0001193125-19-178947.txt : 20190621 0001193125-19-178947.hdr.sgml : 20190621 20190621171033 ACCESSION NUMBER: 0001193125-19-178947 CONFORMED SUBMISSION TYPE: 11-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190621 DATE AS OF CHANGE: 20190621 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMEREN CORP CENTRAL INDEX KEY: 0001002910 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 431723446 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 11-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-14756 FILM NUMBER: 19912340 BUSINESS ADDRESS: STREET 1: 1901 CHOUTEAU AVE STREET 2: MC 1370 CITY: ST LOUIS STATE: MO ZIP: 63166-6149 BUSINESS PHONE: 314-621-3222 MAIL ADDRESS: STREET 1: 1901 CHOUTEAU AVE STREET 2: MC 1370 CITY: ST LOUIS STATE: MO ZIP: 63103 11-K 1 d765465d11k.htm FORM 11-K Form 11-K
Table of Contents

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

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, 2018

OR

 

TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                      to                     

COMMISSION FILE NUMBER 1-14756

 

 

 

A.

Full title of the plan and the address of the plan, if different from that of the issuer named below:

AMEREN CORPORATION

SAVINGS INVESTMENT PLAN

 

B.

Name of issuer of securities held pursuant to the plan and the address of its principal executive office:

Ameren Corporation

1901 Chouteau Avenue

St. Louis, Missouri 63103

 

 

 


Table of Contents

Ameren Corporation

Savings Investment Plan

Financial Statements and Supplemental Schedule

December 31, 2018 and 2017


Table of Contents

Ameren Corporation

Savings Investment Plan

Index

 

Report of Independent Registered Public  Accounting Firm

December 31, 2018 and 2017

     1  

Financial Statements

  

Statements of Net Assets Available for Benefits

December 31, 2018 and 2017

     3  

Statements of Changes in Net Assets Available for Benefits

Years Ended December 31, 2018 and 2017

     4  

Notes to Financial Statements

December 31, 2018 and 2017

     5-15  

Supplemental Schedule*

  

Schedule H, Line 4i - Schedule of Assets (Held at End of Year)

December 31, 2018

     1-12  

 

*

Other schedules required by 29 CFR 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 (“ERISA”), as amended, have been omitted because they are not applicable.


Table of Contents

Report of Independent Registered Public Accounting Firm

Plan Participants and Plan Administrator of the Ameren Corporation Savings Investment Plan

St. Louis, Missouri

Opinion on the Financial Statements

We have audited the accompanying statements of net assets available for benefits of Ameren Corporation Savings Investment Plan (the “Plan”) as of December 31, 2018 and 2017, the related statements of changes in net assets available for benefits for the years then ended, and the related notes (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2018 and 2017, and the changes in net assets available for benefits for the years then ended, in conformity with accounting principles generally accepted in the United States of America.

Basis for Opinion

These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (“PCAOB”) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting in accordance with the standards of the PCAOB. As part of our audits we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion in accordance with the standards of the PCAOB.

Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.

 

1


Table of Contents

Supplemental Information

The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2018 has been subjected to audit procedures performed in conjunction with the audit of Ameren Corporation Savings Investment Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s 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 Labor’s 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.

Crowe LLP

We have served as the Plan’s auditor since 2014.

Oak Brook, Illinois

June 21, 2019

 

2


Table of Contents

Ameren Corporation

Savings Investment Plan

Statements of Net Assets Available for Benefits

December 31, 2018 and 2017

 

 

     2018      2017  

Assets

     

Investments, at fair value

   $ 1,970,933,349      $ 2,103,516,154  

Investments, at contract value

     282,384,897        281,815,710  
  

 

 

    

 

 

 

Total investments

     2,253,318,246        2,385,331,864  
  

 

 

    

 

 

 

Cash

     1,080,838        3,324,143  

Receivables

     

Notes receivable from participants

     35,198,455        35,190,999  

Participant contributions

     1,272,482        519,393  

Employer contributions

     398,933        158,771  

Dividends and interest

     669,912        515,423  

Due from brokers for securities sold

     10,024,762        28,383,718  
  

 

 

    

 

 

 

Total receivables

     47,564,544        64,768,304  
  

 

 

    

 

 

 

Total assets

     2,301,963,628        2,453,424,311  
  

 

 

    

 

 

 

Liabilities

     

Accrued expenses

     1,184,287        581,193  

Due to brokers for securities purchased

     11,350,970        35,116,737  
  

 

 

    

 

 

 

Total liabilities

     12,535,257        35,697,930  
  

 

 

    

 

 

 

Net assets available for benefits

   $ 2,289,428,371      $ 2,417,726,381  
  

 

 

    

 

 

 

 

The accompanying notes are an integral part of these financial statements.

 

3


Table of Contents

Ameren Corporation

Savings Investment Plan

Statements of Changes in Net Assets Available for Benefits

Years Ended December 31, 2018 and 2017

 

 

     2018     2017  

Additions:

    

Investment income

    

Interest and dividends

   $ 31,859,694     $ 31,373,733  

Net appreciation / (depreciation) in fair value of investments

     (105,760,604     310,691,227  
  

 

 

   

 

 

 

Total investment income / (loss)

     (73,900,910     342,064,960  
  

 

 

   

 

 

 

Interest on notes receivable from participants

     1,636,381       1,462,340  

Participant contributions

     96,904,377       85,553,891  

Employer contributions

     32,747,626       30,195,212  
  

 

 

   

 

 

 

Total additions

     57,387,474       459,276,403  
  

 

 

   

 

 

 

Deductions:

    

Benefits paid to participants

     181,663,074       162,432,457  

Administrative expenses

     4,022,410       3,735,821  
  

 

 

   

 

 

 

Total deductions

     185,685,484       166,168,278  
  

 

 

   

 

 

 

Net increase / (decrease)

     (128,298,010     293,108,125  

Net assets available for benefits

    

Beginning of year

     2,417,726,381       2,124,618,256  
  

 

 

   

 

 

 

End of year

   $ 2,289,428,371     $ 2,417,726,381  
  

 

 

   

 

 

 

 

The accompanying notes are an integral part of these financial statements.

 

4


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

1.

Description of the Plan

General

The following is a summary of the various provisions of the Ameren Corporation Savings Investment Plan (the “Plan”). Participants should refer to the Summary Plan Document for more complete information.

The Plan is a defined contribution plan. Its purpose is to provide employees eligible to participate (the “Participants”) of Ameren Corporation (the “Company”) and its wholly owned subsidiaries the opportunity to defer a portion of their compensation for federal income tax purposes in accordance with Section 401(k) of the Internal Revenue Code (the “Code”). The Plan is subject to certain provisions of the Employee Retirement Income Security Act of 1974 (“ERISA”), as amended, and regulations of the Securities and Exchange Commission.

The Company serves as sponsor of the Plan, and, consequently, has the authority to amend or terminate the Plan subject to certain restrictions. The Ameren Administrative Committee has the authority and responsibility for the general administration of the Plan. Fidelity Management Trust Company, as Trustee, has the authority and responsibility to hold and protect the assets of the Plan in accordance with Plan provisions and with the Trust and Administrative Agreement.

Participation

All regular full-time employees are eligible to participate upon employment, and part-time or temporary employees are eligible to participate upon completion of a year of service of at least 1,000 hours. Employees covered by a collective bargaining agreement (“CBA”) are eligible to participate only if the CBA provides for such participation.

If employees do not make an election, nor opt-out within 30 days of employment; they are automatically enrolled at a 6% pre-tax contribution rate, invested in a Target Date fund based upon the date at which the participant is or will be age 65, and further enrolled in auto-escalation increasing their pre-tax contribution 1% annually, with no cap on the annual increases. Employees may opt-out or make alternative elections at any time.

Contributions

Each year, Participants may contribute up to 100% of eligible compensation, as defined in the Plan, and subject to annual limitations imposed by the Code.

The Company makes an Employer Basic Matching Contribution plus an Employer Additional Matching Contribution in an amount equal to a percent of the amount each Participant contributes to the Plan, up to a certain maximum percentage of the Participant’s compensation that he or she elects to contribute to the Plan each year. The amount of Company matching contribution depends on the Participant’s employment classification, and for contract employees is determined by the collective bargaining agreement with the specific union representing the Participants. The Company also makes true-up Employer Basic Matching Contributions for Participants who contribute the IRS maximum before the end of the year and, as a result, do not receive the full company match. The Employer Additional Matching Contributions are invested in the Ameren Stock Fund.

 

5


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

The Plan permits “catch-up” contributions for all employees age 50 and older. Eligible employees could contribute $6,000 in 2018 and 2017, as a “catch-up” contribution. The Company does not match “catch-up” contributions.

Participants direct the investment of their contributions and the Employer Basic Matching Contributions to his or her account to any of the investment options available under the Plan, including Company stock. Contributions may be allocated to a single investment option or allocated in increments of one percent to any combination of investment options. Such elections may be changed daily. Although the Employer Additional Matching Contributions are invested in the Ameren Stock Fund, they may be immediately reallocated to other funds at the participants’ discretion.

Earnings derived from the assets of any investment fund are reinvested in the fund to which they relate. Participants may elect daily to reallocate, by actual dollar or percentage in one percent increments, the value of their accounts between funds. Pending investment of the assets into any investment fund, the Trustee may temporarily make certain short-term investments.

Participant Accounts

Each Participant’s account is credited with the Participant’s contributions and an allocation of (a) the Company’s contributions, and (b) Plan earnings, and is charged with an allocation of administrative expenses. Allocations are based on Participant contributions, eligible compensation, Participant account balances, or specific Participant transactions, as defined. The benefit to which the Participant is entitled is the benefit which can be provided from the Participant’s account. Each Participant directs the investment of his or her account to any of the investment options available under the Plan.

Notes Receivable from Participants

The Plan permits Participants to borrow from their accounts within the Plan. Such borrowings may be made subject to the following: (1) the minimum amount of the loan is $1,000, (2) the amount of the loan may not exceed the lesser of $50,000 or 50% of the vested amount in the Participant’s account, (3) the loan will bear a fixed interest rate and repayments will be made through mutual agreement subject to certain statutory repayment time limits, (4) each loan shall bear a reasonable interest rate as determined under policies established for the Plan and (5) such other rules and regulations as may be adopted by the Company. At December 31, 2018 and 2017, the interest rates on participant loans ranged from 4.00 percent to 10.50 percent.

Vesting

The amounts in Participants’ accounts, including Company contributions, are fully vested at all times.

Payment of Benefits

The total amount of a Participant’s account shall be distributed to the Participant according to one of the options as described in the Plan document and as elected by the Participant after termination of employment. All distributions shall be in the form of cash except that Participants may elect to have his or her interest in the Ameren Stock Fund distributed in shares of Ameren common stock. Participants may withdraw certain basic contributions, rollover contributions and related earnings thereon upon reaching age 59 1/2, in the event of total disability or financial hardship as defined

 

6


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

by the Plan or the Code. For purposes of distributions, the Participant’s account value will be determined as of the last business day coincident with or immediately preceding the day of distribution. Contributions to the Plan and investment income thereon are taxable to Participants upon distribution pursuant to the rules provided for under the Plan and the Code.

The Plan also allows, at the discretion of the Company, participants of the former Union Electric Company Employee Stock Ownership Plan and the former Ameren Corporation Employee Stock Ownership Plan for Certain Employees of AmerenCIPS, to receive certain distributions prior to termination of employment.

Plan Termination

The Company intends to continue the Plan indefinitely. However, the Company may at any time and for any reason, subject to ERISA and Internal Revenue Service regulations, suspend or terminate the Plan provided that such action does not retroactively adversely affect the rights of any Participant under the Plan.

 

2.

Summary of Significant Accounting Policies

Basis of Accounting

The accompanying financial statements of the Plan are prepared on the accrual basis of accounting, except that benefit payments to Participants are recorded upon distribution.

Use of Estimates

The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of changes in net assets available for benefits during the reporting period. Actual results could differ from those estimates.

Investment Valuation and Income Recognition

All investments are presented at fair value, except for fully benefit-responsive investment contracts, which are reported at contract value, as of December 31, 2018 and 2017. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 3 for discussion of fair value measurements.

The Plan has direct investments in fully benefit-responsive investment contracts. Investments held by a defined contribution plan are required to be reported at fair value, except for fully benefit-responsive investment contracts. Contract value is the relevant measurement attribute for the portion of the net assets available for benefits of a defined contribution plan attributable to fully benefit-responsive investment contracts because contract value is the amount Participants normally would receive if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.

Purchases and sales of securities are recorded on a trade date basis. Interest income is recorded on the accrual basis. Dividend income is recorded on the ex-dividend date. Net appreciation (depreciation) in fair value of investments includes the Plan’s gains and losses on investments bought and sold as well as held during the year.

 

7


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

Notes Receivable from Participants

Notes receivable from Participants are measured at their unpaid principal balance plus any accrued but unpaid interest, with no allowance for credit losses, as repayments of principal and interest are received through payroll deductions and the notes are collateralized by the Participants’ account balances. Delinquent participant loans are reclassified as distributions based upon the terms of the Plan document.

Administrative Expenses

Fees associated with administering the Plan are generally paid by the Plan. Trustee and recordkeeping fees are primarily paid via (1) flat dollar fees that are assessed to all Participants quarterly, and (2) fees accrued in investment funds that are separately-managed accounts (versus commingled funds). Also, revenue sharing payments that Fidelity receives from mutual funds are allocated to Participant accounts quarterly.

Risks and Uncertainties

Investments are exposed to various risks, such as interest rate, market and credit. Due to the level of risk associated with certain investments and the level of uncertainty related to changes in the value of investments, it is at least reasonably possible that changes in risks in the near term could materially affect the Participants’ account balances and the amounts reported in the Statement of Net Assets Available for Benefits.

Concentrations

Company common stock comprised 13% and 12% of investments at December 31, 2018 and December 31, 2017, respectively.

 

3.

Fair Value Measurements

The authoritative guidance issued by the FASB regarding fair value measurement provides a framework for measuring fair value for all assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three hierarchy levels:

Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan has the ability to access at the reporting date.

 

8


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

Level 2: Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly. Inputs to the valuation methodology include:

 

   

Quoted prices for similar assets or liabilities in active markets;

 

   

Quoted prices for identical or similar assets or liabilities in inactive markets;

 

   

Inputs other than quoted prices that are observable for the asset or liability;

 

   

Inputs that are derived principally from or corroborated by observable market data by correlation or other means.

Level 3: Inputs to the valuation methodology that are unobservable and significant to the fair value measurement.

The Plan does not hold any investments requiring Level 3 measurements, and there have not been any transfers between measurement input levels in 2018 or 2017.

The asset or liability’s fair value measurement level within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement.

Following is a description of the valuation methodologies used for assets measured at fair value.

There have been no changes in the methodologies used during 2018.

 

   

Margin deposit account: The fair value is estimated to approximate deposit account balances, payable on demand, as no discounts for credit quality or liquidity were determined to be applicable (Level 2 inputs).

 

   

Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 inputs).

 

   

U.S. government securities and corporate debt securities: Valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities’ relationship to other benchmark quoted securities (Level 2 inputs).

 

   

Other debt securities includes non-U.S. government debt securities, municipal securities, mortgage and asset-backed securities, and derivatives: Non-U.S. government debt securities, municipal securities, and mortgage and asset-backed securities are valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities’ relationship to other benchmark quoted securities (Level 2 inputs). The fair values of exchange-traded derivatives are based upon quoted market prices (Level 1 inputs). The fair values of derivatives that are not traded on an exchange are based upon valuation models using observable market data as of the measurement date (Level 2 inputs).

 

9


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

   

Mutual funds: Valued at the daily closing price as reported by the fund (Level 1 inputs). Mutual funds held by the Plan are open-end mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily net asset value (NAV) and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded.

 

   

Collective trust funds: The fair values of participation units held in collective trusts are based on the NAV reported by the fund managers as of the financial statement dates and recent transaction prices. Under ordinary market conditions, redemptions of investments in collective trusts are permitted as of daily or monthly valuation dates, as applicable, and are executed at NAV as a practical expedient.

The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2018:

 

     Quoted Prices
In Active
Markets for
Identified Assets
(Level 1)
     Significant
Other
Observable
Inputs
(Level 2)
     Measured
at Net Asset
Value as a
Practical
Expedient (a)
     Total  

Assets

           

Margin deposit account

   $ —        $  18,500      $ —        $  18,500  

Common stocks-Plan sponsor stock

     303,608,665        —          —        303,608,665  

Common stocks-other than Plan sponsor
stock

     267,746,608        —          —        267,746,608  

U.S. Government securities

     —        14,618,392        —        14,618,392  

Corporate debt securities

     —        23,502,146        —        23,502,146  

Other debt securities

     8,875        10,634,373        —        10,643,248  

Collective trust funds

     —        —          1,182,140,363        1,182,140,363  

Mutual funds

     168,673,474        —          —        168,673,474  

Liabilities

           

Other debt securities

     (18,047      —          —        (18,047
  

 

 

    

 

 

    

 

 

    

 

 

 

Total assets reported at fair value

   $  740,019,575      $  48,773,411      $ 1,182,140,363      $ 1,970,933,349  
  

 

 

    

 

 

    

 

 

    

 

 

 

 

(a)

In accordance with ASU 2015-07, certain investments measured at NAV per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits.

 

10


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2017:

 

     Quoted Prices
In Active
Markets for
Identified Assets

(Level 1)
     Significant
Other
Observable
Inputs
(Level 2)
     Measured
at Net Asset
Value as a
Practical
Expedient (a)
     Total  

Assets

           

Margin deposit account

   $ —        $ 66,700      $ —        $ 66,700  

Common stocks-Plan sponsor stock

     283,192,998        —          —          283,192,998  

Common stocks-other than Plan sponsor
stock

     254,470,852        —          —          254,470,852  

U.S. Government securities

     —          20,120,627        —          20,120,627  

Corporate debt securities

     —          29,168,729        —          29,168,729  

Other debt securities

     6,742        13,292,371        —          13,299,113  

Collective trust funds

     —          —          1,319,699,694        1,319,699,694  

Mutual funds

     183,498,080        —          —          183,498,080  

Liabilities

           

Other debt securities

     —          (639      —          (639
  

 

 

    

 

 

    

 

 

    

 

 

 

Total assets reported at fair value

   $ 721,168,672      $ 62,647,788      $ 1,319,699,694      $ 2,103,516,154  
  

 

 

    

 

 

    

 

 

    

 

 

 

 

(a)

In accordance with ASU 2015-07, certain investments measured at NAV per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits.

 

4.

Fully Benefit-Responsive Investment Contracts

The Plan holds investments in a separately-managed stable value account that is managed by Galliard Capital Management. The separately-managed account holds (1) an investment in the Wells Fargo/BlackRock Short Term Investment Fund, and (2) a portfolio of synthetic investment contracts, valued at $282,384,897 at December 31, 2018. The separately-managed account held (1) an investment in the Fidelity Institutional Money Market Government Portfolio, and (2) a portfolio of synthetic investment contracts, valued at $281,815,710 at December 31, 2017. The investment contracts meet the fully benefit-responsive investment criteria and therefore are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Participants if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.

The investment contracts are issued by the following insurance companies:

 

   

American General Life Insurance Company (“AGL”)

 

   

Prudential Insurance Company of America (“Prudential”)

 

   

Voya Retirement Insurance and Annuity Company (“Voya”)

 

   

Massachusetts Mutual Life Insurance Company (“Mass Mutual”)

 

   

Metropolitan Life Insurance Company (“Met Life”)

 

11


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

The underlying investments of the AGL, Mass Mutual, Prudential, and Voya contracts are holdings in collective trust funds. The underlying investments of Met Life contracts are holdings in portfolios of fixed income securities, which are segregated from the insurance company’s general account assets. The segregation of these assets from the insurance company’s general account offers certain protections to mitigate the risk that these assets might be subject to creditor claims other than those of the separate account guaranteed investment contract owners.

The investment contracts include wrapper contracts, which are agreements for the wrap issuer to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. The contracts are designed to accrue interest based on crediting rates established by the contract issuers, and also provide a guarantee that the credit rate will not fall below zero percent. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in each contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reset at least quarterly.

The Plan’s ability to receive amounts due in accordance with fully benefit-responsive investment contracts is dependent on the third-party issuer’s ability to meet its financial obligations. The issuer’s ability to meet its contractual obligations may be affected by future economic and regulatory developments.

Certain events might limit the ability of the Plan to transact at contract value. Investment contracts generally provide for withdrawals associated with certain events which are not in the ordinary course of operations. These withdrawals are paid with a market value adjustment applied to the withdrawal as defined in the investment contract. Each contract issuer specifies the events which may trigger a market value adjustment; however, such events may include all or a portion of the following:

 

   

material amendments to the account’s structure or administration;

 

   

changes to the Plan’s competing investment options including the elimination of equity wash provisions;

 

   

complete or partial termination of the investment, including a merger with another investment account;

 

   

the failure of the Plan to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA;

 

   

the redemption of all or a portion of the interests in the account held by a participating plan at the direction of the participating plan sponsor, including withdrawals due to the removal of a specifically identifiable group of employees from coverage under the participating plan (such as a group layoff or early retirement incentive program), the closing or sale of a subsidiary, employing unit, or affiliate, the bankruptcy or insolvency of a plan sponsor, the merger of the Plan with another plan, or the Plan sponsor’s establishment of another tax qualified defined contribution plan;

 

   

any change in law, regulation, ruling, administrative or judicial position, or accounting requirement, applicable to the account or participating plans;

 

   

the delivery of any communication to Participants designed to influence a participant not to invest in the investment option;

 

12


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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

   

the addition of an Asset Allocation or Managed Account service without prior approval, or a material change in an existing program;

 

   

the distribution of a prohibited communication.

No events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuers and that also would limit the ability of the Plan to transact at contract value with the Participants.

These contracts are evergreen contracts and contain termination provisions, allowing the contract issuer to terminate with notice, at any time at fair value, and providing for automatic termination of the contract if the contract value or the fair value of the underlying portfolio equals zero. The issuer is obligated to pay the excess contract value when the fair value is below contract value at the time of termination. In addition, if the Plan defaults in its obligations under the contract (including the issuer’s determination that the agreement constitutes a non-exempt prohibited transaction as defined under ERISA), and such default is not corrected within the time permitted by the contract, then the contract may be terminated by the issuer and the Plan will receive the fair value as of the date of termination.

 

5.

Transactions with Parties-in-Interest

Parties-in-interest are defined under Department of Labor regulations as any fiduciary of the Plan, any party rendering service to the Plan, the employer, and certain others.

At December 31, 2018, the Plan held 4,654,433 shares of Company common stock with a cost and fair value of $201,110,751 and $303,608,665, respectively. During 2018, the Plan purchased 785,010 shares at a cost of $45,870,778 and sold 931,272 shares valued at $55,517,075.

At December 31, 2017, the Plan held 4,800,695 shares of Company common stock with a cost and fair value of $194,108,887 and $283,192,998, respectively. During 2017, the Plan purchased 734,900 shares at a cost of $41,768,247 and sold 1,058,963 shares valued at $59,847,989.

Dividend income from Company common stock was $8,728,952 and $8,650,773 for the years ended December 31, 2018 and December 31, 2017, respectively.

At December 31, 2018 and December 31, 2017, the Plan held shares in the Fidelity Institutional Money Market Government Portfolio. This portfolio is managed by the Trustee, and therefore, qualifies as party-in-interest transactions. Notes receivable from Participants also reflect party-in-interest transactions.

Fees paid by the Plan to the Trustee for recordkeeping, trust services, and advisory services were $1,085,431 and $908,576 for the years ended December 31, 2018 and December 31, 2017, respectively.

Fees paid to and investments issued by various Plan investment managers also reflect party-in-interest transactions.

These transactions are allowable party-in-interest transactions under Section 408(b)(8) of ERISA.

 

13


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

6.

Reconciliation of Financial Statements to Form 5500

The following is a reconciliation of net assets available for benefits per the financial statements to the Form 5500 at December 31, 2018 and 2017:

 

     2018      2017  

Net assets available for benefits per the financial statements

   $ 2,289,428,371      $ 2,417,726,381  

Amounts allocated to deemed distributions of notes receivable from Participants

     (1,559,560      (1,364,562

Adjustment from contract value to fair value for fully benefit-responsive investment contracts

     (3,147,180      (711,990
  

 

 

    

 

 

 

Net assets available for benefits per the Form 5500

   $ 2,284,721,631      $ 2,415,649,829  
  

 

 

    

 

 

 

Deemed distributions of notes receivable from Participants, resulting from defaults of notes receivable from Participants, are no longer considered assets of the Plan with respect to Form 5500 filings.

The following is a reconciliation of net decrease in net assets available for benefits per the financial statements to net loss per the Form 5500 for the year ended December 31, 2018:

 

Net decrease in net assets available for benefits per the  financial statements

   $ (128,298,010

Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the current year-end

     (3,147,180

Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the prior year-end

     711,990  

Less: Net increase in defaulted notes receivable from Participants

     (88,432

Less: Interest income of defaulted notes receivable from Participants

     (106,566
  

 

 

 

Total net loss per the Form 5500

   $ (130,928,198
  

 

 

 

 

7.

Federal Income Tax Status

The Company obtained a determination letter dated January 12, 2018, in which the Internal Revenue Service stated that the Plan was in compliance with the applicable requirements of the Code. Although the Plan has been amended since receiving this determination letter, the Plan’s administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code.

Accounting principles generally accepted in the United States of America require Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the Internal Revenue Service. The Plan administrator has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2018 and 2017, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions; however, there are currently no audits for any tax periods in progress. The Plan administrator believes it is no longer subject to income tax examinations for years prior to 2015.

 

14


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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2018 and 2017

 

 

8.

Subsequent Events

The Plan was amended effective January 1, 2019, to apply legislative changes related to hardship withdrawal provisions.

 

15


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Page 1 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

Interest-bearing Cash

       
 

State Street Global Advisors

 

SSGA Short Term Investment Fund

    $        12,003,703.90   $        12,003,703.90
 

FUTURES CASH COLLATERAL

  18,500  Shares                     18,500.00   18,500.00
       

 

 

 

 

Total Interest-bearing Cash

      12,022,203.90   12,022,203.90
       

 

 

 

 

Mutual Funds

       
 

American Funds Group

 

EuroPacific Growth Fund

    111,396,389.36   112,008,488.38
 

Sands Capital Management

 

Touchstone Sands Capital Institutional Growth Fund

  39,281,707.34   37,928,084.01
 

Pacific Investment Management Company

 

PIMCO Income Institutional Fund

    16,718,912.19   16,509,232.98
*  

Fidelity Management Trust Company

 

Fidelity Institutional Money Market Government Portfolio

  2,227,668.41   2,227,668.41
       

 

 

 

 

Total Mutual Funds

      169,624,677.30   168,673,473.78
       

 

 

 

 

Collective Investment Trusts

       
 

Robeco Trust Company

 

Boston Partners Large Cap Value Equity Fund E

  59,469,903.96   75,101,411.45
 

Hand Benefits and Trust Company

 

Snyder Capital Small/Mid Cap Value Fund R1

    50,859,488.67   44,705,937.58
 

Wells Fargo Bank, N.A.

 

Wells Fargo Fixed Income Fund F

    96,207,121.01   100,613,793.00
 

Wells Fargo Bank, N.A.

 

Wells Fargo Fixed Income Fund L

    107,356,951.06   111,912,998.00
 

Wells Fargo Bank, N.A.

 

Wells Fargo/BlackRock Short Term Investment Fund

  21,420,613.00   21,420,613.00
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock Equity Index Fund M

    243,117,223.66   286,264,936.94
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock Russell 2500 Fund M

    128,053,634.18   142,424,082.06
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2020 Fund L

    75,628,380.60   80,696,873.13
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2025 Fund L

    91,208,892.73   97,551,412.41
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2030 Fund L

    70,229,116.64   75,631,594.03
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock MSCI ACWI ex-US IMI Index Fund F

  69,636,180.88   60,449,649.13
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index Retirement Fund L

    28,872,189.02   30,546,105.96
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock US Debt Index Fund M

    58,447,581.39   59,511,801.67
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2035 Fund L

    38,601,401.95   41,686,276.22
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2040 Fund L

    37,066,342.38   40,247,657.19
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2045 Fund L

    36,228,420.72   39,246,123.54
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2050 Fund L

    32,418,697.54   34,790,852.46
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock TIPS Bond Index Fund M

    15,956,385.65   16,043,590.21
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2055 Fund L

    20,341,572.38   21,271,515.74
 

BlackRock Institutional Trust Company, N.A.

 

BlackRock LifePath Index 2060 Fund L

    2,713,766.87   2,546,226.33
       

 

 

 

 

Total Collective Investment Trusts

      1,283,833,864.29   1,382,663,450.05
       

 

 

 

 

Insurance Company Separate Accounts

       
 

Metropolitan Life Ins Co.

 

Separate Account #690

    28,831,929.89   30,714,319.00
 

Metropolitan Life Ins Co.

 

Separate Account #694

    34,308,586.60   35,996,607.00
       

 

 

 

 

Total Insurance Company Separate Accounts

    63,140,516.49   66,710,926.00
     

 

 

 

 

Common Stocks

       
*  

Ameren Corporation

  4,654,433  Shares                     201,110,750.67   303,608,664.59
 

TENCENT HOLDINGS LTD

  44,810  Shares                     883,486.63   1,796,863.55
 

ALLERGAN PLC

  5,611  Shares                     1,451,697.28   749,966.26
 

ADYEN BV

  858  Shares                     660,113.67   466,999.56
 

ABBOTT LABORATORIES

  21,258  Shares                     993,326.68   1,537,591.14
 

ACTIVISION BLIZZARD INC

  14,658  Shares                     744,085.84   682,623.06
 

ADOBE INC

  9,325  Shares                     562,004.80   2,109,688.00
 

ALBEMARLE CORP

  10,905  Shares                     1,023,255.21   840,448.35
 

ALEXION PHARMACEUTICALS

  9,606  Shares                     1,283,918.55   935,240.16
 

ALIBABA GROUP HLD SPON AD

  11,840  Shares                     1,063,636.29   1,622,908.80
 

ALPHABET INC CL C

  2,163  Shares                     1,013,286.14   2,240,024.43
 

ALPHABET INC CL A

  1,910  Shares                     853,171.13   1,995,873.60
 

AMAZON.COM INC

  2,989  Shares                     1,082,016.96   4,489,388.33
 

AMERICAN TOWER CORP

  2,441  Shares                     404,738.38   386,141.79
 

APPLE INC

  14,636  Shares                     1,405,611.90   2,308,682.64
 

ASTRAZENECA PLC SPONS ADR

  36,847  Shares                     1,377,915.67   1,399,449.06
 

BIOMARIN PHARMACEUTICAL

  9,517  Shares                     753,641.23   810,372.55

 

1


Table of Contents

Page 2 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

BOEING CO

  6,615  Shares                     704,080.96   2,133,337.50
 

THE BOOKING HOLDINGS INC

  435  Shares                     404,360.38   749,252.70
 

BRISTOL-MYERS SQUIBB CO

  7,984  Shares                     436,798.71   415,008.32
 

CATERPILLAR INC

  4,835  Shares                     755,609.72   614,383.45
 

CELGENE CORP

  12,268  Shares                     1,191,172.90   786,256.12
 

CONCHO RESOURCES INC

  5,608  Shares                     481,779.88   576,446.32
 

CONSTELLATION BRANDS CL A

  4,364  Shares                     801,730.53   701,818.48
 

COSTCO WHOLESALE CORP

  7,281  Shares                     1,006,662.70   1,483,212.51
 

EOG RESOURCES INC

  10,025  Shares                     777,244.96   874,280.25
 

FACEBOOK INC CL A

  16,107  Shares                     744,841.92   2,111,466.63
 

FARFETCH LTD CL A

  11,253  Shares                     274,594.31   199,290.63
 

FLEETCOR TECHNOLOGIES INC

  6,038  Shares                     877,051.67   1,121,377.36
 

GOLDMAN SACHS GROUP INC

  5,196  Shares                     865,470.75   867,991.80
 

HOME DEPOT INC

  8,585  Shares                     1,240,769.80   1,475,074.70
 

ILLUMINA INC

  4,836  Shares                     746,187.90   1,450,461.48
 

INTUITIVE SURGICAL INC

  1,599  Shares                     848,814.80   765,793.08
 

JPMORGAN CHASE & CO

  7,012  Shares                     587,380.94   684,511.44
 

KERING UNSPONSORED ADR

  27,064  Shares                     1,224,524.16   1,265,377.32
 

ESTEE LAUDER COS INC CL A

  9,388  Shares                     1,067,056.16   1,221,378.80
 

LULULEMON ATHLETICA INC

  3,268  Shares                     392,388.18   397,421.48
 

MARRIOTT INTL INC A

  12,187  Shares                     754,557.52   1,323,020.72
 

MASTERCARD INC CL A

  15,665  Shares                     799,343.94   2,955,202.25
 

MERCK & CO INC NEW

  3,467  Shares                     264,111.24   264,913.47
 

MICROSOFT CORP

  26,989  Shares                     1,594,330.69   2,741,272.73
 

MONDELEZ INTL INC

  17,003  Shares                     569,912.25   680,630.09
 

MONSTER BEVERAGE CORP

  13,030  Shares                     669,266.08   641,336.60
 

NETFLIX INC

  10,853  Shares                     1,129,429.91   2,904,913.98
 

NIKE INC CL B

  23,260  Shares                     714,234.11   1,724,496.40
 

NVIDIA CORP

  8,365  Shares                     777,187.52   1,116,727.50
 

PNC FIN SVCS GRP INC

  6,550  Shares                     1,022,318.08   765,760.50
 

PARKER HANNIFIN CORP

  8,959  Shares                     1,419,772.85   1,336,145.26
 

PAYPAL HLDGS INC

  10,192  Shares                     721,859.04   857,045.28
 

RED HAT INC

  6,454  Shares                     347,915.97   1,133,580.56
 

S&P GLOBAL INC

  4,640  Shares                     410,641.22   788,521.60
 

SALESFORCE.COM INC

  21,932  Shares                     1,489,765.30   3,004,026.04
 

SERVICENOW INC

  1,341  Shares                     245,976.04   238,765.05
 

SPLUNK INC

  8,949  Shares                     431,372.00   938,302.65
 

SQUARE INC CL A

  7,968  Shares                     522,954.62   446,925.12
 

TESLA INC

  3,573  Shares                     909,871.48   1,189,094.40
 

UNITEDHEALTH GROUP INC

  5,052  Shares                     949,135.69   1,258,554.24
 

VERTEX PHARMACEUTICALS

  6,430  Shares                     723,039.38   1,065,515.30
 

VISA INC CL A

  20,138  Shares                     858,520.66   2,657,007.72
 

WORKDAY INC CL A

  7,031  Shares                     486,980.54   1,122,710.08
 

WILLIS TOWERS WATSON PLC

  21,592  Shares                     2,635,050.09   3,278,961.12
 

ADIENT PLC

  22,016  Shares                     1,652,747.28   331,560.96
 

JOHNSON CONTROLS INTERNAT

  76,972  Shares                     3,460,319.17   2,282,219.80
 

AERCAP HOLDINGS NV

  38,912  Shares                     1,273,116.10   1,540,915.20
 

SUNCOR ENERGY INC

  97,546  Shares                     2,493,322.02   2,728,361.62
 

AFLAC INC

  84,832  Shares                     2,669,133.63   3,864,945.92
 

AECOM

  32,170  Shares                     897,621.58   852,505.00
 

AFFILIATED MANAGERS GRP

  11,654  Shares                     1,919,010.05   1,135,565.76
 

AMERIPRISE FINANCIAL INC

  26,820  Shares                     2,690,085.81   2,799,203.40
 

ANTHEM INC

  13,339  Shares                     1,933,428.62   3,503,221.57
 

ARROW ELECTRONICS INC

  19,740  Shares                     1,478,892.56   1,361,073.00
 

ASSURANT INC

  13,265  Shares                     1,093,626.00   1,186,421.60
 

AVIS BUDGET GROUP

  19,857  Shares                     546,228.57   446,385.36
 

BROADCOM INC

  15,777  Shares                     2,408,487.00   4,011,775.56

 

2


Table of Contents

Page 3 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

CELANESE CORP

  30,724  Shares                     2,198,452.73   2,764,238.28
 

COMMSCOPE HOLDING CO INC

  39,386  Shares                     1,272,992.05   645,536.54
 

CROWN HOLDINGS INC

  29,273  Shares                     1,455,215.57   1,216,878.61
 

FLEX LTD

  116,163  Shares                     1,949,559.10   884,000.43
 

EOG RESOURCES INC

  31,259  Shares                     2,443,199.88   2,726,097.39
 

GOODYEAR TIRE & RUBBER CO

  53,505  Shares                     1,519,512.14   1,092,037.05
 

HCA HEALTHCARE INC

  26,939  Shares                     2,178,176.77   3,352,558.55
 

HERTZ GLOBAL HOLDINGS INC

  21,085  Shares                     715,672.09   287,810.25
 

LINCOLN NATIONAL CORP

  47,012  Shares                     2,254,287.17   2,412,185.72
 

MICROCHIP TECHNOLOGY

  47,656  Shares                     3,557,619.15   3,427,419.52
 

NCR CORP

  32,533  Shares                     755,162.33   750,861.64
 

NATIONAL OILWELL VARCO

  76,387  Shares                     2,323,972.11   1,963,145.90
 

OWENS ILLINOIS INC

  33,818  Shares                     476,206.66   583,022.32
 

QURATE RETAIL INC

  96,373  Shares                     2,430,200.23   1,881,200.96
 

TECH DATA CORP

  8,494  Shares                     855,206.56   694,894.14
 

TENNECO INC

  11,727  Shares                     466,402.21   321,202.53
 

WESTERN DIGITAL CORP

  42,463  Shares                     2,303,708.50   1,569,857.11
 

WESTERN UNION CO

  103,275  Shares                     1,841,524.45   1,761,871.50
 

WHIRLPOOL CORP

  14,594  Shares                     2,656,983.47   1,559,660.78
 

WRIGHT MEDICAL GROUP NV

  29,084  Shares                     830,892.87   791,666.48
 

ABIOMED INC

  2,297  Shares                     771,472.20   746,616.88
 

ADVANCE AUTO PARTS INC

  2,883  Shares                     469,874.33   453,957.18
 

AERIE PHARMACEUTICALS INC

  9,050  Shares                     539,752.86   326,705.00
 

ADVANCED MICRO DEVICES

  14,552  Shares                     311,861.31   268,629.92
 

ALASKA AIR GROUP INC

  6,360  Shares                     426,939.96   387,006.00
 

AMEDISYS INC

  1,614  Shares                     204,053.37   189,015.54
 

ARRAY BIOPHARMA INC

  39,221  Shares                     572,447.64   558,899.25
 

BIO RAD LABS CL A

  1,481  Shares                     439,321.34   343,917.82
 

BJ’S RESTAURANTS INC

  5,355  Shares                     320,019.41   270,802.35
 

BURLINGTON STORES INC

  1,738  Shares                     296,107.16   282,720.46
 

CALLON PETROLEUM CO

  43,960  Shares                     565,463.24   285,300.40
 

CHART INDUSTRIES INC

  6,568  Shares                     473,485.08   427,117.04
 

CHEGG INC

  30,172  Shares                     485,079.56   857,488.24
 

COSTAR GROUP INC

  2,195  Shares                     649,168.73   740,461.30
 

CREE INC

  16,535  Shares                     646,640.96   707,284.63
 

DEXCOM INC

  9,950  Shares                     821,313.85   1,192,010.00
 

DIAMONDBACK ENERGY INC

  2,940  Shares                     341,430.51   272,538.00
 

DOLBY LAB INC CL A

  9,002  Shares                     601,229.86   556,683.68
 

ETSY INC

  17,474  Shares                     803,027.87   831,238.18
 

EVOLENT HEALTH INC A

  34,019  Shares                     779,655.34   678,679.05
 

EXACT SCIENCES CORP

  5,811  Shares                     388,250.44   366,674.10
 

FIVE BELOW INC

  4,663  Shares                     516,082.21   477,118.16
 

FIVE9 INC

  24,361  Shares                     550,958.37   1,065,062.92
 

G-III APPAREL GROUP LTD

  25,878  Shares                     823,446.17   721,737.42
 

GLU MOBILE INC

  50,292  Shares                     404,888.65   405,856.44
 

GODADDY INC CL A

  3,281  Shares                     225,798.94   215,299.22
 

GREEN DOT CORP CLASS-A

  17,649  Shares                     1,384,823.71   1,403,448.48
 

GRUBHUB INC

  7,957  Shares                     555,330.79   611,177.17
 

HAEMONETICS CORP MASS

  6,938  Shares                     558,138.23   694,146.90
 

HARSCO CORP

  8,127  Shares                     223,880.05   161,402.22
 

IAC/INTERACTIVECORP

  5,972  Shares                     754,843.12   1,093,114.88
 

INSULET CORP

  5,251  Shares                     385,206.42   416,509.32
 

INTER PARFUMS INC

  8,602  Shares                     308,032.62   564,033.14
 

INTRA-CELLULAR THERAPIES

  12,114  Shares                     239,968.77   137,978.46
 

IROBOT CORP

  7,060  Shares                     675,472.48   591,204.40
 

KEYSIGHT TECHNOLOGIES INC

  11,224  Shares                     690,664.97   696,785.92
 

LULULEMON ATHLETICA INC

  6,547  Shares                     609,159.04   796,180.67

 

3


Table of Contents

Page 4 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

MSCI INC

  1,529  Shares                     243,438.59   225,420.47
 

MADISON SQUARE GARDEN CO/

  1,412  Shares                     427,012.34   377,992.40
 

MADRIGAL PHARMACEUTICALS

  1,725  Shares                     288,160.65   194,442.00
 

MALIBU BOATS INC CL A

  4,016  Shares                     145,654.88   139,756.80
 

MOLINA HEALTHCARE INC

  10,593  Shares                     1,319,205.78   1,231,118.46
 

MONGODB INC CL A

  2,537  Shares                     123,164.00   212,448.38
 

NEUROCRINE BIOSCIENCES

  6,401  Shares                     520,133.33   457,095.41
 

PTC INC

  5,695  Shares                     429,142.96   472,115.50
 

PURE STORAGE INC CL A

  19,880  Shares                     446,513.09   319,670.40
 

Q2 HOLDINGS INC

  11,036  Shares                     565,578.01   546,833.80
 

RAPID7 INC

  11,699  Shares                     396,738.14   364,540.84
 

RINGCENTRAL INC CL A

  13,036  Shares                     532,430.47   1,074,687.84
 

SVB FINL GROUP

  2,835  Shares                     685,306.80   538,423.20
 

SAGE THERAPEUTICS INC

  3,057  Shares                     448,517.81   292,830.03
 

SAREPTA THERAPEUTICS INC

  3,121  Shares                     462,621.02   340,594.73
 

SEMTECH CORP

  8,433  Shares                     399,079.50   386,821.71
 

SPIRIT AIRLINES INC

  12,060  Shares                     607,132.43   698,515.20
 

STRATEGIC EDUCATION INC

  2,190  Shares                     307,733.12   248,389.80
 

TANDEM DIABETES CARE INC

  17,952  Shares                     644,043.58   681,637.44
 

TERADYNE INC

  14,283  Shares                     489,735.00   448,200.54
 

TIFFANY & CO

  4,259  Shares                     504,408.09   342,892.09
 

TRANSUNION

  6,510  Shares                     307,500.69   369,768.00
 

TRUPANION INC

  6,906  Shares                     263,879.45   175,826.76
 

TWILIO INC CLASS A

  4,420  Shares                     368,758.76   394,706.00
 

ULTA BEAUTY INC

  3,166  Shares                     743,315.65   775,163.44
 

URBAN OUTFITTERS

  11,061  Shares                     458,137.31   367,225.20
 

VAIL RESORTS INC

  1,851  Shares                     402,742.89   390,227.82
 

VIKING THERAPEUTICS INC

  17,700  Shares                     268,147.65   135,405.00
 

WEX INC

  1,832  Shares                     301,866.61   256,589.92
 

ZEBRA TECH CORP CL A

  8,996  Shares                     1,133,324.00   1,432,433.08
 

ZENDESK INC

  21,401  Shares                     1,011,043.38   1,249,176.37
 

ESSENT GROUP LTD

  13,839  Shares                     558,934.41   473,017.02
 

TRINSEO SA

  6,767  Shares                     464,379.66   309,793.26
 

FERROGLOBE PLC

  17,316  Shares                     140,806.29   27,532.44
 

ASSURED GUARANTY LTD

  15,419  Shares                     571,061.52   590,239.32
 

JAZZ PHARMA PLC

  1,835  Shares                     319,800.77   227,466.60
 

ENERPLUS CORP (US)

  42,122  Shares                     539,899.72   326,866.72
 

ICON PLC

  3,252  Shares                     451,369.60   420,190.92
 

KOSMOS ENERGY LTD

  54,296  Shares                     345,490.16   220,984.72
 

ACCO BRANDS CORP

  33,102  Shares                     457,646.53   224,431.56
 

ABM INDUSTRIES INC

  9,998  Shares                     291,877.91   321,035.78
 

AGNC INVESTMENT CORP

  20,751  Shares                     383,327.92   363,972.54
 

AES CORP

  19,448  Shares                     252,459.72   281,218.08
 

AMC NETWORKS INC CL A

  5,738  Shares                     355,810.78   314,901.44
 

ASGN INC

  8,176  Shares                     690,799.52   445,592.00
 

AECOM

  10,439  Shares                     343,441.90   276,633.50
 

AEGION CORP

  5,595  Shares                     142,646.30   91,310.40
 

AIR LEASE CORP CL A

  16,508  Shares                     727,208.51   498,706.68
 

ALASKA AIR GROUP INC

  4,331  Shares                     277,863.71   263,541.35
 

ALLEGHANY CORP DEL

  630  Shares                     380,612.55   392,691.60
 

ALLIANCE DATA SYS CORP

  1,734  Shares                     395,443.27   260,238.72
 

ALLY FINANCIAL INC

  5,375  Shares                     149,417.10   121,797.50
 

APERGY CORP

  7,436  Shares                     217,468.56   201,366.88
 

ARES CAPITAL CORP

  10,182  Shares                     173,317.58   158,635.56
 

ARES COMMERCIAL REAL ESTA

  18,733  Shares                     263,637.27   244,278.32
 

ARROW ELECTRONICS INC

  9,237  Shares                     721,136.90   636,891.15
 

ASSURANT INC

  1,364  Shares                     146,481.84   121,996.16

 

4


Table of Contents

Page 5 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

AVERY DENNISON CORP

  2,543  Shares                     232,454.11   228,437.69
 

AVNET INC

  8,128  Shares                     364,390.63   293,420.80
 

BMC STK HLDGS INC

  17,631  Shares                     378,182.07   272,927.88
 

BANKUNITED INC

  8,674  Shares                     345,874.73   259,699.56
 

BELDEN INC

  9,236  Shares                     602,129.97   385,787.72
 

BERRY GLOBAL GROUP INC

  3,541  Shares                     171,236.89   168,303.73
 

BLACKSTONE MORTGAGE CL A

  8,182  Shares                     268,971.97   260,678.52
 

BOOZ ALLEN HAMILTON CL A

  3,894  Shares                     183,872.23   175,502.58
 

BOSTON PRIVATE FINL HLDG

  12,029  Shares                     156,141.90   127,146.53
 

BROOKS AUTOMATION INC

  8,353  Shares                     274,333.61   218,681.54
 

CDK GLOBAL INC

  9,352  Shares                     585,060.29   447,773.76
 

CDW CORPORATION

  7,175  Shares                     632,373.13   581,533.75
 

CADENCE BANCORP CL A

  17,846  Shares                     496,628.43   299,455.88
 

CAMBREX CORP

  2,598  Shares                     148,680.69   98,100.48
 

CARLISLE COS INC

  1,351  Shares                     157,004.94   135,802.52
 

CENTERSTATE BANKS CORPORA

  7,781  Shares                     230,811.17   163,712.24
 

CHATHAM LODGING TRUST

  10,423  Shares                     212,040.69   184,278.64
 

CHEMED CORP

  1,126  Shares                     368,254.39   318,973.28
 

CIENA CORP

  16,386  Shares                     440,384.34   555,649.26
 

CIMAREX ENERGY CO

  4,325  Shares                     367,602.56   266,636.25
 

COHERENT INC

  1,939  Shares                     321,880.92   204,971.69
 

COLONY CAPITAL INC

  22,423  Shares                     135,605.26   104,939.64
 

COLUMBIA BANKING SYS INC

  2,946  Shares                     122,515.55   106,910.34
 

COMMSCOPE HOLDING CO INC

  6,458  Shares                     196,290.20   105,846.62
 

FRESH DEL MONTE PRODUCE

  7,840  Shares                     330,740.37   221,636.80
 

COOPER TIRE & RUBBER COMP

  6,071  Shares                     160,605.56   196,275.43
 

ASPEN INSURANCE HLDGS LTD

  3,240  Shares                     131,002.75   136,047.60
 

COUSINS PROPERTIES INC

  16,952  Shares                     139,685.79   133,920.80
 

AMDOCS LTD

  5,775  Shares                     392,559.81   338,299.50
 

CROWN HOLDINGS INC

  3,021  Shares                     136,455.61   125,582.97
 

CURTISS WRIGHT CORPORATIO

  1,900  Shares                     197,758.35   194,028.00
 

WHITE MOUNTAINS INS GROUP

  390  Shares                     356,000.21   334,499.10
 

FLEX LTD

  16,630  Shares                     246,657.79   126,554.30
 

DIAMONDBACK ENERGY INC

  5,082  Shares                     658,708.16   471,101.40
 

EVEREST REINSURANCE GROUP

  1,693  Shares                     393,694.54   368,667.68
 

MARVELL TECH GROUP LTD

  20,546  Shares                     433,529.01   332,639.74
 

AXIS CAPITAL HOLDINGS LTD

  5,402  Shares                     307,258.34   278,959.28
 

E TRADE FINANCIAL CORP

  7,905  Shares                     418,826.74   346,871.40
 

EAST WEST BANCORP INC

  8,884  Shares                     564,847.79   386,720.52
 

ENERGIZER HLDGS INC

  6,568  Shares                     394,725.48   296,545.20
 

ENERSYS INC

  8,215  Shares                     644,103.87   637,566.15
 

ENGILITY HOLDINGS INC

  4,933  Shares                     173,384.40   140,393.18
 

ENTERCOM COMM CORP CL A

  24,138  Shares                     193,242.81   137,827.98
 

EQUITRANS MIDSTREAM CORP

  4,857  Shares                     150,946.07   97,237.14
 

EVERTEC INC

  6,444  Shares                     176,626.53   184,942.80
 

EXTRACTION OIL & GAS INC

  18,511  Shares                     249,643.71   79,412.19
 

FCB FIN HLDGS INC CL A

  4,227  Shares                     242,674.26   141,942.66
 

FTI CONSULTING INC

  5,992  Shares                     412,904.01   399,306.88
 

FIDELITY NATIONAL FINL

  3,559  Shares                     141,003.08   111,894.96
 

FIRST CITIZENS BANCSHARES

  601  Shares                     246,880.00   226,607.05
 

FIRST HAWAIIAN INC

  10,253  Shares                     260,553.20   230,795.03
 

FIRST MERCHANTS CORP

  7,056  Shares                     329,337.77   241,809.12
 

FIRST MIDWEST BANCORP DEL

  8,728  Shares                     229,033.29   172,901.68
 

FIRSTCASH INC

  4,130  Shares                     376,614.54   298,805.50
 

FORUM ENERGY TECH INC

  19,471  Shares                     240,282.94   80,415.23
 

GRANITE CONSTRUCTION INC

  3,839  Shares                     185,780.75   154,634.92
 

GRAPHIC PACKAGING HLDGS C

  76,536  Shares                     1,074,350.71   814,343.04

 

5


Table of Contents

Page 6 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

GROUP 1 AUTOMOTIVE INC

  2,834  Shares                     194,370.30   149,408.48
 

HD SUPPLY HLDGS INC

  4,984  Shares                     196,162.76   186,999.68
 

HANMI FIN CORPORATION

  8,465  Shares                     231,493.78   166,760.50
 

HANOVER INSURANCE GROUP

  2,410  Shares                     297,718.59   281,415.70
 

HUNTINGTON BANCSHARES INC

  14,533  Shares                     194,357.08   173,233.36
 

HUNTINGTON INC W/I

  574  Shares                     132,700.07   109,237.94
 

HURON CONSULTING GROUP

  7,542  Shares                     340,181.43   386,980.02
 

INSIGHT ENTERPRISES INC

  8,591  Shares                     436,002.31   350,083.25
 

JAGGED PEAK ENERGY INC

  11,620  Shares                     163,386.01   105,974.40
 

JEFFERIES FIN GROUP INC

  18,402  Shares                     420,725.28   319,458.72
 

JONES LANG LASALLE INC

  2,118  Shares                     356,009.10   268,138.80
 

KAR AUCTION SERVICES INC

  14,744  Shares                     860,181.39   703,583.68
 

LCI INDUSTRIES

  7,172  Shares                     642,637.03   479,089.60
 

LPL FIN HLDGS INC

  2,976  Shares                     178,611.49   181,774.08
 

LA Z BOY INC

  9,529  Shares                     305,709.06   264,048.59
 

LIONS GATE ENT CORP B

  4,069  Shares                     95,238.95   60,546.72
 

LITHIA MOTORS INC CL A

  6,763  Shares                     643,891.26   516,219.79
 

MFA FINANCIAL INC

  59,317  Shares                     449,357.85   396,237.56
 

STEVEN MADDEN LTD

  15,881  Shares                     594,255.03   480,559.06
 

MANPOWERGROUP INC

  1,436  Shares                     124,234.86   93,052.80
 

MAXIMUS INC

  1,561  Shares                     102,005.85   101,605.49
 

MINERALS TECHNOLOGIES INC

  7,067  Shares                     529,078.97   362,819.78
 

MOSAIC CO NEW

  9,504  Shares                     311,862.36   277,611.84
 

NCR CORP

  13,068  Shares                     392,056.44   301,609.44
 

NATIONAL GEN HLDGS CORP

  26,030  Shares                     690,477.07   630,186.30
 

NAVIGANT CONSULTING INC

  11,294  Shares                     246,371.57   271,620.70
 

NAVIENT CORP

  54,823  Shares                     764,717.41   482,990.63
 

NELNET INC CL A

  8,672  Shares                     528,657.00   453,892.48
 

NEWFIELD EXPLORATION CO

  15,293  Shares                     224,956.37   224,195.38
 

ON SEMICONDUCTOR CORP

  9,221  Shares                     216,234.60   152,238.71
 

OWENS CORNING INC

  5,954  Shares                     386,028.21   261,856.92
 

OWENS ILLINOIS INC

  13,865  Shares                     235,093.29   239,032.60
 

PRA GROUP INC

  7,495  Shares                     315,733.84   182,653.15
 

PARSLEY ENERGY INC CL A

  22,104  Shares                     695,592.26   353,221.92
 

PATTERSON COMPANIES INC

  7,398  Shares                     169,396.91   145,444.68
 

PEAPACK GLADSTONE FINL

  5,116  Shares                     157,602.16   128,820.88
 

PORTLAND GEN ELECTRIC CO

  3,014  Shares                     135,237.41   138,191.90
 

PQ GROUP HOLDINGS INC

  21,682  Shares                     384,967.23   321,110.42
 

PREFERRED BANK LOS ANGELE

  4,299  Shares                     267,886.82   186,361.65
 

PROASSURANCE CORPORATION

  6,787  Shares                     303,124.37   275,280.72
 

QEP RESOURCES INC

  20,791  Shares                     251,500.20   117,053.33
 

QORVO INC

  5,346  Shares                     417,534.56   324,662.58
 

RADIAN GROUP INC

  13,820  Shares                     251,729.32   226,095.20
 

RAYMOND JAMES FIN INC.

  2,764  Shares                     261,903.46   205,669.24
 

REALOGY HOLDINGS CORP

  9,962  Shares                     228,606.00   146,242.16
 

REINSURANCE GROUP OF AMER

  2,892  Shares                     397,575.63   405,545.16
 

RETAIL PPTYS AMER INC

  15,126  Shares                     190,488.25   164,117.10
 

SL GREEN REALTY CORP REIT

  2,063  Shares                     192,287.81   163,142.04
 

SLM CORP

  81,444  Shares                     959,644.21   676,799.64
 

SVB FINL GROUP

  684  Shares                     140,120.62   129,905.28
 

SCHOLASTIC CORP

  2,050  Shares                     88,901.22   82,533.00
 

SCHWEITZER-MAUDUIT INTL

  11,239  Shares                     480,649.53   281,536.95
 

SKECHERS USA INC CL A

  19,846  Shares                     580,603.25   454,274.94
 

STANDARD MOTOR PRODUCTS

  3,279  Shares                     160,481.03   158,801.97
 

STARWOOD PROPERTY TR INC

  19,228  Shares                     426,818.54   378,983.88
 

STIFEL FINANCIAL CORP

  3,357  Shares                     181,451.56   139,046.94
 

SUNCOKE ENERGY INC

  49,644  Shares                     651,595.56   424,456.20

 

6


Table of Contents

Page 7 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

SUPERIOR ENERGY SVCS INC

  23,728  Shares                     229,966.13   79,488.80
 

SYKES ENTERPRISES INC

  5,757  Shares                     174,265.38   142,370.61
 

SYNOVUS FINANICAL CORP

  3,981  Shares                     148,626.43   127,352.19
 

SYNNEX CORP

  7,359  Shares                     688,119.70   594,901.56
 

SYNEOS HEALTH INC

  10,761  Shares                     531,780.17   423,445.35
 

TEGNA INC

  6,513  Shares                     71,640.57   70,796.31
 

TERADYNE INC

  6,053  Shares                     238,723.22   189,943.14
 

TETRA TECH INC

  4,750  Shares                     293,958.43   245,907.50
 

TIMKEN CO

  7,164  Shares                     336,230.06   267,360.48
 

TTEC HOLDINGS INC

  13,778  Shares                     452,884.53   393,637.46
 

TUTOR PERINI CORP

  13,636  Shares                     260,168.39   217,766.92
 

TWO HBRS INVT CORP

  53,879  Shares                     847,847.43   691,806.36
 

UMPQUA HOLDINGS CORP

  12,960  Shares                     251,294.60   206,064.00
 

UNIVERSAL CORP

  4,794  Shares                     303,871.35   259,595.10
 

VALVOLINE INC

  19,296  Shares                     426,449.98   373,377.60
 

VERSUM MATERIALS INC

  7,343  Shares                     259,211.51   203,547.96
 

WALKER & DUNLOP INC

  15,646  Shares                     916,894.77   676,689.50
 

WESCO INTERNATIONAL INC

  9,816  Shares                     585,460.53   471,168.00
 

WORLD FUEL SERVICES CORP

  28,993  Shares                     648,764.48   620,740.13
 

WYNDHAM DESTINATIONS INC

  5,856  Shares                     270,216.18   209,879.04
 

HORIZON PHARMA PLC

  37,072  Shares                     487,175.18   724,386.88
 

BRIGHTSPHERE INVT GROUP P

  23,767  Shares                     400,872.21   253,831.56
 

AXALTA COATING SYS LTD

  18,640  Shares                     530,881.83   436,548.80
 

COLLIERS INTL GROUP (US)

  5,134  Shares                     154,332.18   282,575.36
 

FIRSTSERVICE CORP (US)

  7,945  Shares                     210,276.27   544,073.60
 

ADTALEM GLOBAL EDUCATION

  24,311  Shares                     722,363.77   1,150,396.52
 

ASPEN TECHNOLOGIES

  7,600  Shares                     736,554.40   624,568.00
 

BWX TECHNOLOGIES INC

  32,641  Shares                     1,426,259.40   1,247,865.43
 

BALL CORP

  29,830  Shares                     1,125,430.02   1,371,583.40
 

BOOZ ALLEN HAMILTON CL A

  29,963  Shares                     801,849.87   1,350,432.41
 

BURLINGTON STORES INC

  6,850  Shares                     1,075,416.54   1,114,289.50
 

CBOE GLOBAL MARKETS INC

  13,890  Shares                     1,070,773.01   1,358,858.70
 

CABLE ONE INC W/I

  450  Shares                     223,030.02   369,045.00
 

CAMBREX CORP

  13,587  Shares                     672,505.62   513,045.12
 

CATALENT INC

  22,880  Shares                     997,791.07   713,398.40
 

CELANESE CORP

  8,860  Shares                     483,218.00   797,134.20
 

CENTENNIAL RESOURCE DEV A

  22,410  Shares                     414,981.62   246,958.20
 

COPART INC

  34,310  Shares                     1,062,692.40   1,639,331.80
 

RITCHIE BROS AUCTIONEERS

  18,920  Shares                     617,413.63   619,062.40
 

COSTAR GROUP INC

  4,392  Shares                     675,410.63   1,481,597.28
 

DEXCOM INC

  7,300  Shares                     495,101.18   874,540.00
 

DOMINOS PIZZA INC

  3,420  Shares                     686,225.62   848,125.80
 

EAST WEST BANCORP INC

  7,000  Shares                     397,119.99   304,710.00
 

ENCORE CAP GROUP INC

  16,189  Shares                     579,044.07   380,441.50
 

ENCOMPASS HEALTH CORP

  16,796  Shares                     728,819.50   1,036,313.20
 

EURONET WORLDWIDE INC

  12,800  Shares                     1,133,728.65   1,310,464.00
 

EXACT SCIENCES CORP

  12,795  Shares                     381,225.90   807,364.50
 

FIRSTCASH INC

  10,669  Shares                     591,349.39   771,902.15
 

FORTINET INC

  9,700  Shares                     648,653.95   683,171.00
 

GENESEE & WYOMING CL A

  8,220  Shares                     600,687.15   608,444.40
 

GLAUKOS CORP

  13,929  Shares                     487,439.58   782,391.93
 

GODADDY INC CL A

  13,006  Shares                     931,432.78   853,453.72
 

GRAND CANYON EDUCATION

  9,595  Shares                     684,169.08   922,463.30
 

GUIDEWIRE SOFTWARE INC

  6,280  Shares                     288,803.92   503,844.40
 

HEALTHCARE SVCS GROUP INC

  21,926  Shares                     1,081,114.35   880,986.68
 

HEICO CORP CL A

  14,655  Shares                     458,939.02   923,265.00
 

HILTON GRAND VACATIONS

  16,416  Shares                     637,681.53   433,218.24

 

7


Table of Contents

Page 8 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

INOGEN INC

  3,320  Shares                     458,877.91   412,244.40
 

INSULET CORP

  11,660  Shares                     1,098,134.21   924,871.20
 

JONES LANG LASALLE INC

  4,297  Shares                     488,154.93   544,000.20
 

J2 GLOBAL INC

  7,136  Shares                     429,305.18   495,095.68
 

LAMB WESTON HOLDINGS INC

  6,400  Shares                     478,232.55   470,784.00
 

LIGAND PHARMACEUTICALS

  5,390  Shares                     529,573.15   731,423.00
 

LIVE NATION ENTERTAINMENT

  23,860  Shares                     920,143.57   1,175,105.00
 

MARTIN MARIETTA MATERIALS

  6,420  Shares                     1,246,359.33   1,103,405.40
 

MAXLINEAR INC

  13,369  Shares                     333,652.82   235,294.40
 

MIDDLEBY CORP

  8,114  Shares                     819,158.51   833,551.22
 

NATIONAL INSTRUMENT CORP

  14,765  Shares                     564,210.68   670,035.70
 

NICE LTD SPON ADR

  6,010  Shares                     555,928.31   650,342.10
 

NOVANTA INC

  5,690  Shares                     326,566.77   358,470.00
 

NU SKIN ENTERPRISES CL A

  6,758  Shares                     356,925.83   414,468.14
 

PARSLEY ENERGY INC CL A

  20,250  Shares                     594,805.36   323,595.00
 

PENUMBRA INC

  4,390  Shares                     617,344.79   536,458.00
 

PORTOLA PHARMACEUTICALS

  13,350  Shares                     449,363.99   260,592.00
 

PURE STORAGE INC CL A

  50,975  Shares                     1,088,695.64   819,678.00
 

ROGERS CORP

  8,157  Shares                     1,203,653.85   808,032.42
 

SABRE CORP

  30,050  Shares                     750,949.50   650,282.00
 

SITEONE LANDSCAPE SUPPLY

  7,410  Shares                     270,791.41   409,550.70
 

SIX FLAGS ENTERTAINMENT

  14,240  Shares                     633,158.01   792,171.20
 

TELEDYNE TECHNOLOGIES INC

  4,906  Shares                     914,652.71   1,015,885.42
 

TELEFLEX INC

  4,240  Shares                     1,081,396.31   1,095,955.20
 

TORO CO

  6,421  Shares                     231,943.28   358,805.48
 

TRANSUNION

  17,510  Shares                     748,912.60   994,568.00
 

TREX CO INC

  9,240  Shares                     569,333.75   548,486.40
 

2U INC

  8,510  Shares                     488,020.53   423,117.20
 

UNIVERSAL ELECTRONICS INC

  7,345  Shares                     478,458.00   185,681.60
 

VAIL RESORTS INC

  4,400  Shares                     941,976.51   927,608.00
 

VEEVA SYS INC CL A

  12,630  Shares                     489,364.57   1,128,111.60
 

VIRTU FINANCIAL INC CL A

  21,914  Shares                     447,319.83   564,504.64
 

WEIGHT WATCHERS INTL INC

  9,550  Shares                     711,027.34   368,152.50
 

WEST PHARMACEUTICAL SVCS

  4,310  Shares                     399,299.13   422,509.30
 

WEX INC

  4,540  Shares                     530,807.64   635,872.40
       

 

 

 

 

Total Common Stocks

      449,006,753.65   571,355,272.89
       

 

 

 

 

U.S. Government Securities

       
 

FHLG 30YR 3% 03/45#G08631

  541,577.17  Shares                     541,492.57   530,071.91
 

FHLG 30YR 3% 06/46#Q41083

  882,130.59  Shares                     889,711.39   862,012.28
 

FNMA 30YR 4% 03/45#AS4630

  348,176.44  Shares                     369,719.86   356,391.94
 

FNMA 30YR 4.0% 07/45#AS5380

  456,177.90  Shares                     487,753.99   466,799.23
 

FNMA 3.5% 09/45#AS5722

  207,942.38  Shares                     217,949.63   208,488.31
 

FNMA 30YR 3.5% 05/46#AS7245

  242,879.90  Shares                     256,883.43   243,441.66
 

FNMA 30YR 3.5% 06/46#AS7348

  482,183.53  Shares                     497,929.83   483,298.78
 

FNMA 30YR 3.5% 07/46#AS7544

  512,298.89  Shares                     522,862.95   513,163.60
 

FNMA 30YR 3% 08/46#AS7737

  551,518.24  Shares                     572,631.03   538,746.18
 

FANNIEMAE 30YR 3% 10/46#AS8186

  570,320.67  Shares                     590,304.18   557,113.18
 

FNMA 30YR 3.0% 5/43#AT2722

  289,390.36  Shares                     301,870.31   284,045.17
 

FNMA 30YR 4.0% 12/01/44#AX4873

  314,126.17  Shares                     333,660.91   321,538.23
 

FNMA 5.00% 5/38 #983077

  161,698.15  Shares                     178,878.56   171,682.77
 

FNMA 30YR 3.5% 01/01/45#MA2163

  425,464.22  Shares                     440,355.46   426,847.15
 

FNMA 30YR 4% 12/01/45#MA2484

  440,508.02  Shares                     470,104.66   450,351.53
 

FNMA 30YR 3% 11/46#MA2806

  198,940.37  Shares                     204,877.49   194,333.31
 

FNMA 30YR 3.5% 01/49 #TBA

  2,290,000.00  Shares                     2,258,154.69   2,289,124.08
 

FNMA 30YR 4% 01/49 #TBA

  1,390,000.00  Shares                     1,404,108.31   1,416,879.82
 

FNMA 30YR 4.5% 01/49 #TBA

  1,205,000.00  Shares                     1,241,479.49   1,247,422.99

 

8


Table of Contents

Page 9 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

USTN TII 0.5% 01/15/28

  435,000.00  Shares                     431,008.56   425,889.08
 

USTN 1.75% 09/30/22

  2,040,000.00  Shares                     1,967,006.01   1,986,176.07
 

USTB 2.75% 11/15/47

  680,000.00  Shares                     645,203.64   644,574.35
       

 

 

 

 

Total U.S. Government Securities

      14,823,946.95   14,618,391.62
       

 

 

 

 

Corporate Debt Securities

       
 

TELENET FINANCE 5.5% 1/28 144A

  200,000.00  Shares                     200,000.00   181,000.00
 

ADT CORP 4.125% 6/15/23

  90,000.00  Shares                     84,150.00   82,350.00
 

AFLAC INC 6.45% 8/15/40

  61,000.00  Shares                     76,430.56   73,621.68
 

AMC NETWORKS INC 4.75% 8/1/25

  85,000.00  Shares                     80,068.75   77,137.50
 

AT&T INC 3.8% 03/15/22

  300,000.00  Shares                     307,594.47   301,294.49
 

AEGON NV 6ML+354 04/11/48

  215,000.00  Shares                     215,000.00   195,650.00
 

AGRIUM INC 3.375% 03/15/25

  135,000.00  Shares                     131,549.40   125,471.67
 

AIRBUS SE 3.15% 04/10/27 144A

  175,000.00  Shares                     176,397.75   168,376.43
 

ALLSTATE CORP 5.75 8/53

  95,000.00  Shares                     103,072.29   92,625.00
 

ALTRIA GROUP INC 2.85% 8/09/22

  85,000.00  Shares                     84,182.41   81,593.86
 

AMERICAN AXLE 6.625% 10/15/22

  57,000.00  Shares                     59,103.30   56,430.00
 

AMERICAN EXPRESS 5.2% VAR PERP

  105,000.00  Shares                     106,324.56   103,425.00
 

AIG INTL 3.75% 7/10/25

  205,000.00  Shares                     196,025.10   196,371.62
 

AMERICAN INTERN 5.75%/VAR 4/48

  150,000.00  Shares                     150,000.00   130,500.00
 

AMERICAN TOWER CORP 5% 2/24

  120,000.00  Shares                     129,922.06   124,124.11
 

AMERICAN WOOD 4.875% 3/26 144A

  75,000.00  Shares                     74,212.50   66,375.00
 

ANHEUSER-BUSCH 3.65% 2/1/26

  105,000.00  Shares                     108,496.50   99,161.40
 

APPLE INC 3.85% 5/4/43

  110,000.00  Shares                     100,447.60   104,704.16
 

ASHTEAD CAP 4.125% 8/25 144A

  30,000.00  Shares                     30,000.00   27,450.00
 

AUTONATION INC 4.5% 10/01/25

  85,000.00  Shares                     89,912.83   82,187.71
 

BAE SYSTEMS 3.85% 12/25 144A

  135,000.00  Shares                     133,407.00   133,905.88
 

BNP PARIBAS VR 7.375% PRP 144A

  200,000.00  Shares                     225,500.00   199,500.00
 

BNP PARIBAS 4.375 5/12/26 144A

  175,000.00  Shares                     177,511.25   168,488.42
 

BMW US CAPITAL 3.45% 4/23 144A

  295,000.00  Shares                     294,784.65   292,838.70
 

BP CAPITAL MKTS 2.52% 9/19/22

  95,000.00  Shares                     95,000.00   91,865.71
 

BAKER HUGHES 2.773% 12/15/22

  185,000.00  Shares                     185,000.00   177,478.65
 

BANCO SANTANDER SA 3.8% 02/28

  200,000.00  Shares                     199,078.00   177,999.05
 

BANK OF AMERICA 6.1% VAR PERP

  135,000.00  Shares                     139,387.50   132,975.00
 

BANK OF AMR CORP 6.3% VAR PERP

  80,000.00  Shares                     83,332.31   81,252.00
 

BANK AMER FDG CORP 4% 04/01/24

  123,000.00  Shares                     128,050.93   123,673.02
 

BANK AMER CORP 4.25% 10/22/26

  170,000.00  Shares                     172,914.05   165,426.56
 

BK OF AMER 3.419%/VAR 12/20/28

  342,000.00  Shares                     340,166.01   319,479.13
 

BANK NEW YORK 4.950/ VAR PERP

  120,000.00  Shares                     125,012.70   117,000.00
 

BARCLAYSPLC 3.65% 03/16/25

  205,000.00  Shares                     201,206.97   188,956.50
 

BRINKS 4.625% 10/15/27 144A

  125,000.00  Shares                     115,887.50   114,091.25
 

BUNGE LTD FIN 3.25% 8/15/26

  135,000.00  Shares                     133,771.32   118,343.90
 

COMMUNITY HLTH 5.125 8/21

  115,000.00  Shares                     115,102.51   106,662.50
 

CNH INDUSTRIAL 3.85% 11/15/27

  155,000.00  Shares                     147,155.45   140,982.90
 

CNA FINANCIAL CORP 3.45% 08/27

  100,000.00  Shares                     99,963.38   93,093.37
 

CVS HEALTH CORP 4.3% 03/25/28

  300,000.00  Shares                     294,989.80   293,756.27
 

CAPITAL ONE FIN 5.55%/VAR PERP

  145,000.00  Shares                     148,942.19   139,650.95
 

CAPITAL ONE FINAN 3.75% 3/9/27

  180,000.00  Shares                     174,144.60   167,273.38
 

CENTENE ESCRO 5.375% 6/26 144A

  85,000.00  Shares                     85,000.00   82,662.50
 

CHEMOURS CO 5.375% 05/15/2027

  85,000.00  Shares                     85,724.55   76,500.00
 

CITIGROUP INC 4.5% 1/14/22

  230,000.00  Shares                     248,286.44   234,988.90
 

CITIGROUP INC 3.75% 06/16/24

  80,000.00  Shares                     82,663.59   79,433.22
 

CITIGROUP 4.3% 11/26

  175,000.00  Shares                     177,242.67   168,370.43
 

CITIGROUP 3.2% 10/21/26

  90,000.00  Shares                     86,533.29   83,114.97
 

COMCAST CORP 6.4% 5/15/38

  70,000.00  Shares                     89,678.40   82,204.27
 

CONOCOPHILLIPS 6.5% 2/01/39

  70,000.00  Shares                     88,361.70   87,030.31
 

CONSTELATION ENERGY5.15% 12/20

  80,000.00  Shares                     88,368.00   81,750.79

 

9


Table of Contents

Page 10 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

RABOBK NEDERLND 3.95% 11/09/22

  120,000.00  Shares                     125,944.80   119,602.18
 

COX COMM 3.35% 9/15/26 144A

  210,000.00  Shares                     193,617.90   193,847.21
 

CREDIT AGRC 7.875/VAR PRP 144A

  270,000.00  Shares                     309,487.50   269,647.38
 

CREDIT SUIS 7.5%/VAR PERP 144A

  200,000.00  Shares                     200,000.00   195,000.00
 

CROWN AMER IV 4.5 1/15/23 WI

  60,000.00  Shares                     58,800.00   58,575.00
 

CROWN CASTLE 3.7% 6/15/26

  90,000.00  Shares                     89,725.50   85,898.91
 

CUMMINS INC 4.875% 10/01/43

  120,000.00  Shares                     132,666.00   132,278.42
 

DEERE JOHN CAPIT 2.65% 6/24/24

  180,000.00  Shares                     180,164.20   172,640.64
 

DEUTSCHE AG NY 4.875/VAR 12/32

  280,000.00  Shares                     279,932.80   217,711.20
 

DOMTAR CORP 6.75% 02/15/44

  130,000.00  Shares                     141,254.10   131,941.99
 

EBAY INC 3.8% 03/09/2022

  125,000.00  Shares                     126,525.55   125,515.51
 

ENDO/FINC VAR 1/23 144A

  110,000.00  Shares                     89,100.00   83,600.00
 

ENSCO PLC 5.2% 3/15/25

  100,000.00  Shares                     77,000.00   66,500.00
 

ENTERPRISE PRODS 2.8% 2/15/21

  130,000.00  Shares                     129,929.80   128,569.12
 

FEDEX CORP 3.25% 04/01/2026

  110,000.00  Shares                     110,738.91   104,475.58
 

FIRSTENERGY 4.35% 01/25 144A

  130,000.00  Shares                     135,714.80   131,411.91
 

GE CAP INTL 4.418% 11/15/35

  65,000.00  Shares                     69,141.15   54,684.97
 

GENERAL ELECTRIC 5.0%/VAR PERP

  274,000.00  Shares                     255,733.94   209,610.00
 

GENERAL MTRS CO 4% 4/1/25

  180,000.00  Shares                     169,916.40   168,259.69
 

GENWORTH HLDGS 4.8% 02/15/24

  105,000.00  Shares                     90,979.05   86,625.00
 

GLENCORE FDG LLC 4% 3/27 144A

  65,000.00  Shares                     61,660.95   59,245.30
 

GSINC 5.25% 7/27/21

  105,000.00  Shares                     115,307.85   108,995.37
 

GOLDMAN SACHS GP 5.75% 1/24/22

  400,000.00  Shares                     456,312.39   418,796.13
 

GOLDMAN SCHS GRP INC 4% 3/3/24

  145,000.00  Shares                     152,958.19   143,072.23
 

GOLDMAN SACHS GR 5.3%/VAR PERP

  120,000.00  Shares                     122,247.00   107,400.00
 

HCA INC 5.5% 06/15/47

  50,000.00  Shares                     47,935.00   47,375.00
 

HSBC HOLDINGS 4.375% 11/23/26

  200,000.00  Shares                     208,794.00   193,723.67
 

HARMAN INTL IND 4.15% 05/15/25

  85,000.00  Shares                     85,398.65   85,207.92
 

HARVEST OPERA 4.2% 6/1/23 144A

  200,000.00  Shares                     199,838.00   205,233.34
 

HEINEKEN NV 3.5% 01/29/28 144A

  130,000.00  Shares                     130,686.66   125,434.65
 

HILTON DOMEST 5.125% 5/26 144A

  90,000.00  Shares                     90,025.00   86,400.00
 

HUNTINGTON BANCSHAR 4% 5/15/25

  150,000.00  Shares                     149,529.00   150,848.69
 

ING GROEP NV 3.95% 03/29/27

  130,000.00  Shares                     129,829.70   124,808.25
 

INTEL CORP 3.15% 05/11/27

  130,000.00  Shares                     130,553.22   126,323.81
 

INTL PAPER CO GLB 8.7 6/15/38

  110,000.00  Shares                     153,496.20   146,474.20
 

JPMC CO 4.5% 1/24/22

  290,000.00  Shares                     314,722.54   298,799.02
 

JPM CHASE 6.75% PERP

  235,000.00  Shares                     258,742.83   242,813.75
 

JPMC CO 3.875% 09/10/24

  450,000.00  Shares                     443,538.00   443,628.92
 

JPMC CO 4.26/VAR 02/22/48

  130,000.00  Shares                     137,208.50   120,910.97
 

JEFFERIES GROUP 4.85% 1/15/27

  180,000.00  Shares                     178,750.32   172,093.92
 

KEYCORP 5/VAR PERP

  155,000.00  Shares                     157,192.81   141,631.25
 

KRAFT HEINZ CO 4.375% 6/1/46

  110,000.00  Shares                     108,095.66   90,738.30
 

LYB INTL FIN BV 4.0% 07/15/23

  150,000.00  Shares                     158,405.87   150,709.76
 

LAND O LAKES INC 8% PERP 144A

  125,000.00  Shares                     125,000.00   132,187.50
 

LAZARD GROUP LLC 3.625% 3/1/27

  220,000.00  Shares                     218,121.12   207,018.27
 

LEVEL 3 FIN INC 5.25% 03/15/26

  90,000.00  Shares                     90,000.00   82,350.00
 

LIBERTY MUTUAL 4.95% 5/22 144A

  170,000.00  Shares                     185,322.10   175,266.12
 

LINCOLN NATIONAL 3.35% 3/9/25

  200,000.00  Shares                     199,604.70   194,460.92
 

LLOYDS TSB BANK 4.45% 05/08/25

  230,000.00  Shares                     229,862.00   228,479.69
 

LOWES COS INC 3.1% 05/03/2027

  60,000.00  Shares                     60,075.11   54,855.38
 

MAPLE ESCR 4.417% 5/25/25 144A

  190,000.00  Shares                     190,000.00   189,202.46
 

METLIFE INC 3% 03/01/25

  205,000.00  Shares                     196,882.00   196,429.41
 

METLIFE INC 5.25/VAR PERP

  145,000.00  Shares                     150,556.99   139,200.00
 

MICROSOFT 3.3% 02/06/27

  130,000.00  Shares                     132,348.75   128,836.26
 

MDAMERICAN ENR 6.125% 4/01/36

  121,000.00  Shares                     146,059.10   144,477.44
 

MILLICOM 5.125% 1/15/28 144A

  80,000.00  Shares                     80,562.50   71,200.00
 

MORGAN STANLEY 4% 07/23/25

  110,000.00  Shares                     116,068.15   108,568.98

 

10


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Page 11 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

MORGAN STANLEY 5.5% 7/28/21

  95,000.00  Shares                     108,633.45   99,482.55
 

MORGAN STANLEY 3.95% 04/23/27

  310,000.00  Shares                     304,775.36   292,425.38
 

NABORS IND 5.5% 01/15/23

  100,000.00  Shares                     99,847.06   79,368.02
 

NAVIENT CORP 6.75% 6/15/26

  65,000.00  Shares                     65,000.00   53,950.00
 

NBCUNIVERSAL MEDIA 2.875% 1/23

  250,000.00  Shares                     248,306.10   245,416.68
 

NORDEA BANK AB 6.125 PERP 144A

  200,000.00  Shares                     205,960.00   187,500.00
 

NORTHERN TR CRP 3.95% 10/30/25

  135,000.00  Shares                     144,771.64   137,590.65
 

NOVA CHEMICALS 5.25% 8/23 144A

  105,000.00  Shares                     108,412.50   99,225.00
 

O REILLY AUTOMO 4.875% 1/14/21

  205,000.00  Shares                     221,151.95   210,487.88
 

OCEANEERING INTL 6% 02/01/2028

  60,000.00  Shares                     60,000.00   48,405.26
 

1011778 BC 5% 10/15/25 144A

  45,000.00  Shares                     45,000.00   41,400.00
 

OWENS CORNING 4.2% 12/15/22

  150,000.00  Shares                     154,356.00   148,923.84
 

PNC FIN SERVICES 3.15% 5/19/27

  150,000.00  Shares                     148,787.80   143,218.45
 

PARK AEROSPACE 5.25% 8/22 144

  125,000.00  Shares                     124,375.00   120,937.50
 

PETRO-CANADA 6.8% 5/15/38

  105,000.00  Shares                     136,071.60   122,272.25
 

PETROLEOS MEXICA 6.5% 03/13/27

  145,000.00  Shares                     141,375.00   136,300.00
 

PIEDMONT OPERTG 4.45% 03/15/24

  120,000.00  Shares                     123,422.40   120,926.82
 

PRUDENTIAL FN 5.2%/VAR 3/15/44

  130,000.00  Shares                     132,247.98   121,712.50
 

QUEST DIAGNOSTI 4.25% 04/01/24

  125,000.00  Shares                     131,794.22   127,565.20
 

QUICKEN 5.25% 1/15/28 144A

  95,000.00  Shares                     88,825.00   84,075.00
 

QWEST CORP 6.75% 12/01/21

  145,000.00  Shares                     161,715.29   148,255.69
 

ROCKWELL COLLINS 3.5% 03/15/27

  175,000.00  Shares                     176,075.36   164,360.33
 

SES 3.6% 04/04/23 144A

  95,000.00  Shares                     97,425.35   93,143.42
 

SABINE PASS LQ 5.875% 06/30/26

  80,000.00  Shares                     89,600.00   84,742.34
 

SCHWAB CHARLES 2.65% 01/25/23

  265,000.00  Shares                     264,576.00   258,671.10
 

SEMPRA ENERGY 3.4% 2/01/28

  140,000.00  Shares                     137,117.59   127,994.38
 

SIEMENS FINA 3.4% 3/16/27 144A

  250,000.00  Shares                     248,282.50   243,308.50
 

SMITHFIELD FD 4.25% 2/27 144A

  110,000.00  Shares                     111,870.78   102,593.03
 

SOCIETE 6.75/VAR PERP 144A

  200,000.00  Shares                     200,000.00   170,050.00
 

STATE STREET 5.25% VAR PERP

  120,000.00  Shares                     126,500.00   117,750.00
 

SUNTRUST BANK 2.45% 8/01/22

  170,000.00  Shares                     170,139.48   163,881.92
 

SUNTRUST BANKS 5.05%/VAR PERP

  130,000.00  Shares                     130,543.89   114,075.00
 

SYMETRA 4.25% 07/15/24

  105,000.00  Shares                     106,881.60   102,994.37
 

SYSCO CORP 3.3% 07/15/2026

  110,000.00  Shares                     110,150.87   104,736.36
 

TARGA RES LP/FI 4.25% 11/15/23

  60,000.00  Shares                     57,825.00   55,575.00
 

TELEFONICA EMISION 4.103% 3/27

  150,000.00  Shares                     153,357.75   144,636.03
 

TEVA PH FIN NV 6.75% 03/01/28

  120,000.00  Shares                     120,600.00   116,272.92
 

TEXAS INSTRUMENTS 2.9% 11/27

  110,000.00  Shares                     108,727.30   104,339.91
 

TIME WARNER INC 3.875% 1/15/26

  90,000.00  Shares                     90,449.31   85,999.48
 

TYSON FOODS INC 3.95% 08/15/24

  195,000.00  Shares                     196,121.15   193,854.58
 

UNION PACIFIC C 4.5% 09/10/48

  85,000.00  Shares                     84,914.15   83,934.23
 

UNITED RENTALS NA 6.5% 12/26

  75,000.00  Shares                     75,000.00   73,875.00
 

UNITED STATES STEEL 6.25% 3/26

  65,000.00  Shares                     65,247.00   56,875.00
 

UNITED HEALTH 4.75% 7/15/45

  150,000.00  Shares                     157,040.00   158,915.72
 

UNUM GROUP 4% 03/15/24

  105,000.00  Shares                     109,555.74   104,211.87
 

VOC CRUISE LTD 5% 2/15/28 144A

  120,000.00  Shares                     120,000.00   110,700.00
 

VALERO ENERGY CO 3.4% 9/15/26

  215,000.00  Shares                     197,580.70   197,018.69
 

VERIZON COMM 4.125% 8/15/46

  225,000.00  Shares                     198,766.56   198,786.70
 

VISA INC 3.15% 12/14/25

  200,000.00  Shares                     193,308.00   196,633.16
 

VODAFONE 4.375% 05/30/2028

  155,000.00  Shares                     153,068.70   150,450.13
 

VOYA FIN INC 3.65% 6/15/26

  120,000.00  Shares                     119,650.80   113,497.08
 

VOYA FINANCIAL 6.125%/VAR PERP

  105,000.00  Shares                     105,000.00   99,618.75
 

WALGREEN CO 3.1% 9/15/22

  200,000.00  Shares                     194,726.00   195,090.20
 

WELLPOINT INC 3.125% 5/15/22

  200,000.00  Shares                     195,886.00   197,051.65
 

WELLS FARGO MTN 4.6% 4/01/21

  195,000.00  Shares                     210,924.69   199,676.73
 

WESTERN GAS PAR 4.5% 3/01/28

  85,000.00  Shares                     84,740.64   79,497.26
 

WILLIS NORTH AMER 3.6% 5/15/24

  110,000.00  Shares                     109,905.40   107,391.82

 

11


Table of Contents

Page 12 of 12

Ameren Corporation Savings Investment Plan

SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)

December 31, 2018

 

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)

 

(b)

Identity of issue, borrower,

lessor, or similar party

 

(c)

Description of investment including maturity date,

rate of interest, collateral, par, or maturity value

 

(d)

Cost

 

(e)

Current

value

 

XLIT LTD 4.45% 03/31/2025

  170,000.00  Shares                     169,192.50   169,012.52
 

WOODSIDE FIN 3.65% 3/5/25 144A

  90,000.00  Shares                     87,212.70   85,521.15
 

SPRINT SPECTRM 3.36% 3/23 144A

  137,500.00  Shares                     137,497.73   135,781.25
       

 

 

 

 

Total Corporate Debt Securities

      24,763,409.69   23,502,146.00
       

 

 

 

 

Other Debt Securities

       
 

AMERICAN AIR_L 3.575% 07/15/29

  153,743.96  Shares                     156,242.29   150,941.41
 

BACCT 2017-A1 A1 1.95% 08/22

  320,000.00  Shares                     319,907.97   316,180.70
 

BAYV 2006-D 1A3 5.932% 12/36

  40,390.24  Shares                     40,087.32   40,557.63
 

CABMT 15-2015-2 A1 2.25% 07/23

  205,000.00  Shares                     201,596.68   202,541.00
 

CARMX 2018-2 A3 2.98% 01/23

  250,000.00  Shares                     248,769.53   251,457.23
 

CCCIT 2014-A1 A1 2.88% 01/23

  375,000.00  Shares                     383,920.90   374,796.56
 

DCENT 2017-A2 A2 2.39% 07/24

  185,000.00  Shares                     184,913.48   182,160.38
 

DPABS 17-1A A2I 3ML+125 07/47

  291,312.50  Shares                     292,158.05   291,038.67
 

DPABS 17-1A A2II 3.082% 07/47

  222,187.50  Shares                     222,187.50   216,477.28
 

FITAT 2017-1 A3 1.8% 02/22

  310,000.00  Shares                     309,992.03   306,622.67
 

FOCUS 17-1A A2II 5.093% 04/47

  241,325.00  Shares                     248,685.96   244,563.58
 

FORDR 14-1 A 2.26% 11/25

  300,000.00  Shares                     302,390.62   299,077.20
 

FORDR 2015-2 A 2.44% 01/27

  205,000.00  Shares                     202,269.34   203,277.39
 

IHSFR 18-SFR2 A 1ML+90 06/37

  257,761.66  Shares                     257,761.66   254,761.47
 

IHSFR 17-SFR2 A 1ML+85 12/36

  141,969.85  Shares                     141,969.85   140,236.67
 

IHSFR 18-SFR3 A 1ML+100 07/37

  199,243.52  Shares                     199,243.52   198,091.79
 

NRART 17-T1 DT1 4.0024% 02/51

  185,000.00  Shares                     184,999.13   183,621.38
 

NRZT 2017-6A A1 4% 08/57

  206,414.69  Shares                     213,378.36   208,410.12
 

NAROT 2016-A A3 1.34% 10/15/20

  105,081.83  Shares                     104,864.28   104,528.87
 

OMART 2016-T2 DT2 4.45% 08/49

  225,000.00  Shares                     224,999.69   223,926.30
 

SWH 17-1 A 1ML+95 01/35

  241,461.43  Shares                     241,461.43   241,082.34
 

SYNIT 2018-A1 A1 3.38% 09/24

  245,000.00  Shares                     245,028.71   247,226.12
 

BELL 16-1A A2II 4.377% 05/46 1

  123,125.00  Shares                     129,454.40   124,151.86
 

TAH 17-SFR1 A 2.716% 09/34

  180,000.00  Shares                     179,994.76   173,949.84
 

VALET 2018-1 A2A 2.81% 07/21

  230,000.00  Shares                     229,998.11   229,689.78
 

BX 2018-MCSF A 1ML+58 04/15/35

  250,000.00  Shares                     248,750.00   245,165.05
 

BACM 2015-UBS7 D 3.167% 9/48

  160,000.00  Shares                     117,675.00   132,326.27
 

BANK 2017-BNK4 A4 3.625% 05/50

  280,000.00  Shares                     289,431.75   279,048.28
 

CWALT 2003-J3 1A3 5.25% 11/33

  95,987.49  Shares                     97,127.34   96,958.27
 

COLD 2017-ICE3 A 1ML+1 4/36

  310,000.00  Shares                     310,968.75   304,457.45
 

FSMT 2017-2 A5 3.50% 10/47

  201,267.78  Shares                     204,286.81   200,105.86
 

FSMT 2018-4 A4 4% 07/48

  253,561.86  Shares                     254,631.20   255,035.16
 

JPMCC 17-JP5 A5 3.7232% 03/50

  260,000.00  Shares                     266,703.13   261,682.20
 

JPMCC 17-MAUI A 1ML+83 07/34

  255,000.00  Shares                     255,000.00   252,213.26
 

MSBAM 15-C22 D 4.24368% 05/46

  140,000.00  Shares                     111,464.06   120,804.50
 

MSBAM 14-C16 D CSTR 06/47

  165,000.00  Shares                     135,293.55   147,302.13
 

SEQUOIA TR 18-CH4 4.5% 10/48

  166,273.17  Shares                     168,612.50   169,747.08
 

SCOT 2017-2 A4 3.5% 10/47 144A

  304,684.73  Shares                     312,682.70   300,838.85
 

WFRBS 2012-C10 A3 2.875% 12/45

  250,000.00  Shares                     252,822.27   246,135.83
 

WFCM 2015-C29 A4 3.637% 06/48

  300,000.00  Shares                     306,632.81   302,721.60
 

WFCM 2015-C30 D VAR 09/58 144A

  115,000.00  Shares                     92,745.70   106,404.73
 

GERMANY FED REP0.5%2/15/28RGS

  500,000.00  Shares                     594,473.14   589,639.61
 

GERMANY GOVT 0.25% 2/15/27 RGS

  430,000.00  Shares                     476,991.37   500,290.20
 

EGYPT GOVT 5.577% 2/21/23 144A

  200,000.00  Shares                     200,000.00   189,532.00
 

ARGENTINA GOVT 6.875% 1/11/48

  85,000.00  Shares                     84,201.00   59,181.25
 

OMAN SULTANAT 5.625% 1/28 144A

  200,000.00  Shares                     199,606.00   176,075.20
 

MIAMI-DADE AVI 4.28% 10/01/41

  175,000.00  Shares                     169,187.00   177,014.25
 

MUNICIPAL ELE GA 7.055% 4/1/57

  100,000.00  Shares                     108,838.00   112,326.00
 

US LONG BOND(CBT) MAR19 USH9

  5.00  Shares                     —     2,343.75
 

US ULTRA BOND CBT MAR19 WNH9

  11.00  Shares                     —     6,531.25
 

US 10YR ULTRA FUT MAR19 UXYH9

  (16.00)  Shares                     —     (7,500.00)
 

US 10YR NOTE (CBT)MAR19 TYH9

  (27.00)  Shares                     —     (10,546.88)
       

 

 

 

 

Total Other Debt Securities

      10,724,399.65   10,625,201.39
       

 

 

 

 

Notes Receivable

       

* / **

 

Participants

 

Participant Loans

    33,638,895.20   33,638,895.20
       

 

 

 

        $    2,061,578,667.12   $    2,283,809,960.83
       

 

 

 

*

Investment represents allowable transaction with a party-in-interest.

**

Interest rates vary from 4.00% to 10.50% on loans maturing through 2028.

 

12


Table of Contents

SIGNATURE

The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustee (or other persons who administer the employee benefit plan) has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.

 

AMEREN CORPORATION
SAVINGS INVESTMENT PLAN
By: AMEREN ADMINISTRATIVE COMMITTEE

(Administrator)

By:  

/s/ Marla J. Langenhorst      

  Marla J. Langenhorst
  Member of the Administrative Committee

June 21, 2019


Table of Contents

EXHIBIT INDEX

 

Exhibit

    No.    

  

Description

23.1    Consent of Independent Registered Public Accounting Firm
99.1    Third Amendment to Ameren Corporation Savings Investment Plan
EX-23.1 2 d765465dex231.htm EX-23.1 EX-23.1

Exhibit 23.1

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

We consent to the incorporation by reference in Registration Statements No. 333-228019 and No. 333-191786 on Form S-8 of Ameren Corporation of our report dated June 21, 2019 appearing in this Annual Report on Form 11-K of the Ameren Corporation Savings Investment Plan for the year ended December 31, 2018.

Crowe LLP

Oak Brook, Illinois

June 21, 2019

EX-99.1 3 d765465dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

Page 1 of 2

THIRD AMENDMENT TO THE

AMEREN CORPORATION SAVINGS INVESTMENT PLAN

Amended and Restated Effective January 1, 2017

WHEREAS, Ameren Corporation (“Company”) previously adopted the Ameren Corporation Savings Investment Plan (“Plan”); and

WHEREAS, the Company reserved the right to amend the Plan pursuant to Section 13.1 thereof, which authority has been delegated, in part, to the Administrative Committee of Ameren Services Company as set forth in Section 13.1; and

WHEREAS, effective January 1, 2019, the Company amends the Plan to reflect certain provisions relating to hardship withdrawals.

NOW, THEREFORE, effective January 1, 2019, the Plan is amended, in the following respects:

1.    Section 9.2.1 of the Plan is amended in its entirety to read as follows:

9.2.    Hardship Withdrawals.

9.2.1.    Requirements.

A Participant in the employment of the Employer may withdraw as of any date all or any part of his or her Salary Reduction Account and Roth elective deferrals, including the earnings attributable to such amounts under the Prior Plan or this Plan, (but not any qualified nonelective contributions or qualified matching contributions allocated to such an account) if the Participant demonstrates a substantial hardship to the Plan Administrator. The Plan Administrator will grant a distribution on account of hardship only if the distribution is made on account of an immediate and heavy financial need of the Participant and is necessary to satisfy such financial need.

2.    Section 9.2.3 of the Plan is amended in its entirety to read as follows:

9.2.3.    Amount Necessary To Satisfy Financial Need.

A distribution will be deemed to be necessary to satisfy an immediate and heavy financial need of a Participant if the following requirements are satisfied:

(a)    The distribution is not in excess of the amount of the immediate and heavy financial need of the Participant (which may include any amounts necessary to pay any federal, state or local income tax or penalties reasonably anticipated to result from the distribution);

(b)    The Participant has obtained all distributions (including distribution of ESOP dividends under Code Section 404(k)), other than hardship distributions; and


Page 2 of 2

(c)    The Participant certifies to the reason for such withdrawal and represents that the Participant has exhausted all resources reasonably available to meet such need.

*        *         *

IN WITNESS WHEREOF, this Amendment has been executed by a duly authorized individual this 12th day of December, 2018.

 

AMEREN CORPORATION
By:   /s/ Mark C. Lindgren
Name:   Mark C. Lindgren
Title:   Senior Vice President and
  Chief Human Resources Officer
  Ameren Services Company
  On Behalf of Ameren Corporation