||||||||
VIRTU FINANCIAL INC CL A | 16,227.00 | Shares | 354,692 | 258,821 | ||||||||||||||
WD 40 CO | 5,620.00 | Shares | 492,479 | 656,978 | ||||||||||||||
WNS HLDGS LTD SP ADR | 15,913.00 | Shares | 295,055 | 438,403 | ||||||||||||||
WESTINGHOUSE AIR BRAKE TE | 7,270.00 | Shares | 590,254 | 603,554 | ||||||||||||||
|
|
|
|
|||||||||||||||
Total Common Stocks |
372,774,662 | 492,317,641 | ||||||||||||||||
|
|
|
|
|||||||||||||||
U.S. Government Securities |
||||||||||||||||||
USTB 4.625% 2/15/40 | 250,000.00 | Shares | 318,008 | 318,922 | ||||||||||||||
FANNIEMAE 30YR 3% 10/46#AS8186 | 668,983.58 | Shares | 692,424 | 665,247 | ||||||||||||||
FHLG 30YR 3% 03/45#G08631 | 670,612.81 | Shares | 670,508 | 666,919 | ||||||||||||||
FNMA 5.00% 5/38 #983077 | 242,515.05 | Shares | 268,282 | 265,933 | ||||||||||||||
FNMA 3.5% 09/45#AS5722 | 267,202.18 | Shares | 280,061 | 273,954 | ||||||||||||||
FNMA 30YR 3% 01/47 #TBA | 915,000.00 | Shares | 909,819 | 908,852 | ||||||||||||||
FNMA 30YR 3% 08/46#AS7737 | 659,217.48 | Shares | 684,453 | 655,535 | ||||||||||||||
FNMA 30YR 3% 11/46#MA2806 | 233,491.93 | Shares | 240,460 | 232,188 | ||||||||||||||
FNMA 30YR 3.0% 5/43#AT2722 | 371,762.94 | Shares | 387,795 | 370,848 | ||||||||||||||
FNMA 30YR 3.5% 01/01/45#MA2163 | 600,531.09 | Shares | 621,550 | 615,705 | ||||||||||||||
FNMA 30YR 3.5% 01/47 #TBA | 1,960,000.00 | Shares | 2,010,645 | 2,007,917 | ||||||||||||||
FNMA 30YR 3.5% 05/46#AS7245 | 308,065.16 | Shares | 325,827 | 315,873 | ||||||||||||||
FNMA 30YR 3.5% 06/46#AS7348 | 652,270.23 | Shares | 673,571 | 669,465 | ||||||||||||||
FNMA 30YR 3.5% 07/46#AS7544 | 1,119,702.53 | Shares | 1,142,792 | 1,148,170 | ||||||||||||||
FNMA 30YR 4% 01/47 #TBA | 435,000.00 | Shares | 457,447 | 457,022 | ||||||||||||||
FNMA 30YR 4% 03/45#AS4630 | 500,413.21 | Shares | 531,376 | 526,939 | ||||||||||||||
FNMA 30YR 4% 11/46#MA2808 | 652,307.17 | Shares | 680,642 | 686,630 | ||||||||||||||
FNMA 30YR 4% 12/01/45#MA2484 | 636,385.31 | Shares | 679,142 | 668,925 | ||||||||||||||
FNMA 30YR 4.0% 07/45#AS5380 | 635,572.30 | Shares | 679,566 | 669,858 | ||||||||||||||
FNMA 30YR 4.0% 12/01/44#AX4873 | 424,754.68 | Shares | 451,169 | 447,270 | ||||||||||||||
FNMA 30YR 4.5% 01/47 #TBA | 1,475,000.00 | Shares | 1,587,469 | 1,585,155 | ||||||||||||||
|
|
|
|
|||||||||||||||
Total U.S. Government Securities |
14,293,006 | 14,157,327 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Corporate debt securities |
||||||||||||||||||
UBS 7.125 PERP-20 AT1 7% | 200,000.00 | Shares | 210,500 | 205,675 | ||||||||||||||
AFLAC INC 6.45% 8/15/40 | 61,000.00 | Shares | 76,431 | 79,753 | ||||||||||||||
AT&T INC 5.55% 8/15/41 | 170,000.00 | Shares | 178,396 | 176,697 | ||||||||||||||
AT&T INC 3.8% 03/15/22 | 340,000.00 | Shares | 345,957 | 348,197 | ||||||||||||||
APX GROUP 7.875% 12/01/22 | 55,000.00 | Shares | 55,000 | 59,538 | ||||||||||||||
AECOM 5.75% 10/15/2022 W/I | 65,000.00 | Shares | 67,593 | 68,705 | ||||||||||||||
AGRIUM INC 3.375% 03/15/25 | 200,000.00 | Shares | 194,888 | 193,479 | ||||||||||||||
ALCOA INC MTN 5.4% 4/15/21 | 75,000.00 | Shares | 81,644 | 79,500 | ||||||||||||||
ALLEGHENY TECH STEP 8/15/23 | 55,000.00 | Shares | 57,448 | 53,900 | ||||||||||||||
ALLSTATE CORP 5.75 8/53 | 130,000.00 | Shares | 140,595 | 134,407 | ||||||||||||||
ALLY FINL INC 5.75% 11/20/25 | 135,000.00 | Shares | 131,593 | 134,663 | ||||||||||||||
ALTICE FING 6.625% 2/23 144A | 65,000.00 | Shares | 64,350 | 66,788 | ||||||||||||||
ALTRIA GROUP INC 2.85% 8/09/22 | 110,000.00 | Shares | 107,606 | 110,014 |
6
Page 7 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
AMERICAN EXPRESS 5.2% VAR PERP | 135,000.00 | Shares | 135,844 | 133,988 | ||||||||||||||
AMERICAN TOWER CORP 5% 2/24 | 150,000.00 | Shares | 161,078 | 161,323 | ||||||||||||||
ANADARKO MTN 6.2% 3/15/40 | 90,000.00 | Shares | 104,194 | 102,911 | ||||||||||||||
ANGLOGOLD HLDNGS MTN 6.5% 4/40 | 95,000.00 | Shares | 89,765 | 85,500 | ||||||||||||||
ANHEUSER-BUSCH 3.65% 2/1/26 | 215,000.00 | Shares | 221,757 | 217,930 | ||||||||||||||
ANIXTER INC 5.125% 10/01/2021 | 65,000.00 | Shares | 67,763 | 67,600 | ||||||||||||||
APACHE CORP 4.25% 1/15/44 | 150,000.00 | Shares | 134,948 | 147,582 | ||||||||||||||
APPLE INC 3.85% 5/4/43 | 150,000.00 | Shares | 136,974 | 143,148 | ||||||||||||||
AUTONATION INC 4.5% 10/01/25 | 105,000.00 | Shares | 110,259 | 106,091 | ||||||||||||||
AVIS BUDGET 6.375% 04/24 144A | 55,000.00 | Shares | 55,000 | 54,931 | ||||||||||||||
BAE SYSTEMS 3.85% 12/25 144A | 135,000.00 | Shares | 133,407 | 137,499 | ||||||||||||||
BNP PARIBAS VR/7.625% PRP 144A | 270,000.00 | Shares | 270,000 | 284,877 | ||||||||||||||
BNP PARIBAS 4.375 5/12/26 144A | 200,000.00 | Shares | 199,648 | 197,120 | ||||||||||||||
BANK OF AMR CORP 6.3% VAR PERP | 95,000.00 | Shares | 95,000 | 99,275 | ||||||||||||||
BANK AMER FDG CORP 4% 04/01/24 | 305,000.00 | Shares | 314,634 | 314,199 | ||||||||||||||
BANK AMER CORP 4.25% 10/22/26 | 105,000.00 | Shares | 105,044 | 106,117 | ||||||||||||||
BANK OF AMER 3.248% 10/21/27 | 240,000.00 | Shares | 225,823 | 228,753 | ||||||||||||||
BARCLAYSPLC 3.65% 03/16/25 | 285,000.00 | Shares | 277,878 | 275,544 | ||||||||||||||
BAXALTA INC 4% 06/23/25 | 220,000.00 | Shares | 218,513 | 220,363 | ||||||||||||||
BECTON DICKINS 3.734% 12/15/24 | 63,000.00 | Shares | 64,121 | 64,369 | ||||||||||||||
BROOKFIELD RESI 6.5% 12/15/20 | 45,000.00 | Shares | 46,517 | 46,013 | ||||||||||||||
BUNGE LTD FIN 3.25% 8/15/26 | 140,000.00 | Shares | 139,870 | 134,239 | ||||||||||||||
CBS CORP 4% 01/15/26 | 115,000.00 | Shares | 112,574 | 116,803 | ||||||||||||||
CIT GROUP INC 5.0% 08/01/23 | 85,000.00 | Shares | 87,040 | 87,763 | ||||||||||||||
CALIF RES 8.0% 12/15/22 144A | 30,000.00 | Shares | 35,618 | 26,700 | ||||||||||||||
CALUMET SPEC PD 6.5% 04/15/21 | 55,000.00 | Shares | 55,402 | 46,613 | ||||||||||||||
CAPITAL ONE FIN PERP | 135,000.00 | Shares | 137,869 | 136,688 | ||||||||||||||
CAPITAL ONE BK 3.375% 2/15/23 | 180,000.00 | Shares | 178,151 | 178,132 | ||||||||||||||
CASCADES INC 5.75% 07/23 144A | 75,000.00 | Shares | 70,500 | 76,125 | ||||||||||||||
CENTURYLINK INC 6.75% 12/23 W | 150,000.00 | Shares | 160,875 | 153,375 | ||||||||||||||
CCO LLC/CAPITL 4.908% 07/23/25 | 100,000.00 | Shares | 100,000 | 105,262 | ||||||||||||||
CITIGROUP INC 3.875% 10/25/23 | 105,000.00 | Shares | 109,032 | 108,072 | ||||||||||||||
CITIGROUP INC 3.75% 06/16/24 | 105,000.00 | Shares | 107,771 | 106,812 | ||||||||||||||
CITIGROUP 4.3% 11/26 | 190,000.00 | Shares | 191,763 | 191,497 | ||||||||||||||
CITIGROUP INC 3.3% 04/27/25 | 225,000.00 | Shares | 232,081 | 220,148 | ||||||||||||||
CITIGROUP INC 6.25% VAR PERP | 110,000.00 | Shares | 110,000 | 113,190 | ||||||||||||||
CITIGROUP 3.2% 10/21/26 | 95,000.00 | Shares | 89,742 | 90,704 | ||||||||||||||
COMCAST CORP 6.4% 5/15/38 | 80,000.00 | Shares | 100,078 | 102,278 | ||||||||||||||
CONOCOPHILLIPS 6.5% 2/01/39 | 70,000.00 | Shares | 88,362 | 88,473 | ||||||||||||||
CONSTELATION ENERGY5.15% 12/20 | 125,000.00 | Shares | 138,075 | 135,037 | ||||||||||||||
CONTINENTAL OK 5% 9/15/22 | 85,000.00 | Shares | 84,937 | 85,798 | ||||||||||||||
RABOBK NEDERLND 3.95% 11/09/22 | 250,000.00 | Shares | 262,088 | 256,894 | ||||||||||||||
COX COMM 3.35% 9/15/26 144A | 115,000.00 | Shares | 114,554 | 109,654 | ||||||||||||||
CROWN CASTLE 3.7% 6/15/26 | 90,000.00 | Shares | 89,726 | 88,211 | ||||||||||||||
CUMMINS INC 4.875% 10/01/43 | 120,000.00 | Shares | 132,666 | 133,246 | ||||||||||||||
DISCOVER BANK 4.25% 03/13/26 | 250,000.00 | Shares | 251,320 | 254,329 | ||||||||||||||
DISH DBS 5.125% 5/1/20 | 75,000.00 | Shares | 75,188 | 77,625 | ||||||||||||||
DOMTAR CORP 6.75% 02/15/44 | 190,000.00 | Shares | 206,448 | 192,701 | ||||||||||||||
DYNEGY INC 8% 01/15/25 144A | 55,000.00 | Shares | 55,300 | 51,563 | ||||||||||||||
ELECTRICITE DE PERP 12/49 144A | 160,000.00 | Shares | 165,800 | 150,400 | ||||||||||||||
EBAY INC 3.8% 03/09/2022 | 155,000.00 | Shares | 154,784 | 159,977 | ||||||||||||||
ENDO FIN CO 5.75% 1/15/22 144A | 90,000.00 | Shares | 92,205 | 79,425 | ||||||||||||||
ENLINK MIDSTRM LP 4.15% 6/25 | 140,000.00 | Shares | 137,284 | 135,719 | ||||||||||||||
FEDEX CORP 3.25% 04/01/2026 | 120,000.00 | Shares | 119,755 | 119,004 | ||||||||||||||
FIRSTENERGY 4.35% 01/25 144A | 130,000.00 | Shares | 135,715 | 134,344 |
7
Page 8 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
FORD MTR CR LLC 4.25% 9/20/22 | 210,000.00 | Shares | 222,119 | 216,127 | ||||||||||||||
FRONTIER COMM 8.5% 4/15/20 | 80,000.00 | Shares | 85,880 | 84,000 | ||||||||||||||
GEO GROUP INC 6% 04/15/26 | 65,000.00 | Shares | 66,138 | 63,863 | ||||||||||||||
GENERAL ELECTRIC 5.0%/VAR PERP | 469,000.00 | Shares | 422,100 | 486,681 | ||||||||||||||
GENWORTH HLDGS 4.8% 02/15/24 | 55,000.00 | Shares | 48,247 | 44,825 | ||||||||||||||
GOLDMAN SACHS GP 5.75% 1/24/22 | 360,000.00 | Shares | 414,360 | 404,334 | ||||||||||||||
GOLDMAN SCHS GRP INC 4% 3/3/24 | 390,000.00 | Shares | 411,405 | 404,135 | ||||||||||||||
GOLDMAN SACH GP 4.25% 10/21/25 | 85,000.00 | Shares | 84,405 | 86,231 | ||||||||||||||
GOLDMAN SACHS GROUP STEP PERP | 90,000.00 | Shares | 90,000 | 86,288 | ||||||||||||||
GUITR CN INC 6.5% 4/15/19 144A | 45,000.00 | Shares | 41,288 | 40,838 | ||||||||||||||
HSBC HLDGS PLC 6.8% 6/01/38 | 190,000.00 | Shares | 243,755 | 240,241 | ||||||||||||||
HARMAN INTL IND 4.15% 05/15/25 | 165,000.00 | Shares | 165,774 | 170,137 | ||||||||||||||
HESS CORP 3.5% 7/15/24 | 80,000.00 | Shares | 78,254 | 76,909 | ||||||||||||||
HP ENTERPRISE CO VAR 10/15/25 | 255,000.00 | Shares | 253,067 | 262,015 | ||||||||||||||
HOLLY ENR PRTN 6% 08/24 144A | 45,000.00 | Shares | 45,000 | 46,913 | ||||||||||||||
INTL PAPER CO GLB 8.7 6/15/38 | 145,000.00 | Shares | 202,336 | 209,391 | ||||||||||||||
JPMC CO 6.4% 5/15/38 | 110,000.00 | Shares | 139,787 | 142,310 | ||||||||||||||
JPMORGAN CHASE 3.2% 1/25/23 | 125,000.00 | Shares | 125,023 | 126,265 | ||||||||||||||
JPM CHASE 6.75% PERP | 245,000.00 | Shares | 267,026 | 263,988 | ||||||||||||||
JPMORGAN CHASE 2.95% 10/01/26 | 95,000.00 | Shares | 89,441 | 90,538 | ||||||||||||||
KINDER MORGAN 4.25% 09/01/24 | 105,000.00 | Shares | 105,177 | 107,325 | ||||||||||||||
KRAFT HEINZ CO 4.375% 6/1/46 | 125,000.00 | Shares | 124,605 | 117,389 | ||||||||||||||
L3 COMM 3.85% 12/15/26 | 110,000.00 | Shares | 109,438 | 109,178 | ||||||||||||||
LYB INTL FIN BV 4.0% 07/15/23 | 170,000.00 | Shares | 178,852 | 176,915 | ||||||||||||||
HOLCIM US FI 3.5% 9/22/26 144A | 200,000.00 | Shares | 199,832 | 193,494 | ||||||||||||||
LAND O LAKES INC 8% PERP 144A | 125,000.00 | Shares | 125,000 | 127,500 | ||||||||||||||
LAZARD GROUP LLC 3.625% 3/1/27 | 290,000.00 | Shares | 288,750 | 275,129 | ||||||||||||||
LENNAR CORP 4.75% 04/01/21 | 50,000.00 | Shares | 50,000 | 51,625 | ||||||||||||||
LEVEL 3 FIN 5.25% 3/15/26 144A | 90,000.00 | Shares | 90,000 | 89,100 | ||||||||||||||
LEVI STRAUSS & CO 5% 5/1/25 | 100,000.00 | Shares | 97,000 | 100,000 | ||||||||||||||
LIBERTY MUTUAL 4.95% 5/22 144A | 405,000.00 | Shares | 441,503 | 441,457 | ||||||||||||||
LIFEPOINT 5.375% 5/1/24 144A | 60,000.00 | Shares | 60,038 | 58,770 | ||||||||||||||
MGM RESORTS INTL 6.0% 03/15/23 | 65,000.00 | Shares | 67,600 | 70,200 | ||||||||||||||
MPLX LP 4.875% 06/01/25 | 155,000.00 | Shares | 158,892 | 159,168 | ||||||||||||||
MARTIN MARIETTA MAT 4.25% 7/24 | 150,000.00 | Shares | 150,357 | 152,229 | ||||||||||||||
MARTIN PRT/FIN 7.25% 2/21 | 35,000.00 | Shares | 35,035 | 34,563 | ||||||||||||||
MDAMERICAN ENR 6.125% 4/01/36 | 160,000.00 | Shares | 193,136 | 199,519 | ||||||||||||||
MILLICOM INTL 6.625 10/21 144A | 90,000.00 | Shares | 95,733 | 94,458 | ||||||||||||||
MORGAN STANLEY 4% 07/23/25 | 425,000.00 | Shares | 448,154 | 435,058 | ||||||||||||||
MORGAN STANLEY 5.5% 7/28/21 | 195,000.00 | Shares | 222,984 | 215,899 | ||||||||||||||
MORGAN STANLEY 3.95% 04/23/27 | 315,000.00 | Shares | 299,086 | 311,344 | ||||||||||||||
NCR CORP NEW 6.375% 12/15/23 | 80,000.00 | Shares | 83,360 | 86,000 | ||||||||||||||
NABORS INDUS 5.5% 1/15/23 144A | 120,000.00 | Shares | 120,750 | 124,950 | ||||||||||||||
NBCUNIVERSAL MEDIA 2.875% 1/23 | 175,000.00 | Shares | 180,623 | 174,405 | ||||||||||||||
NBCUNIVERSAL ME 4.45% 1/15/43 | 170,000.00 | Shares | 168,842 | 173,385 | ||||||||||||||
NEWELL RUBBERMAID 4.2% 4/1/26 | 130,000.00 | Shares | 132,899 | 135,506 | ||||||||||||||
NORDEA BANK AB 6.125 PERP 144A | 200,000.00 | Shares | 205,960 | 193,540 | ||||||||||||||
NOVA CHEMICALS 5.25% 8/23 144A | 105,000.00 | Shares | 108,413 | 106,050 | ||||||||||||||
SFR GROUP SA 6.0% 5/15/22 144A | 60,000.00 | Shares | 61,050 | 61,575 | ||||||||||||||
ORIGIN ENGY 3.5% 10/09/18 144A | 200,000.00 | Shares | 204,738 | 202,316 | ||||||||||||||
OWENS CORNING 4.2% 12/15/22 | 200,000.00 | Shares | 205,808 | 207,483 | ||||||||||||||
PACIFIC LIFECRP 6% 2/20 144A | 170,000.00 | Shares | 192,923 | 183,572 | ||||||||||||||
PACKAGING CORP 3.65% 09/15/24 | 120,000.00 | Shares | 119,611 | 120,350 | ||||||||||||||
PENTAIR FINANCE 4.65% 9/15/25 | 150,000.00 | Shares | 149,739 | 153,661 | ||||||||||||||
PETRO-CANADA 6.8% 5/15/38 | 105,000.00 | Shares | 136,072 | 135,950 |
8
Page 9 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
PEMEX 5.375% 03/13/22 144A | 130,000.00 | Shares | 129,280 | 133,117 | ||||||||||||||
PIEDMONT OPERTG 4.45% 03/15/24 | 185,000.00 | Shares | 190,276 | 184,066 | ||||||||||||||
PILGRIMS PRIDE 5.75% 3/25 144A | 65,000.00 | Shares | 66,287 | 64,838 | ||||||||||||||
PLATFORM SPECLTY 6.5 2/22 144A | 100,000.00 | Shares | 104,730 | 100,750 | ||||||||||||||
POLYONE CORP 5.25 3/15/23 | 90,000.00 | Shares | 91,575 | 91,350 | ||||||||||||||
PRINCIPAL FN GR 4.75%/VAR 5/55 | 180,000.00 | Shares | 179,978 | 176,400 | ||||||||||||||
PRUDENTIAL FN 5.2%/VAR 3/15/44 | 165,000.00 | Shares | 166,219 | 163,048 | ||||||||||||||
PULTE GROUP INC 5.5% 03/01/26 | 65,000.00 | Shares | 65,000 | 64,513 | ||||||||||||||
QUEST DIAGNOSTI 4.25% 04/01/24 | 145,000.00 | Shares | 151,412 | 151,065 | ||||||||||||||
QWEST CORP 6.75% 12/01/21 | 165,000.00 | Shares | 185,757 | 179,025 | ||||||||||||||
REALOGY GROUP 5.25% 12/21 144A | 85,000.00 | Shares | 85,213 | 87,125 | ||||||||||||||
RELIANCE HDG USA 5.4 2/22 144A | 250,000.00 | Shares | 270,253 | 270,276 | ||||||||||||||
RESOLUTE FST PROD 5.875% 05/23 | 135,000.00 | Shares | 123,930 | 121,500 | ||||||||||||||
REYNOLDS GRP 5.125% 7/23 144A | 75,000.00 | Shares | 75,188 | 76,594 | ||||||||||||||
ROCK TENN COMP 4.9% 3/22 | 205,000.00 | Shares | 222,681 | 222,535 | ||||||||||||||
ROYAL BK SC 6.1% 6/10/23 | 105,000.00 | Shares | 113,881 | 109,798 | ||||||||||||||
SES 3.6% 04/04/23 144A | 160,000.00 | Shares | 164,085 | 156,064 | ||||||||||||||
SABINE PASS 5.625% 2/1/21 | 180,000.00 | Shares | 187,200 | 192,600 | ||||||||||||||
SANTANDER UK PLC 5% 11/23 144A | 200,000.00 | Shares | 209,728 | 203,465 | ||||||||||||||
SIGNET UK FINAN 4.7% 06/15/24 | 275,000.00 | Shares | 282,051 | 263,245 | ||||||||||||||
SOCGEN 5% 01/17/24 144A | 240,000.00 | Shares | 246,223 | 243,445 | ||||||||||||||
SOFTBANK CRP 4.5% 4/15/20 144A | 100,000.00 | Shares | 102,950 | 102,500 | ||||||||||||||
SOUTHWESTERN EN 4.1% 3/22 | 95,000.00 | Shares | 94,990 | 89,756 | ||||||||||||||
SPRINT CORP 7.25% 9/15/21 | 65,000.00 | Shares | 65,617 | 69,063 | ||||||||||||||
SPRINT SPECTRM 3.36% 9/21 144A | 200,000.00 | Shares | 199,997 | 200,374 | ||||||||||||||
STANDARD CHART 5.7% 03/44 144A | 200,000.00 | Shares | 218,448 | 199,408 | ||||||||||||||
SUNTRUST BNK 5.625% VAR PRP F | 140,000.00 | Shares | 142,100 | 143,325 | ||||||||||||||
SYMETRA 4.25% 07/15/24 | 105,000.00 | Shares | 106,882 | 103,633 | ||||||||||||||
SYNCHRONY FIN 4.25% 08/15/24 | 165,000.00 | Shares | 167,143 | 167,769 | ||||||||||||||
SYSCO CORP 3.3% 07/15/2026 | 135,000.00 | Shares | 134,491 | 132,284 | ||||||||||||||
T-MOBILE USA INC 6.731% 4/22 | 120,000.00 | Shares | 127,740 | 125,400 | ||||||||||||||
TARGA RES LP/FI 4.25% 11/15/23 | 60,000.00 | Shares | 57,825 | 57,375 | ||||||||||||||
TENET HEALTH 4.375% 10/01/21 | 20,000.00 | Shares | 19,900 | 19,825 | ||||||||||||||
TENET HEALTH 7.5% 1/1/22 144A | 30,000.00 | Shares | 30,350 | 31,275 | ||||||||||||||
TEVA PHARM NE 3.15% 10/01/26 | 140,000.00 | Shares | 139,628 | 128,876 | ||||||||||||||
TIME WARNER INC 3.875% 1/15/26 | 130,000.00 | Shares | 129,936 | 129,960 | ||||||||||||||
TOTAL SYSTEM SE 3.75% 06/01/23 | 195,000.00 | Shares | 195,382 | 193,474 | ||||||||||||||
TRANSOCEAN INC VAR 10/15/22 | 80,000.00 | Shares | 64,487 | 70,200 | ||||||||||||||
TRIBUNE MEDIA 5.875% 7/15/22 | 85,000.00 | Shares | 84,150 | 86,381 | ||||||||||||||
21ST CENTY FOX 6.65% 11/15/37 | 285,000.00 | Shares | 353,466 | 350,177 | ||||||||||||||
TYSON FOODS INC 3.95% 08/15/24 | 160,000.00 | Shares | 163,694 | 162,818 | ||||||||||||||
UNITED RENTALS NRT 5.875% 9/26 | 30,000.00 | Shares | 30,000 | 30,863 | ||||||||||||||
UNITED HEALTH 4.75% 7/15/45 | 100,000.00 | Shares | 101,543 | 109,941 | ||||||||||||||
UNITYMEDIA 6.125% 1/25 144A | 60,000.00 | Shares | 62,624 | 61,649 | ||||||||||||||
UNUM GROUP 4% 03/15/24 | 115,000.00 | Shares | 119,183 | 115,336 | ||||||||||||||
VALERO ENERGY CO 3.4% 9/15/26 | 140,000.00 | Shares | 138,290 | 133,922 | ||||||||||||||
VERIZON COMM 4.862% 8/21/46 | 135,000.00 | Shares | 147,523 | 136,527 | ||||||||||||||
VERIZON COM 3.5% 11/01/24 | 215,000.00 | Shares | 214,124 | 214,044 | ||||||||||||||
VERIZON COMM 4.125% 8/15/46 | 100,000.00 | Shares | 99,946 | 90,318 | ||||||||||||||
VOYA FIN INC 3.65% 6/15/26 | 120,000.00 | Shares | 119,650 | 117,163 | ||||||||||||||
WESTERN DIGI 7.375% 4/23 144A | 80,000.00 | Shares | 81,218 | 87,999 | ||||||||||||||
WOODSIDE FIN 3.65% 3/5/25 144A | 140,000.00 | Shares | 135,663 | 136,588 | ||||||||||||||
WYNN MACAU 5.25% 10/15/21 144A | 140,000.00 | Shares | 136,324 | 141,049 | ||||||||||||||
XSTRATA FIN 6.9% 11/15/37 144A | 60,000.00 | Shares | 67,320 | 65,840 | ||||||||||||||
XLIT LTD 4.45% 03/31/2025 | 220,000.00 | Shares | 218,954 | 217,872 |
9
Page 10 of 10
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2016
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
(a) | (b) | (c) | (d) | (e) | ||||||||||||||
Identity of issue, borrower, | Description of investment including maturity date, | Current | ||||||||||||||||
|
lessor, or similar party |
rate of interest, collateral, par, or maturity value | Cost | value | ||||||||||||||
|
|
|
|
|||||||||||||||
Total Corporate debt securities |
25,892,591 | 25,756,145 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Other Debt Securities |
||||||||||||||||||
MEXICO GOVT 8.5% 12/13/18 | 3,700,000.00 | Shares | 4,121,960 | 183,650 | ||||||||||||||
BACM 2015-UBS7 D 3.167% 9/48 | 160,000.00 | Shares | 117,675 | 121,000 | ||||||||||||||
COMM 2016-STAV B 0% 10/34 144A | 210,000.00 | Shares | 210,000 | 210,988 | ||||||||||||||
CWALT 2003-J3 1A3 5.25% 11/33 | 159,530.33 | Shares | 161,425 | 161,233 | ||||||||||||||
GAAFT 16-T1 DT1 4.0575% 10/48 | 130,000.00 | Shares | 129,999 | 128,972 | ||||||||||||||
GPPT 14-GPP A 1ML+.95% 02/ | 232,924.17 | Shares | 233,070 | 233,430 | ||||||||||||||
GSMS 14-GSFL C 1ML+225 7/31 | 280,000.00 | Shares | 280,000 | 277,721 | ||||||||||||||
GSMS 2015-GC32 D 3.345% 07/48 | 225,000.00 | Shares | 163,863 | 167,475 | ||||||||||||||
MSBAM 15-C22 D 4.24368% 05/46 | 140,000.00 | Shares | 111,464 | 107,714 | ||||||||||||||
WFCM 15-C26 D 3.586% 02/48 144 | 155,000.00 | Shares | 108,791 | 109,418 | ||||||||||||||
WFCM 2015-C29 A4 3.637% 06/48 | 300,000.00 | Shares | 306,633 | 309,533 | ||||||||||||||
WFRBS 2013-C15 D CSTR 8/46 | 160,000.00 | Shares | 146,675 | 139,955 | ||||||||||||||
BAYV 2006-D 1A3 5.932% 12/36 | 125,440.21 | Shares | 124,499 | 125,802 | ||||||||||||||
COMET 2016-A4 A4 1.33% 6/15/22 | 540,000.00 | Shares | 531,816 | 532,757 | ||||||||||||||
CCCIT 2014-A1 A1 2.88% 01/23 | 375,000.00 | Shares | 383,921 | 384,675 | ||||||||||||||
CAH 14-1A B 1ML+135 05/31 | 350,000.00 | Shares | 338,297 | 348,458 | ||||||||||||||
CSH 16-1A D 1193476+3.1% 07/33 | 145,000.00 | Shares | 145,000 | 147,267 | ||||||||||||||
IHSFR 14-SFR1 B 1ML+150 6/31 | 350,000.00 | Shares | 339,637 | 349,580 | ||||||||||||||
IHSFR 14-SFR1 D 1ML+260 6/31 | 175,000.00 | Shares | 177,208 | 174,999 | ||||||||||||||
NRART 16-T1 DT1 4.3768% 06/49 | 220,000.00 | Shares | 220,000 | 219,206 | ||||||||||||||
OMART 2016-T2 DT2 4.45% 08/49 | 225,000.00 | Shares | 225,000 | 224,507 | ||||||||||||||
DALLAS TX DART 5% 12/01/46 | 205,000.00 | Shares | 228,719 | 229,680 | ||||||||||||||
MA ST 5% 12/01/36 | 275,000.00 | Shares | 315,222 | 320,029 | ||||||||||||||
NYC TFA (PIT) 5% 02/01/35 | 80,000.00 | Shares | 90,588 | 91,462 | ||||||||||||||
NYC TFA (PIT) 5% 05/01/36 | 75,000.00 | Shares | 84,900 | 85,804 | ||||||||||||||
NYS DORM PIT 5% 02/15/39 | 115,000.00 | Shares | 129,057 | 131,291 | ||||||||||||||
US 5YR NOTE(CBT)FUT MAR17 FVH7 | (3.00 | ) | Shares | | (492 | ) | ||||||||||||
US 10YR NOTE (CBT)MAR17 TYH7 | (19.00 | ) | Shares | | (6,532 | ) | ||||||||||||
US ULTRA BOND FUT MAR17 WNH7 | (3.00 | ) | Shares | | (2,906 | ) | ||||||||||||
CME CDX CXPHY527 5% 12/20/21 | (1,500,000.00 | ) | Shares | | (1,209 | ) | ||||||||||||
US LONG BOND(CBT) MAR17 USH7 | 2.00 | Shares | | 1,500 | ||||||||||||||
CITI CDX NA HY 27 BP 12/21 CME | 1,500,000.00 | Shares | | 1,210 | ||||||||||||||
|
|
|
|
|||||||||||||||
Total Other Debt Securities |
9,425,419 | 5,508,177 | ||||||||||||||||
|
|
|
|
|||||||||||||||
Notes Receivable |
||||||||||||||||||
* / ** |
Participants |
Participant Loans | 33,187,004 | 33,187,004 | ||||||||||||||
|
|
|
|
|||||||||||||||
$ | 1,919,647,724 | $ | 2,127,004,396 | |||||||||||||||
|
|
|
|
* | Investment represents allowable transaction with a party-in-interest. |
** | Interest rates vary from 4.00% to 10.50% on loans maturing through 2027. |
10
SIGNATURE
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustee (or other persons who administer the employee benefit plan) has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
AMEREN CORPORATION | ||
SAVINGS INVESTMENT PLAN | ||
AMEREN SERVICES COMPANY | ||
(Administrator) | ||
By | /s/ Martin J. Lyons, Jr. | |
Martin J. Lyons, Jr. | ||
Chairman and President | ||
Ameren Services Company |
June 23, 2017
EXHIBIT INDEX
Exhibit No. |
Description | |
23.1 | Consent of Independent Registered Public Accounting Firm |
Exhibit 23.1
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in Registration Statements No. 333-191786 and No. 333-157655 on Form S-8 of Ameren Corporation of our report dated June 23, 2017 appearing in this Annual Report on Form 11-K of the Ameren Corporation Savings Investment Plan for the year ended December 31, 2016.
/s/ Crowe Horwath LLP |
Crowe Horwath LLP |
South Bend, Indiana
June 23, 2017