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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

FORM 11-K/A

Amendment No. 1

 

 

 

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

 

 

 


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EXPLANATORY NOTE

This Amendment No. 1 on Form 11-K/A (the “Amendment”) is being filed by the Ameren Corporation Savings Investment Plan (the “Plan”) to amend its Annual Report on Form 11-K for the fiscal year ended December 31, 2018, as filed with the U.S. Securities and Exchange Commission on June 21, 2019 (the “Original Filing”). The sole purpose of this Amendment is to include Schedule G Part III - Nonexempt Transactions and update the Report of Independent Registered Public Accounting Firm dated June 21, 2019. The Report of Independent Registered Public Accounting Firm included in the Amendment is dated June 21, 2019, except for Schedule G, as to which the date is October 27, 2023. Other than the revisions to Schedule G Part III and the Report of Independent Registered Public Accounting Firm, no other items included in the Original Filing, including financial statements and footnotes, have been amended. Further, the Amendment does not purport to provide an update or a discussion of any other developments with respect to the Plan subsequent to the filing date of the Original Filing.


Table of Contents

Ameren Corporation Savings Investment Plan

Financial Statements and Supplemental Schedule

December 31, 2018 and 2017

Index

 

Report of Independent Registered Public  Accounting Firm

December 31, 2018 and 2017

     1-2  

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 Schedules*

  

Schedule G, Part III - Schedule of Nonexempt Transactions

     1  

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.


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LOGO   

Crowe LLP

Independent Member Crowe Global

  

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.

 

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Supplemental Information

The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2018 and Schedule G, Part III – Schedule of Nonexempt Transactions for the year ended December 31, 2018 have been subjected to audit procedures performed in conjunction with the audit of Ameren Corporation Savings Investment Plan’s financial statements. The supplemental schedules are the responsibility of the Plan’s management. Our audit procedures included determining whether the information presented in the supplemental schedules 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 schedules. In forming our opinion on the supplemental schedules, we evaluated whether the supplemental schedules, including their form and content, are presented in conformity with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedules are fairly stated in all material respects in relation to the financial statements as a whole.

/s/ Crowe LLP

Crowe LLP

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

Oak Brook, Illinois

June 21, 2019, except for supplemental Schedule G, Part III - Schedule of Nonexempt Transactions, as to which the date is October 27, 2023.

 

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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.

 

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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.

 

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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.

 

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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

 

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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.

 

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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.

 

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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).

 

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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.

 

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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”)

 

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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


Table of Contents

Ameren Corporation Savings Investment Plan

SCHEDULE G, PART III - Schedule of Nonexempt Transactions

For the year ended December 31, 2018

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  

Identity of party involved

  

Relationship to plan, employer, or

other party-in-interest

  

Description of transaction including

maturity date, rate of interest,

collateral, par or maturity value

   Current
value of
asset
     Net gain (loss) on
each transaction
 

Fidelity Investments Institutional

   Service Provider    Excess compensation paid for recordkeeping services for 2018 plan year was $705,871 - VFCP filed    $ 705,871      $ 331,691  

 

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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


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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


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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


Table of Contents

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

October 27, 2023


Table of Contents

EXHIBIT INDEX

 

Exhibit

 No. 

  

Description

23.1    Consent of Independent Registered Public Accounting Firm

Exhibit 23.1

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

We consent to the incorporation by reference in Registration Statement No. 333-228019 on Form S-8 of Ameren Corporation of our report dated June 21, 2019, except for supplemental Schedule G, Part III - Schedule of Nonexempt Transactions, as to which the date is October 27, 2023, appearing in this Annual Report on Form 11-K/A of the Ameren Corporation Savings Investment Plan for the year ended December 31, 2018.

/s/ Crowe LLP

Crowe LLP

Oak Brook, Illinois

October 27, 2023


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