UNITED STATES
SECURITIES AND EXCHANGE COMMISISION
WASHINGTON, DC 20549
FORM 11-K
☒ | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2020
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
COMMISSION FILE NUMBER 1-14756
A. | Full title of the plan and the address of the plan, if different from that of the issuer named below: |
AMEREN CORPORATION
SAVINGS INVESTMENT PLAN
B. | Name of issuer of securities held pursuant to the plan and the address of its principal executive office: |
Ameren Corporation
1901 Chouteau Avenue
St. Louis, Missouri 63103
Ameren Corporation
Savings Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2020 and 2019
Ameren Corporation
Savings Investment Plan
Index
Report of Independent Registered Public Accounting Firm December 31, 2020 and 2019 |
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Financial Statements | ||||
Statements of Net Assets Available for Benefits December 31, 2020 and 2019 | 3 | |||
Statements of Changes in Net Assets Available for Benefits Years Ended December 31, 2020 and 2019 | 4 | |||
December 31, 2020 and 2019 | 5-16 | |||
Supplemental Schedule* | ||||
Schedule H, Line 4i - Schedule of Assets (Held at End of Year) December 31, 2020 | 1-7 |
* | 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. |
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, 2020 and 2019, 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, 2020 and 2019, 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. 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.
Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
1
Supplemental Information
The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2020 has been subjected to audit procedures performed in conjunction with the audit of Ameren Corporation Savings Investment Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the information presented in the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in conformity with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedule is fairly stated in all material respects in relation to the financial statements as a whole.
/s/ Crowe LLP |
Crowe LLP |
We have served as the Plan’s auditor since 2014.
Oak Brook, Illinois
June 24, 2021
2
Savings Investment Plan
Statements of Net Assets Available for Benefits
December 31, 2020 and 2019
2020 | 2019 | |||||||
Assets | ||||||||
Investments, at fair value | $ | 2,667,860,978 | $ | 2,372,801,088 | ||||
Investments, at contract value | 321,003,883 | 289,817,950 | ||||||
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Total investments | 2,988,864,861 | 2,662,619,038 | ||||||
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Cash | 1 | 68,815 | ||||||
Receivables | ||||||||
Notes receivable from participants | 33,994,821 | 35,354,528 | ||||||
Participant contributions | 3,127,852 | 2,983,387 | ||||||
Employer contributions | 623,687 | 520,380 | ||||||
Dividends and interest | 315,588 | 472,218 | ||||||
Due from brokers for securities sold | 9,034,431 | 5,383,142 | ||||||
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Total receivables | 47,096,379 | 44,713,655 | ||||||
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Total assets | 3,035,961,241 | 2,707,401,508 | ||||||
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Liabilities | ||||||||
Accrued expenses | 662,737 | 626,534 | ||||||
Due to brokers for securities purchased | 9,475,458 | 2,119,021 | ||||||
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Total liabilities | 10,138,195 | 2,745,555 | ||||||
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Net assets available for benefits | $ | 3,025,823,046 | $ | 2,704,655,953 | ||||
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The accompanying notes are an integral part of these financial statements.
3
Savings Investment Plan
Statements of Changes in Net Assets Available for Benefits
Years Ended December 31, 2020 and 2019
2020 | 2019 | |||||||
Additions: | ||||||||
Investment income | ||||||||
Interest and dividends | $ | 20,377,636 | $ | 24,794,772 | ||||
Net appreciation in fair value of investments | 372,577,335 | 455,371,217 | ||||||
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Total investment income | 392,954,971 | 480,165,989 | ||||||
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Interest on notes receivable from participants | 1,841,308 | 1,775,255 | ||||||
Participant contributions | 109,954,566 | 105,448,706 | ||||||
Employer contributions | 37,612,346 | 34,939,878 | ||||||
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Total additions | 542,363,191 | 622,329,828 | ||||||
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Deductions: | ||||||||
Benefits paid to participants | 217,709,502 | 203,601,534 | ||||||
Administrative expenses | 3,486,596 | 3,500,712 | ||||||
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Total deductions | 221,196,098 | 207,102,246 | ||||||
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Net increase | 321,167,093 | 415,227,582 | ||||||
Net assets available for benefits | ||||||||
Beginning of year | 2,704,655,953 | 2,289,428,371 | ||||||
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End of year | $ | 3,025,823,046 | $ | 2,704,655,953 | ||||
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The accompanying notes are an integral part of these financial statements.
4
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
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 (“Fidelity”), as Trustee, has the authority and responsibility to hold and protect the assets of the Plan in accordance with Plan provisions and with the Trust and Administrative Agreement.
Participation
All regular full-time employees are eligible to participate upon employment, and part-time or temporary employees are eligible to participate upon completion of a year of service of at least 1,000 hours. Employees covered by a collective bargaining agreement (“CBA”) are eligible to participate only if the CBA provides for such participation.
If employees do not make an election, nor opt-out within 30 days of employment, they are automatically enrolled at a 6% pre-tax contribution rate, invested in a Target Date fund based upon the date at which the Participant is or will be age 65, and further enrolled in auto-escalation increasing their pre-tax contribution 1% annually, with no cap on the annual increases. Employees may opt-out or make alternative elections at any time.
Contributions
Each year, Participants may contribute up to 100% of eligible compensation, as defined in the Plan, and subject to annual limitations imposed by the Code.
The Company makes an Employer Basic Matching Contribution plus an Employer Additional Matching Contribution in an amount equal to a percent of the amount each Participant contributes to the Plan, up to a certain maximum percentage of the Participant’s compensation that he or she elects to contribute to the Plan each year. The amount of Company matching contribution depends on the Participant’s employment classification, and for contract employees is determined by the collective bargaining agreement with the specific union representing the Participants. The Company also makes true-up Employer Basic Matching Contributions for Participants who contribute the IRS maximum before the end of the year and, as a result, do not receive the full company match. The Employer Additional Matching Contributions are invested in the Ameren Stock Fund.
5
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
The Plan permits “catch-up” contributions for all employees age 50 and older. For eligible employees, the additional “catch-up” contribution is limited to $6,500 and $6,000 in 2020 and 2019, respectively. 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. Effective September 1, 2019, the Plan was amended to impose certain restrictions on participant directed investments into the Ameren Stock Fund.
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, 2020 and 2019, 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. In compliance with the Setting Every Community Up for Retirement Enhancement (SECURE) Act, which was enacted in December 2019, the Company adopted the provision which affects
6
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
distributions to former employees. Effective for Participants who turn age 70 1⁄2 after December 31, 2019, the Company will make required minimum distributions (“RMD”) no later than April 1 in the year after the participant reaches the age of 72. In compliance with the Coronavirus Aid, Relief, and Economic Security (CARES) Act, which was enacted in March 2020, the Company temporarily suspended RMDs for 2020.
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 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, 2020 and 2019. 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
7
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
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.
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 Statements of Net Assets Available for Benefits.
In December 2019, a novel strain of coronavirus (“COVID-19”) was reported in Wuhan, China. On January 30, 2020, COVID-19 was declared a Public Health Emergency of International Concern by the World Health Organization. As a result of the ongoing spread of COVID-19, economic uncertainties continue to arise, which can cause significant volatility in the markets. These disruptions could continue for a prolonged period of time or become more severe, which may negatively affect the financial results and cash flows of the Plan. The Company is continuing to monitor developments with respect to the global outbreak of COVID-19 and cannot predict the extent or duration of the outbreak or its ultimate financial impact on the Plan.
Concentrations
Company common stock comprised 11% and 13% of investments at December 31, 2020 and 2019, respectively.
8
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
3. | Fair Value Measurements |
The authoritative guidance issued by the Financial Accounting Standards Board (the “FASB”) regarding fair value measurement provides a framework for measuring fair value for all assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three hierarchy levels:
Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan has the ability to access at the reporting date.
Level 2: Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly. Inputs to the valuation methodology include:
• | Quoted prices for similar assets or liabilities in active markets; |
• | Quoted prices for identical or similar assets or liabilities in inactive markets; |
• | Inputs other than quoted prices that are observable for the asset or liability; and |
• | 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 2020 or 2019.
The asset’s 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.
The 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 2020.
• | Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 inputs). |
• | Collective trust funds: The fair values of participation units held in collective trusts are based on the net asset value (“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 daily and are executed at NAV as a practical expedient. The |
9
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
objective of the SSGA Short Term Investment Fund (value of $7,292,977 at December 31, 2020 and $5,063,269 at December 31, 2019) is to provide safety of principal, daily liquidity, and a competitive yield over the long term. The fund is invested in corporate bonds & notes, U.S. government agency obligations, short term instruments, and repurchase agreements. Units are typically purchased and redeemed at a constant NAV of $1.00 per unit. In the event that a significant disparity develops between the constant NAV and the fair value-based NAV, the fund trustee has the sole discretion to direct that the units be issued or redeemed at the fair value-based NAV until the disparity is deemed to be immaterial. |
• | 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 NAV and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded. |
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, 2020:
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 | ||||||||||||||||
Common stocks-Plan sponsor stock | $ | 331,644,311 | $ | — | $ | — | $ | 331,644,311 | ||||||||
Common stocks-other than Plan sponsor stock | 395,382,087 | — | — | 395,382,087 | ||||||||||||
Collective trust funds | — | — | 1,681,624,551 | 1,681,624,551 | ||||||||||||
Mutual funds | 259,210,029 | — | — | 259,210,029 | ||||||||||||
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Total assets reported at fair value | $ | 986,236,427 | $ | — | $ | 1,681,624,551 | $ | 2,667,860,978 | ||||||||
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(a) | In accordance with accounting guidance, certain investments measured at NAV per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits. |
10
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
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, 2019:
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 | ||||||||||||||||
Common stocks-Plan sponsor stock | $ | 340,199,808 | $ | — | $ | — | $ | 340,199,808 | ||||||||
Common stocks-other than Plan sponsor stock | 339,123,849 | — | — | 339,123,849 | ||||||||||||
Collective trust funds | — | — | 1,478,897,102 | 1,478,897,102 | ||||||||||||
Mutual funds | 214,580,329 | — | — | 214,580,329 | ||||||||||||
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Total assets reported at fair value | $ | 893,903,986 | $ | — | $ | 1,478,897,102 | $ | 2,372,801,088 | ||||||||
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(a) | In accordance with accounting guidance, 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 investment contracts, valued at $321,003,883 at December 31, 2020. The separately-managed account held (1) an investment in the Wells Fargo/BlackRock Short Term Investment Fund, (2) a portfolio of synthetic guaranteed investment contracts valued at $221,442,234, and (3) a separate account holding guaranteed investment contracts valued at $68,375,716, at December 31, 2019. 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 (also referred to herein as “wrapper contracts”) are issued by the following insurance companies (also referred to herein as “contract issuer(s)”):
• | American General Life Insurance Company (“AGL”) |
• | Transamerica Premier Life Insurance Company (“Transamerica”) |
• | Voya Retirement Insurance and Annuity Company (“Voya”) |
• | Massachusetts Mutual Life Insurance Company (“Mass Mutual”) |
• | Metropolitan Life Insurance Company (“Met Life”) |
As of December 31, 2020, the underlying investments of the AGL, Mass Mutual, Transamerica, Voya, and Met Life contracts are holdings in collective trust funds.
11
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
As of December 31, 2019, the underlying investments of the AGL, Mass Mutual, Transamerica, and Voya contracts were holdings in collective trust funds and, the underlying investments of Met Life contracts were holdings in commingled portfolios of fixed income securities, which were 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. Effective July 19, 2019, a synthetic guaranteed investment contract with Prudential Insurance Company of America was terminated and replaced with the Transamerica contract.
The investment contracts include wrapper contracts, which are agreements for the contract issuer to make payments to the Plan under certain circumstances. The wrapper contracts typically include certain conditions and limitations on the underlying assets owned by the Plan. The wrapper contracts are designed to accrue interest based on crediting rates calculated under the terms of the wrapper contracts, and also provide a guarantee that the crediting rate will not fall below zero percent. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance are passed through to the Plan through adjustments to future wrapper contract crediting rates. Formulas are provided in each contract that adjusts renewal crediting rates to recognize the difference between the fair value of the underlying assets and the contract value. 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 contract issuer’s ability to meet its financial obligations. The contract 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 may be 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; such events may include all or a portion of the following:
• | material amendments to the Plan’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 stable value account, 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 stable value 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 stable value account or participating plans; |
• | the delivery of any communication to Participants designed to influence a Participant’s decision to stop investing in this investment option; and |
12
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
• | the addition of an Asset Allocation or Managed Account service without prior approval of the contract issuer, or a material change in such service. |
No events are probable of occurring that might limit the ability of the Plan to transact at contract value on behalf of the Participants.
These investment 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 investment contract if the contract value or the fair value of the underlying portfolio equals zero. The contract issuer is obligated to pay the excess contract value when the fair value is below contract value at the time of termination and termination was caused by certain events including fraud or misconduct related to the investment contracts, such as material misrepresentations. In addition, if the Plan defaults in its obligations under the investment contract (including the contract 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 investment contract, then the investment contract may be terminated by the contract issuer and the Plan will receive the fair value as of the date of termination.
13
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
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, 2020, the Plan held 4,248,582 shares of Company common stock with a cost and fair value of $200,273,215 and $331,644,311, respectively. During 2020, the Plan purchased 194,005 shares at a cost of $14,549,836 and sold 375,108 shares valued at $30,078,581.
At December 31, 2019, the Plan held 4,429,685 shares of Company common stock with a cost and fair value of $203,080,936 and $340,199,808, respectively. During 2019, the Plan purchased 424,595 shares at a cost of $30,789,037 and sold 649,343 shares valued at $47,491,507.
Dividend income from Company common stock was $8,541,913 and $8,622,071 for the years ended December 31, 2020 and December 31, 2019, respectively.
At December 31, 2020 and December 31, 2019, 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 $1,482,653 and $1,443,432 for the years ended December 31, 2020 and December 31, 2019, respectively.
Fees paid to and investments issued by various Plan investment managers or affiliates of Plan investment managers also reflect party-in-interest transactions.
These transactions are allowable party-in-interest transactions under Section 408(b)(8) of ERISA.
14
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
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, 2020 and 2019:
2020 | 2019 | |||||||
Net assets available for benefits per the financial statements | $ | 3,025,823,046 | $ | 2,704,655,953 | ||||
Amounts allocated to deemed distributions of notes receivable from Participants | (1,899,760 | ) | (1,736,193 | ) | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts | 13,268,753 | 3,683,181 | ||||||
|
|
|
| |||||
Net assets available for benefits per the Form 5500 | $ | 3,037,192,039 | $ | 2,706,602,941 | ||||
|
|
|
|
Deemed distributions of notes receivable from Participants, resulting from defaults of notes receivable from Participants, are no longer considered assets of the Plan with respect to Form 5500 filings.
The following is a reconciliation of net increase in net assets available for benefits per the financial statements to net income per the Form 5500 for the year ended December 31, 2020:
Net increase in net assets available for benefits per the financial statements | $ | 321,167,093 | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the current year-end | 13,268,753 | |||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the prior year-end | (3,683,181 | ) | ||
Less: Net increase in defaulted notes receivable from Participants | (35,009 | ) | ||
Less: Interest income of defaulted notes receivable from Participants | (128,558 | ) | ||
|
| |||
Total net income per the Form 5500 | $ | 330,589,098 | ||
|
|
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, 2020 and 2019, 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 2017.
15
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2020 and 2019
8. | Subsequent Events |
In compliance with the SECURE Act, the Company adopted the provision which affects the eligibility of part-time employees to participate in salary deferrals under the Plan. Effective January 1, 2021, the Plan allows part-time employees to participate in the Plan if they complete three consecutive 12-month periods, each with at least 500 hours of service. In order to determine eligibility, the Company began tracking hours on January 1, 2021. Twelve month periods beginning before January 1, 2021 are not taken into account.
16
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | $ | 7,292,976.52 | $ | 7,292,976.52 | ||||||||
|
|
|
| |||||||||||
Total Interest-bearing Cash | 7,292,976.52 | 7,292,976.52 | ||||||||||||
|
|
|
| |||||||||||
Mutual Funds | ||||||||||||||
American Funds Group | EuroPacific Growth Fund | 118,111,476.15 | 175,433,039.74 | |||||||||||
* | Sands Capital Management | Touchstone Sands Capital Institutional Growth Fund | 36,574,518.98 | 55,674,558.60 | ||||||||||
* | Pacific Investment Management Company | PIMCO Income Institutional Fund | 25,034,363.97 | 25,509,470.41 | ||||||||||
* | Fidelity Management Trust Company | Fidelity Institutional Money Market Government Portfolio | 2,592,960.67 | 2,592,960.67 | ||||||||||
|
|
|
| |||||||||||
Total Mutual Funds | 182,313,319.77 | 259,210,029.42 | ||||||||||||
|
|
|
| |||||||||||
Collective Investment Trusts | ||||||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index Retirement Fund O | 103,829,964.82 | 111,542,760.55 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2025 Fund O | 118,713,950.89 | 129,880,893.47 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2030 Fund O | 102,855,206.02 | 114,564,905.10 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2035 Fund O | 61,534,166.85 | 69,841,308.50 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2040 Fund O | 61,931,282.74 | 71,422,082.35 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2045 Fund O | 62,019,866.29 | 72,434,944.68 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2050 Fund O | 57,142,163.00 | 67,066,751.01 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2055 Fund O | 36,724,974.84 | 43,068,897.43 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2060 Fund O | 9,899,709.60 | 11,490,380.88 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2065 Fund O | 528,268.30 | 596,408.43 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock Equity Index Fund F | 325,498,007.15 | 375,856,472.98 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock Russell 2500 Index Fund F | 127,977,658.34 | 164,922,160.87 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock MSCI ACWI ex-US IMI Index Fund F | 48,655,118.23 | 57,647,785.05 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock US Debt Index Fund F | 72,700,381.99 | 72,644,631.42 | ||||||||||
* | BlackRock Institutional Trust Company, N.A. | BlackRock TIPS Bond Index Fund M | 24,372,063.03 | 27,258,503.28 | ||||||||||
* | Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund F | 126,111,608.28 | 137,335,848.71 | ||||||||||
* | Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund L | 175,381,612.06 | 196,936,787.11 | ||||||||||
* | Wells Fargo Bank, N.A. | Wells Fargo/BlackRock Short Term Investment Fund | 26,350,190.71 | 26,350,190.71 | ||||||||||
* | Robeco Trust Company | Boston Partners Large Cap Value Equity Fund E | 81,611,422.73 | 116,706,721.91 | ||||||||||
* | Hand Benefits and Trust Company | Snyder Capital Small/Mid Cap Value Fund R1 | 47,018,375.81 | 64,514,616.56 | ||||||||||
* | Wellington Management Company LLP | Wellington CIF II Core Plus Bond Portfolio | 72,262,949.22 | 76,521,158.50 | ||||||||||
|
|
|
| |||||||||||
Total Collective Investment Trusts | 1,743,118,940.90 | 2,008,604,209.50 | ||||||||||||
|
|
|
| |||||||||||
Common Stocks | ||||||||||||||
* | Ameren Corporation | 4,248,582 Shares | 200,273,215.25 | 331,644,310.92 | ||||||||||
SPOTIFY TECH SA | 3,884 Shares | 1,042,597.91 | 1,222,139.44 | |||||||||||
TENCENT HLDGS LTD | 15,197 Shares | 793,017.61 | 1,105,599.91 | |||||||||||
SHOPIFY INC CL A | 1,974 Shares | 1,057,091.52 | 2,234,469.30 | |||||||||||
ATLASSIAN CORP PLC CLS A | 3,769 Shares | 727,043.85 | 881,456.03 | |||||||||||
ADYEN BV | 1,122 Shares | 1,022,118.78 | 2,611,166.91 | |||||||||||
ADOBE INC | 5,923 Shares | 613,400.20 | 2,962,210.76 | |||||||||||
AIRBNB INC CLASS A | 540 Shares | 41,181.23 | 79,272.00 | |||||||||||
ALPHABET INC CL C | 1,878 Shares | 1,337,357.72 | 3,290,030.64 | |||||||||||
ALPHABET INC CL A | 1,307 Shares | 749,516.81 | 2,290,700.48 | |||||||||||
AMAZON.COM INC | 2,359 Shares | 2,734,847.45 | 7,683,097.87 | |||||||||||
AMERICAN TOWER CORP | 4,723 Shares | 980,246.98 | 1,060,124.58 | |||||||||||
APPLE INC | 39,719 Shares | 1,361,967.19 | 5,270,314.11 | |||||||||||
ASTRAZENECA PLC SPONS ADR | 30,430 Shares | 1,199,140.81 | 1,521,195.70 | |||||||||||
CHIPOTLE MEXICAN GRILL IN | 839 Shares | 625,692.86 | 1,163,449.69 | |||||||||||
COSTCO WHOLESALE CORP | 5,021 Shares | 809,032.66 | 1,891,812.38 | |||||||||||
COUPA SOFTWARE INC | 3,216 Shares | 585,240.14 | 1,089,934.56 | |||||||||||
DANAHER CORP | 6,314 Shares | 902,628.49 | 1,402,591.96 | |||||||||||
DEXCOM INC | 2,323 Shares | 436,893.16 | 858,859.56 | |||||||||||
EDWARDS LIFESCIENCES CORP | 15,298 Shares | 1,217,604.57 | 1,395,636.54 | |||||||||||
FACEBOOK INC CL A | 14,592 Shares | 1,699,491.21 | 3,985,950.72 | |||||||||||
GUARDANT HEALTH INC | 2,281 Shares | 187,695.42 | 293,975.28 | |||||||||||
HOME DEPOT INC | 6,818 Shares | 1,087,418.98 | 1,810,997.16 | |||||||||||
HUMANA INC | 2,388 Shares | 891,694.34 | 979,724.76 | |||||||||||
INTUITIVE SURGICAL INC | 1,618 Shares | 917,385.29 | 1,323,685.80 | |||||||||||
KERING UNSPONSORED ADR | 23,679 Shares | 1,223,293.90 | 1,715,543.55 | |||||||||||
ESTEE LAUDER COS INC CL A | 6,479 Shares | 831,938.04 | 1,724,645.01 | |||||||||||
LILLY (ELI) & CO | 7,456 Shares | 992,963.22 | 1,258,871.04 | |||||||||||
LULULEMON ATHLETICA INC | 6,242 Shares | 1,207,915.72 | 2,172,403.26 |
1
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
MASTERCARD INC CL A | 6,744 Shares | 535,326.15 | 2,407,203.36 | |||||||||||
MATCH GROUP INC | 11,852 Shares | 1,239,044.56 | 1,791,903.88 | |||||||||||
| MICROSOFT CORP | 23,247 Shares | 2,159,796.59 | 5,170,597.74 | ||||||||||
NETFLIX INC | 7,628 Shares | 1,391,755.01 | 4,124,688.44 | |||||||||||
NIKE INC CL B | 20,329 Shares | 1,226,213.66 | 2,875,943.63 | |||||||||||
NVIDIA CORP | 6,796 Shares | 1,109,203.82 | 3,548,871.20 | |||||||||||
PAYPAL HLDGS INC | 12,135 Shares | 1,394,360.67 | 2,842,017.00 | |||||||||||
RINGCENTRAL INC CL A | 3,180 Shares | 905,167.58 | 1,205,124.60 | |||||||||||
S&P GLOBAL INC | 3,563 Shares | 459,205.31 | 1,171,264.99 | |||||||||||
SALESFORCE.COM INC | 20,756 Shares | 2,099,805.19 | 4,618,832.68 | |||||||||||
SVCSNOW INC | 1,194 Shares | 300,600.27 | 657,213.42 | |||||||||||
SNOWFLAKE INC CL A | 2,287 Shares | 749,587.32 | 643,561.80 | |||||||||||
SPLUNK INC | 7,132 Shares | 469,279.93 | 1,211,655.48 | |||||||||||
SQUARE INC CL A | 7,136 Shares | 1,261,141.19 | 1,553,079.04 | |||||||||||
TJX COMPANIES INC NEW | 17,365 Shares | 1,141,535.88 | 1,185,855.85 | |||||||||||
TELADOC HEALTH INC | 8,146 Shares | 1,552,015.84 | 1,628,874.16 | |||||||||||
TESLA INC | 11,325 Shares | 1,369,166.65 | 7,991,712.75 | |||||||||||
TRADE DESK INC | 2,063 Shares | 720,679.74 | 1,652,463.00 | |||||||||||
TWILIO INC CLASS A | 6,342 Shares | 1,045,017.09 | 2,146,767.00 | |||||||||||
UBER TECH INC | 46,884 Shares | 1,761,080.54 | 2,391,084.00 | |||||||||||
UNION PACIFIC CORP | 4,506 Shares | 838,635.25 | 938,239.32 | |||||||||||
VERTEX PHARMACEUTICALS IN | 4,691 Shares | 735,349.27 | 1,108,670.94 | |||||||||||
VISA INC CL A | 13,473 Shares | 838,639.14 | 2,946,949.29 | |||||||||||
WORKDAY INC CL A | 7,343 Shares | 912,781.62 | 1,759,456.23 | |||||||||||
ADIENT PLC | 34,552 Shares | 1,556,590.56 | 1,201,373.04 | |||||||||||
AERCAP HLDGS NV | 54,093 Shares | 1,702,562.44 | 2,465,558.94 | |||||||||||
SUNCOR ENERGY INC | 152,089 Shares | 3,469,417.97 | 2,552,053.42 | |||||||||||
LIBERTY GLOBAL PLC CL C | 146,277 Shares | 3,142,748.94 | 3,459,451.05 | |||||||||||
AFFILIATED MANAGERS GRP I | 16,014 Shares | 2,056,262.84 | 1,628,623.80 | |||||||||||
AIR LEASE CORP CL A | 43,219 Shares | 1,421,972.85 | 1,919,787.98 | |||||||||||
ALLIANCE DATA SYS CORP | 20,861 Shares | 2,405,777.20 | 1,545,800.10 | |||||||||||
AMERIPRISE FIN INC | 20,866 Shares | 2,271,799.19 | 4,054,889.78 | |||||||||||
ARROW ELECTRONICS INC | 27,860 Shares | 1,949,421.21 | 2,710,778.00 | |||||||||||
ASSURANT INC | 19,387 Shares | 1,802,239.56 | 2,640,897.14 | |||||||||||
BERRY GLOBAL GROUP INC | 52,783 Shares | 1,826,523.41 | 2,965,876.77 | |||||||||||
BROADCOM INC | 9,916 Shares | 1,944,165.50 | 4,341,720.60 | |||||||||||
CELANESE CORP | 34,816 Shares | 2,720,283.17 | 4,523,991.04 | |||||||||||
CENTENE CORP | 65,329 Shares | 3,960,922.47 | 3,921,699.87 | |||||||||||
COMMSCOPE HLDG CO INC | 60,395 Shares | 1,379,063.39 | 809,293.00 | |||||||||||
CONCENTRIX CORP | 17,755 Shares | 993,603.93 | 1,752,418.50 | |||||||||||
CROWN HLDGS INC | 42,090 Shares | 2,319,800.15 | 4,217,418.00 | |||||||||||
FLEX LTD | 166,462 Shares | 2,269,258.90 | 2,992,986.76 | |||||||||||
DELL TECH INC CL C | 57,109 Shares | 2,237,393.92 | 4,185,518.61 | |||||||||||
EOG RESOURCES INC | 23,882 Shares | 1,641,417.04 | 1,190,995.34 | |||||||||||
GRACE W R & CO | 24,385 Shares | 1,126,619.85 | 1,336,785.70 | |||||||||||
HCA HEALTHCARE INC | 30,473 Shares | 2,792,213.51 | 5,011,589.58 | |||||||||||
HANESBRANDS INC | 136,367 Shares | 1,673,124.89 | 1,988,230.86 | |||||||||||
LINCOLN NATIONAL CORP | 67,798 Shares | 2,925,549.56 | 3,410,917.38 | |||||||||||
NRG ENERGY INC | 77,979 Shares | 2,773,416.10 | 2,928,111.45 | |||||||||||
O-I GLASS INC | 60,761 Shares | 684,538.12 | 723,055.90 | |||||||||||
QUANTA SVCS INC | 48,351 Shares | 1,693,149.24 | 3,482,239.02 | |||||||||||
QURATE RETAIL INC | 134,362 Shares | 1,753,412.38 | 1,473,951.14 | |||||||||||
SYNNEX CORP | 17,698 Shares | 992,405.84 | 1,441,325.12 | |||||||||||
UNITED RENTALS INC | 20,748 Shares | 2,687,483.08 | 4,811,668.68 | |||||||||||
UNIVAR INC | 67,797 Shares | 659,314.88 | 1,288,820.97 | |||||||||||
WESTERN DIGITAL CORP | 65,720 Shares | 3,246,419.67 | 3,640,230.80 | |||||||||||
WHIRLPOOL CORP | 20,738 Shares | 3,133,640.57 | 3,743,001.62 | |||||||||||
XPO LOGISTICS INC | 38,332 Shares | 2,297,882.77 | 4,569,174.40 | |||||||||||
ESSENT GROUP LTD | 17,452 Shares | 652,615.64 | 753,926.40 | |||||||||||
NOMAD FOODS LTD | 14,191 Shares | 301,350.10 | 360,735.22 | |||||||||||
INTL GAME TECH PLC | 16,238 Shares | 107,133.47 | 275,071.72 | |||||||||||
NATIONAL ENERGY SVCS REUN | 13,870 Shares | 128,713.34 | 137,729.10 | |||||||||||
ASSURED GUARANTY LTD | 14,840 Shares | 453,562.97 | 467,311.60 | |||||||||||
JAZZ PHARMA PLC | 2,388 Shares | 355,597.72 | 394,139.40 | |||||||||||
CENOVUS ENERGY INC | 35,908 Shares | 222,953.86 | 216,884.32 |
2
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
ICON PLC | 2,501 Shares | 359,916.70 | 487,644.98 | |||||||||||
ACCO BRANDS CORP | 33,362 Shares | 389,756.12 | 281,908.90 | |||||||||||
| ABM INDU INC | 13,245 Shares | 429,231.60 | 501,190.80 | ||||||||||
AGNC INVESTMENT CORP | 20,908 Shares | 357,428.79 | 326,164.80 | |||||||||||
AES CORP | 19,973 Shares | 280,076.29 | 469,365.50 | |||||||||||
ASGN INC | 10,547 Shares | 762,056.74 | 880,990.91 | |||||||||||
AECOM | 5,790 Shares | 197,013.83 | 288,226.20 | |||||||||||
AEGION CORP | 12,571 Shares | 244,179.79 | 238,723.29 | |||||||||||
ALLEGHANY CORP DEL | 790 Shares | 478,154.41 | 476,915.10 | |||||||||||
AMERICOLD REALTY TR | 5,185 Shares | 189,967.10 | 193,556.05 | |||||||||||
ARES COMMERCIAL REAL ESTA | 10,535 Shares | 138,734.09 | 125,471.85 | |||||||||||
ARROW ELECTRONICS INC | 4,561 Shares | 330,745.80 | 443,785.30 | |||||||||||
ASSURANT INC | 2,578 Shares | 276,432.40 | 351,175.16 | |||||||||||
AVANTOR INC | 21,251 Shares | 316,677.62 | 598,215.65 | |||||||||||
BMC STK HLDGS INC | 6,922 Shares | 161,411.43 | 371,572.96 | |||||||||||
BWX TECH INC | 6,587 Shares | 375,030.73 | 397,064.36 | |||||||||||
BANKUNITED INC | 10,308 Shares | 360,030.20 | 358,512.24 | |||||||||||
BELDEN INC | 10,989 Shares | 610,864.63 | 460,439.10 | |||||||||||
BLACKSTONE MORTGAGE TR CL | 8,244 Shares | 256,511.64 | 226,957.32 | |||||||||||
BOOZ ALLEN HAMILTON HLDG | 2,808 Shares | 156,893.44 | 244,801.44 | |||||||||||
CDK GLOBAL INC | 6,608 Shares | 351,440.34 | 342,492.64 | |||||||||||
CALLAWAY GOLF CO | 1,631 Shares | 32,088.83 | 39,160.31 | |||||||||||
CENTERPOINT ENERGY INC | 11,137 Shares | 225,270.17 | 241,004.68 | |||||||||||
CHAMPIONX CORP | 42,167 Shares | 511,220.89 | 645,155.10 | |||||||||||
CHANGE HEALTHCARE INC | 48,861 Shares | 594,831.84 | 911,257.65 | |||||||||||
COHERENT INC | 1,958 Shares | 300,391.81 | 293,739.16 | |||||||||||
COLUMBIA BANKING SYS INC | 4,540 Shares | 165,466.15 | 162,986.00 | |||||||||||
COMMSCOPE HLDG CO INC | 20,178 Shares | 352,705.71 | 270,385.20 | |||||||||||
CONCENTRIX CORP | 7,422 Shares | 363,033.59 | 732,551.40 | |||||||||||
FRESH DEL MONTE PRODUCE I | 18,379 Shares | 507,507.49 | 442,382.53 | |||||||||||
COUSINS PROPERTIES INC | 19,221 Shares | 591,279.21 | 643,903.50 | |||||||||||
COVANTA HLDGS CORP | 13,762 Shares | 120,268.60 | 180,695.06 | |||||||||||
AMDOCS LTD | 3,736 Shares | 245,264.34 | 264,994.48 | |||||||||||
CURTISS WRIGHT CORPORATIO | 3,975 Shares | 421,618.97 | 462,491.25 | |||||||||||
DXC TECH CO | 7,352 Shares | 98,447.75 | 189,314.00 | |||||||||||
WHITE MOUNTAINS INS GROUP | 441 Shares | 421,095.99 | 441,291.06 | |||||||||||
FLEX LTD | 18,448 Shares | 212,700.48 | 331,695.04 | |||||||||||
DIAMONDBACK ENERGY INC | 12,423 Shares | 681,208.27 | 601,273.20 | |||||||||||
EVEREST REINSURANCE GROUP | 1,711 Shares | 392,087.63 | 400,527.99 | |||||||||||
AXIS CAPITAL HLDGS LTD | 5,444 Shares | 297,170.54 | 274,323.16 | |||||||||||
RENAISSANCERE HLDGS LTD | 1,658 Shares | 286,279.18 | 274,929.56 | |||||||||||
EAST WEST BANCORP INC | 6,175 Shares | 335,133.33 | 313,134.25 | |||||||||||
EMCOR GROUP INC | 2,238 Shares | 150,968.10 | 204,687.48 | |||||||||||
ENERGIZER HLDGS INC | 15,199 Shares | 752,610.45 | 641,093.82 | |||||||||||
ENERSYS INC | 8,575 Shares | 587,934.02 | 712,239.50 | |||||||||||
ENVISTA HLDGS CORP | 24,327 Shares | 558,658.77 | 820,549.71 | |||||||||||
EVERCORE INC A | 6,514 Shares | 474,911.64 | 714,194.96 | |||||||||||
EVERTEC INC | 9,977 Shares | 290,540.37 | 392,295.64 | |||||||||||
EXTENDED STAY AMERICA INC | 13,416 Shares | 184,375.17 | 198,690.96 | |||||||||||
FMC CORP NEW | 2,894 Shares | 232,967.25 | 332,607.42 | |||||||||||
FTI CONSULTING INC | 5,488 Shares | 470,659.07 | 613,119.36 | |||||||||||
FEDERAL AGRI MTG NON VTG | 2,138 Shares | 151,596.28 | 158,746.50 | |||||||||||
FIFTH THIRD BANCORP | 7,053 Shares | 118,248.56 | 194,451.21 | |||||||||||
FIRST AMERICAN FIN CORP | 6,424 Shares | 301,462.53 | 331,671.12 | |||||||||||
FIRST CITIZENS BANCSHARES | 438 Shares | 179,584.93 | 251,530.26 | |||||||||||
FIRST HAWAIIAN INC | 17,699 Shares | 425,884.40 | 417,342.42 | |||||||||||
FIRST HORIZON CORP | 17,828 Shares | 165,233.09 | 227,485.28 | |||||||||||
FIRST MERCHANTS CORP | 7,108 Shares | 295,455.01 | 265,910.28 | |||||||||||
FIRSTCASH INC | 10,366 Shares | 824,142.07 | 726,034.64 | |||||||||||
FOOT LOCKER INC | 12,848 Shares | 424,648.14 | 519,573.12 | |||||||||||
FRONTDOOR INC | 11,874 Shares | 458,746.75 | 596,193.54 | |||||||||||
GENTEX CORP | 15,234 Shares | 351,416.31 | 516,889.62 | |||||||||||
GLOBE LIFE INC | 2,818 Shares | 209,518.58 | 267,597.28 | |||||||||||
GRAFTECH INTL LTD | 27,975 Shares | 261,029.27 | 298,213.50 | |||||||||||
GRAPHIC PACKAGING HLDGS C | 57,857 Shares | 799,782.78 | 980,097.58 |
3
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
HALLIBURTON CO | 20,519 Shares | 204,664.06 | 387,809.10 | |||||||||||
HANESBRANDS INC | 14,408 Shares | 127,067.52 | 210,068.64 | |||||||||||
| HANOVER INSURANCE GROUP I | 1,560 Shares | 185,545.24 | 182,395.20 | ||||||||||
HARLEY-DAVIDSON INC | 14,995 Shares | 411,638.70 | 550,316.50 | |||||||||||
HARSCO CORP | 18,756 Shares | 253,921.57 | 337,232.88 | |||||||||||
HELMERICH & PAYNE INC | 16,648 Shares | 370,424.33 | 385,567.68 | |||||||||||
HILLENBRAND INC | 6,835 Shares | 159,677.51 | 272,033.00 | |||||||||||
HOWMET AEROSPACE INC | 12,708 Shares | 201,049.52 | 362,686.32 | |||||||||||
HUNTINGTON BANCSHARES INC | 71,139 Shares | 767,365.65 | 898,485.57 | |||||||||||
HUNTSMAN CORP | 8,543 Shares | 161,050.42 | 214,771.02 | |||||||||||
INGEVITY CORP | 5,753 Shares | 238,460.64 | 435,674.69 | |||||||||||
INSIGHT ENTERPRISES INC | 7,824 Shares | 404,926.62 | 595,328.16 | |||||||||||
INTERDIGITAL INC | 7,518 Shares | 445,975.35 | 456,192.24 | |||||||||||
JONES LANG LASALLE INC | 1,630 Shares | 162,670.49 | 241,843.10 | |||||||||||
KAR AUCTION SVCS INC | 26,815 Shares | 546,575.33 | 499,027.15 | |||||||||||
KEYCORP | 15,022 Shares | 236,610.18 | 246,511.02 | |||||||||||
KORN FERRY | 4,666 Shares | 142,899.86 | 202,971.00 | |||||||||||
LCI INDU | 4,143 Shares | 375,058.66 | 537,264.24 | |||||||||||
LPL FINL HLDGS INC | 5,405 Shares | 365,759.76 | 563,309.10 | |||||||||||
LANDSTAR SYS INC | 1,180 Shares | 132,787.30 | 158,898.80 | |||||||||||
LITHIA MOTORS INC CL A | 3,560 Shares | 397,056.87 | 1,041,905.20 | |||||||||||
STEVEN MADDEN LTD | 15,606 Shares | 496,667.04 | 551,203.92 | |||||||||||
MASTEC INC | 3,952 Shares | 128,929.99 | 269,447.36 | |||||||||||
MAXIMUS INC | 1,572 Shares | 104,765.44 | 115,054.68 | |||||||||||
MINERALS TECH INC | 2,789 Shares | 185,075.56 | 173,252.68 | |||||||||||
MOLINA HEALTHCARE INC | 3,109 Shares | 428,876.06 | 661,222.12 | |||||||||||
MOSAIC CO NEW | 20,555 Shares | 411,905.63 | 472,970.55 | |||||||||||
MR COOPER GROUP INC | 16,026 Shares | 143,596.73 | 497,286.78 | |||||||||||
NCR CORP | 16,631 Shares | 412,315.88 | 624,826.67 | |||||||||||
NMI HLDGS INC | 10,717 Shares | 213,427.98 | 242,740.05 | |||||||||||
NATIONAL GEN HLDGS CORP | 13,333 Shares | 334,122.65 | 455,721.94 | |||||||||||
NAVIENT CORP | 61,651 Shares | 641,778.95 | 605,412.82 | |||||||||||
NEXSTAR MEDIA GROUP INC A | 4,212 Shares | 427,845.79 | 459,908.28 | |||||||||||
ON SEMICONDUCTOR CORP | 21,454 Shares | 449,791.95 | 702,189.42 | |||||||||||
OWENS CORNING INC | 3,951 Shares | 243,170.77 | 299,327.76 | |||||||||||
PRA GROUP INC | 7,555 Shares | 299,724.31 | 299,631.30 | |||||||||||
PPD INC | 10,009 Shares | 274,464.22 | 342,507.98 | |||||||||||
PENNYMAC FIN SVCS INC | 3,037 Shares | 148,494.35 | 199,287.94 | |||||||||||
PQ GROUP HLDGS INC | 22,055 Shares | 357,898.24 | 314,504.30 | |||||||||||
PROASSURANCE CORPORATION | 15,329 Shares | 280,401.47 | 272,702.91 | |||||||||||
QORVO INC | 3,835 Shares | 322,915.79 | 637,645.45 | |||||||||||
R1 RCM INC | 16,709 Shares | 168,819.26 | 401,350.18 | |||||||||||
RACKSPACE TECH INC | 17,732 Shares | 349,263.40 | 337,971.92 | |||||||||||
REGIONS FIN CORP | 19,295 Shares | 280,911.31 | 311,035.40 | |||||||||||
REINSURANCE GROUP OF AMER | 3,013 Shares | 370,330.86 | 349,206.70 | |||||||||||
SL GREEN REALTY CORP REIT | 2,078 Shares | 172,405.06 | 123,807.24 | |||||||||||
SLM CORP | 101,837 Shares | 1,048,953.25 | 1,261,760.43 | |||||||||||
SALLY BEAUTY HLDGS INC | 15,850 Shares | 204,172.37 | 206,684.00 | |||||||||||
SCHWEITZER-MAUDUIT INTL I | 14,602 Shares | 558,220.68 | 587,146.42 | |||||||||||
SCIENCE APPLICATIONS INTL | 9,028 Shares | 704,301.07 | 854,409.92 | |||||||||||
SKECHERS USA INC CL A | 14,241 Shares | 422,096.36 | 511,821.54 | |||||||||||
SOTERA HEALTH CO | 9,461 Shares | 222,384.30 | 259,609.84 | |||||||||||
SOUTH STATE CORP | 3,273 Shares | 277,776.36 | 236,637.90 | |||||||||||
SPECTRUM BRANDS HLDGS INC | 4,538 Shares | 216,313.73 | 358,411.24 | |||||||||||
SPIRIT RLTY CAP INC | 5,713 Shares | 218,628.07 | 229,491.21 | |||||||||||
STANDARD MOTOR PRODUCTS I | 3,306 Shares | 156,987.68 | 133,760.76 | |||||||||||
STARWOOD PROPERTY TR INC | 19,373 Shares | 400,151.10 | 373,898.90 | |||||||||||
STEEL DYNAMICS INC | 6,895 Shares | 243,582.06 | 254,218.65 | |||||||||||
STRIDE INC | 8,814 Shares | 199,444.06 | 187,121.22 | |||||||||||
SYKES ENTERPRISES INC | 5,804 Shares | 174,890.70 | 218,636.68 | |||||||||||
SYNOVUS FINANICAL CORP. | 11,600 Shares | 440,965.42 | 375,492.00 | |||||||||||
SYNNEX CORP | 7,420 Shares | 366,796.06 | 604,284.80 | |||||||||||
SYNEOS HEALTH INC | 11,590 Shares | 578,988.94 | 789,626.70 | |||||||||||
TEMPUR SEALY INTL INC | 10,358 Shares | 128,011.91 | 279,666.00 | |||||||||||
TEREX CORP | 8,068 Shares | 143,263.91 | 281,492.52 |
4
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
TEXTRON INC | 6,432 Shares | 268,579.05 | 310,858.56 | |||||||||||
TOLL BROTHERS INC | 4,394 Shares | 161,340.67 | 191,007.18 | |||||||||||
| TTEC HLDGS INC | 6,652 Shares | 251,406.90 | 485,130.36 | ||||||||||
ULTRA CLEAN HLDGS INC | 11,831 Shares | 226,621.34 | 368,535.65 | |||||||||||
UMPQUA HLDGS CORP | 17,237 Shares | 285,457.83 | 260,968.18 | |||||||||||
UNISYS CORP NEW | 16,737 Shares | 199,863.04 | 329,384.16 | |||||||||||
UNIVERSAL CORP | 8,433 Shares | 457,499.08 | 409,928.13 | |||||||||||
VALVOLINE INC | 35,059 Shares | 717,541.20 | 811,265.26 | |||||||||||
VISTRA CORP | 21,693 Shares | 474,465.64 | 426,484.38 | |||||||||||
WALKER & DUNLOP INC | 9,291 Shares | 528,966.83 | 854,957.82 | |||||||||||
WESCO INTL INC | 15,099 Shares | 679,789.75 | 1,185,271.50 | |||||||||||
WESTERN DIGITAL CORP | 4,116 Shares | 187,756.59 | 227,985.24 | |||||||||||
WESTROCK CO | 5,709 Shares | 214,195.70 | 248,512.77 | |||||||||||
WORLD FUEL SVCS CORP | 21,958 Shares | 527,391.27 | 684,211.28 | |||||||||||
WYNDHAM DESTINATIONS INC | 5,177 Shares | 156,781.56 | 232,240.22 | |||||||||||
YELP INC | 11,555 Shares | 360,388.88 | 377,501.85 | |||||||||||
STERIS PLC | 5,349 Shares | 663,778.41 | 1,013,849.46 | |||||||||||
FIRSTSVCS CORP | 5,915 Shares | 225,493.01 | 808,935.40 | |||||||||||
HORIZON THERAPEUTICS PLC | 23,523 Shares | 456,301.64 | 1,720,707.45 | |||||||||||
ABIOMED INC | 2,129 Shares | 525,077.20 | 690,221.80 | |||||||||||
ACADIA HEALTHCARE CO INC | 11,594 Shares | 557,046.19 | 582,714.44 | |||||||||||
ADVANCE AUTO PARTS INC | 5,553 Shares | 791,676.38 | 874,653.03 | |||||||||||
ALARM.COM HLDGS INC | 12,410 Shares | 798,597.09 | 1,283,814.50 | |||||||||||
AMEDISYS INC | 3,950 Shares | 490,732.13 | 1,158,653.50 | |||||||||||
ARES MANAGEMENT CORP CL A | 16,851 Shares | 578,406.01 | 792,839.55 | |||||||||||
ASPEN TECH | 7,634 Shares | 752,614.69 | 994,328.50 | |||||||||||
AVALARA INC | 6,773 Shares | 452,308.73 | 1,116,799.97 | |||||||||||
AXON ENTERPRISE INC | 9,020 Shares | 797,248.03 | 1,105,220.60 | |||||||||||
BJS WHSL CLUB HLDGS INC | 29,193 Shares | 782,728.19 | 1,088,315.04 | |||||||||||
BWX TECH INC | 30,376 Shares | 1,413,600.61 | 1,831,065.28 | |||||||||||
BIO TECHNE CORP | 3,658 Shares | 1,007,620.69 | 1,161,597.90 | |||||||||||
BLUEPRINT MEDICINES CORP | 4,590 Shares | 539,471.87 | 514,768.50 | |||||||||||
BOOZ ALLEN HAMILTON HLDG | 6,203 Shares | 219,112.28 | 540,777.54 | |||||||||||
BRIGHT HORIZONS FAMILY SO | 5,872 Shares | 690,390.00 | 1,015,797.28 | |||||||||||
BRINKS CO | 21,270 Shares | 1,437,919.09 | 1,531,440.00 | |||||||||||
BROOKS AUTOMATION INC | 16,400 Shares | 588,592.76 | 1,112,740.00 | |||||||||||
BUILDERS FIRSTSOURCE | 23,588 Shares | 786,903.09 | 962,626.28 | |||||||||||
BURLINGTON STORES INC | 2,520 Shares | 411,853.67 | 659,106.00 | |||||||||||
CABLE ONE INC | 525 Shares | 427,859.23 | 1,169,553.00 | |||||||||||
CAMECO CORP | 59,878 Shares | 453,478.57 | 802,365.20 | |||||||||||
RITCHIE BROS AUCTIONEERS | 18,582 Shares | 656,513.39 | 1,292,378.10 | |||||||||||
CREE INC | 8,025 Shares | 476,578.02 | 849,847.50 | |||||||||||
CROWN HLDGS INC | 15,270 Shares | 951,085.70 | 1,530,054.00 | |||||||||||
HELEN OF TROY LTD | 4,780 Shares | 954,389.53 | 1,062,068.20 | |||||||||||
ENCOMPASS HEALTH CORP | 19,893 Shares | 1,072,018.63 | 1,644,952.17 | |||||||||||
ENTEGRIS INC | 7,576 Shares | 389,039.14 | 728,053.60 | |||||||||||
ETSY INC | 10,325 Shares | 503,114.32 | 1,836,920.75 | |||||||||||
EURONET WORLDWIDE INC | 8,150 Shares | 768,608.48 | 1,181,098.00 | |||||||||||
FIRSTCASH INC | 8,799 Shares | 521,743.61 | 616,281.96 | |||||||||||
GENERAC HLDGS INC | 4,097 Shares | 452,055.26 | 931,698.77 | |||||||||||
GODADDY INC CL A | 11,526 Shares | 823,570.68 | 956,081.70 | |||||||||||
GRAND CANYON EDUCATION IN | 18,041 Shares | 1,534,226.90 | 1,679,797.51 | |||||||||||
GUIDEWIRE SOFTWARE INC | 4,759 Shares | 553,284.56 | 612,626.07 | |||||||||||
HALOZYME THERAPEUTICS INC | 28,897 Shares | 477,004.21 | 1,234,190.87 | |||||||||||
HEALTHEQ INC | 16,698 Shares | 846,811.47 | 1,164,017.58 | |||||||||||
HEICO CORP CL A | 4,976 Shares | 214,180.31 | 582,490.56 | |||||||||||
INSMED INC | 15,175 Shares | 521,942.67 | 505,175.75 | |||||||||||
INSPIRE MEDICAL SYS INC | 2,780 Shares | 549,821.01 | 522,890.20 | |||||||||||
INSULET CORP | 4,312 Shares | 451,628.57 | 1,102,276.56 | |||||||||||
iShares Trust: iShares Ru | 1,790 Shares | 162,024.47 | 183,743.50 | |||||||||||
iShares Russell 2000 Grow | 3,210 Shares | 771,690.05 | 920,307.00 | |||||||||||
J2 GLOBAL INC | 7,984 Shares | 575,907.40 | 779,956.96 | |||||||||||
LIGAND PHARMACEUTICALS | 8,198 Shares | 813,483.54 | 815,291.10 | |||||||||||
LINCOLN ELECTRIC HLDGS IN | 4,863 Shares | 331,804.23 | 565,323.75 | |||||||||||
LIVE NATION ENTERTAINMENT | 10,920 Shares | 459,430.32 | 802,401.60 |
5
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
LIVERAMP HLDGS INC | 13,016 Shares | 740,318.17 | 952,641.04 | |||||||||||
| MARTIN MARIETTA MATERIALS | 5,890 Shares | 1,182,017.38 | 1,672,583.30 | ||||||||||
MASIMO CORP | 2,310 Shares | 405,468.94 | 619,957.80 | |||||||||||
MAXIMUS INC | 5,590 Shares | 375,550.16 | 409,132.10 | |||||||||||
MERCURY SYS INC | 15,777 Shares | 1,234,890.86 | 1,389,322.62 | |||||||||||
MERIT MEDICAL SYS INC | 12,630 Shares | 633,365.56 | 701,091.30 | |||||||||||
MONGODB INC CL A | 2,580 Shares | 410,945.55 | 926,323.20 | |||||||||||
NATIONAL INSTRUMENT CORP | 17,800 Shares | 730,646.71 | 782,132.00 | |||||||||||
NATIONAL VISION HLDGS INC | 16,292 Shares | 421,068.53 | 737,864.68 | |||||||||||
NEW FORTRESS ENERGY INC | 11,567 Shares | 587,734.70 | 619,875.53 | |||||||||||
NICE LTD SPON ADR | 5,813 Shares | 657,588.03 | 1,648,218.02 | |||||||||||
NOVANTA INC | 4,680 Shares | 290,185.42 | 553,269.60 | |||||||||||
PENUMBRA INC | 6,101 Shares | 903,784.87 | 1,067,675.00 | |||||||||||
PROOFPOINT INC | 4,930 Shares | 617,382.87 | 672,501.30 | |||||||||||
PURE STORAGE INC CL A | 62,655 Shares | 1,219,697.21 | 1,416,629.55 | |||||||||||
SOLAREDGE TECH INC | 3,933 Shares | 430,677.67 | 1,255,098.96 | |||||||||||
STAR PEAK ENERGY TRANSITI | 20,185 Shares | 369,367.20 | 412,985.10 | |||||||||||
TELEDYNE TECH INC | 2,156 Shares | 448,880.83 | 845,108.88 | |||||||||||
TELEFLEX INC | 2,290 Shares | 616,355.40 | 942,495.30 | |||||||||||
10X GENOMICS INC | 6,344 Shares | 990,537.91 | 898,310.40 | |||||||||||
TERMINIX GLOBAL HLDGS INC | 13,660 Shares | 618,121.63 | 696,796.60 | |||||||||||
TREX CO INC | 15,464 Shares | 567,914.81 | 1,294,646.08 | |||||||||||
TWIST BIOSCIENCE CORP | 3,033 Shares | 336,168.60 | 428,532.57 | |||||||||||
ULTA BEAUTY INC | 1,760 Shares | 356,683.48 | 505,401.60 | |||||||||||
VARONIS SYS INC | 5,650 Shares | 446,890.45 | 924,396.50 | |||||||||||
VERACYTE INC | 23,336 Shares | 630,253.84 | 1,142,063.84 | |||||||||||
VIRTU FIN INC- CL A | 29,245 Shares | 596,965.85 | 736,096.65 | |||||||||||
WESTERN ALLIANCE BANCORP | 9,390 Shares | 554,816.68 | 562,930.50 | |||||||||||
ZENDESK INC | 5,270 Shares | 649,745.00 | 754,242.40 | |||||||||||
ZYNGA INC | 97,380 Shares | 622,167.29 | 961,140.60 | |||||||||||
CRISPR THERAPEUTICS AG | 2,270 Shares | 140,937.88 | 347,559.70 | |||||||||||
HORIZON THERAPEUTICS PLC | 19,024 Shares | 595,316.49 | 1,391,605.60 | |||||||||||
TRILLIUM THERAPEUTICS INC | 17,588 Shares | 254,474.31 | 258,719.48 | |||||||||||
BIOHAVEN PHARMACEUTICAL H | 11,322 Shares | 740,185.79 | 970,408.62 | |||||||||||
AMBARELLA INC | 10,104 Shares | 659,588.57 | 927,749.28 | |||||||||||
NORWEGIAN CRUISE LINE HLD | 29,696 Shares | 686,685.21 | 755,169.28 | |||||||||||
ASGN INC | 7,811 Shares | 647,072.72 | 652,452.83 | |||||||||||
ALLEGIANT TRAVEL CO | 3,575 Shares | 494,036.49 | 676,533.00 | |||||||||||
ALLY FIN INC | 20,780 Shares | 478,613.07 | 741,014.80 | |||||||||||
ALPHATEC HLDGS INC | 33,189 Shares | 354,875.93 | 481,904.28 | |||||||||||
ALTRA INDU MOTION CORP | 11,962 Shares | 487,113.17 | 663,053.66 | |||||||||||
AMEDISYS INC | 944 Shares | 135,183.23 | 276,903.52 | |||||||||||
ANAPLAN INC | 14,692 Shares | 937,809.25 | 1,055,620.20 | |||||||||||
ARROWHEAD PHARMACEUTICALS | 5,560 Shares | 266,909.87 | 426,618.80 | |||||||||||
AVALARA INC | 1,723 Shares | 295,832.38 | 284,105.47 | |||||||||||
AXONICS MODULATION TECH I | 12,208 Shares | 582,046.26 | 609,423.36 | |||||||||||
BLUEPRINT MEDICINES CORP | 2,092 Shares | 206,878.61 | 234,617.80 | |||||||||||
BOSTON BEER COMPANY CL A | 238 Shares | 98,937.82 | 236,641.02 | |||||||||||
CAESARS ENTERTAINMENT INC | 11,723 Shares | 606,429.49 | 870,667.21 | |||||||||||
CARDLYTICS INC | 3,156 Shares | 320,381.73 | 450,582.12 | |||||||||||
CHART INDU INC | 6,384 Shares | 566,608.11 | 751,971.36 | |||||||||||
CHEESECAKE FACTORY INC | 9,401 Shares | 355,163.58 | 348,401.06 | |||||||||||
CREE INC | 6,698 Shares | 406,392.51 | 709,318.20 | |||||||||||
DECKERS OUTDOOR CORP | 3,115 Shares | 681,312.73 | 893,319.70 | |||||||||||
DENALI THERAPEUTICS INC | 3,399 Shares | 217,291.27 | 284,700.24 | |||||||||||
ELF BEAUTY INC | 36,938 Shares | 722,055.08 | 930,468.22 | |||||||||||
ENPHASE ENERGY INC | 3,822 Shares | 225,538.62 | 670,646.34 | |||||||||||
EXACT SCIENCES CORP | 4,795 Shares | 640,771.97 | 635,289.55 | |||||||||||
FATE THERAPEUTICS INC | 7,732 Shares | 249,355.91 | 703,070.76 | |||||||||||
FIRST SOLAR INC | 4,635 Shares | 332,299.72 | 458,494.20 | |||||||||||
FIVE BELOW INC | 2,604 Shares | 348,486.77 | 455,647.92 | |||||||||||
FIVE9 INC | 2,817 Shares | 126,234.59 | 491,284.80 | |||||||||||
FLOOR & DECOR HLDGS INC | 12,432 Shares | 646,511.60 | 1,154,311.20 | |||||||||||
HAIN CELESTIAL GROUP INC | 25,044 Shares | 935,321.69 | 1,005,516.60 | |||||||||||
INPHI CORP | 2,423 Shares | 194,661.19 | 388,818.81 |
6
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2020
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 | ||||||||||
INSPIRE MEDICAL SYS INC | 5,484 Shares | 325,318.29 | 1,031,485.56 | |||||||||||
INSULET CORP | 4,151 Shares | 660,114.18 | 1,061,120.13 | |||||||||||
| LHC GROUP INC | 1,057 Shares | 141,695.25 | 225,479.24 | ||||||||||
LEMONADE INC | 3,049 Shares | 223,814.28 | 373,502.50 | |||||||||||
LITTELFUSE INC | 4,338 Shares | 745,725.54 | 1,104,715.08 | |||||||||||
MACOM TECH SOLUTIONS HLDG | 17,198 Shares | 576,993.59 | 946,577.92 | |||||||||||
MASONITE WORLDWIDE HLDGS | 3,258 Shares | 170,750.22 | 320,391.72 | |||||||||||
MAXLINEAR INC | 11,770 Shares | 297,730.23 | 449,496.30 | |||||||||||
Mirati Therapeutics Inc | 1,370 Shares | 133,255.75 | 300,906.80 | |||||||||||
MONGODB INC CL A | 2,147 Shares | 571,505.99 | 770,858.88 | |||||||||||
NANOSTRING TECH INC | 3,421 Shares | 103,075.52 | 228,796.48 | |||||||||||
NATERA INC | 11,588 Shares | 409,922.13 | 1,153,237.76 | |||||||||||
NATIONAL VISION HLDGS INC | 13,907 Shares | 399,702.21 | 629,848.03 | |||||||||||
NUANCE COMM INC | 35,651 Shares | 710,877.33 | 1,571,852.59 | |||||||||||
ONEMAIN HLDGS INC | 17,224 Shares | 545,960.25 | 829,507.84 | |||||||||||
PENN NATIONAL GAMING | 5,418 Shares | 384,716.99 | 467,952.66 | |||||||||||
PERFORMANCE FOOD GROUP CO | 10,946 Shares | 406,733.88 | 521,139.06 | |||||||||||
PINNACLE FINL PARTNERS IN | 8,252 Shares | 446,119.22 | 531,428.80 | |||||||||||
PLUG POWER INC | 16,704 Shares | 188,347.38 | 566,432.64 | |||||||||||
Q2 HLDGS INC | 5,136 Shares | 314,745.55 | 649,858.08 | |||||||||||
REPLIGEN | 2,357 Shares | 351,652.34 | 451,671.91 | |||||||||||
RINGCENTRAL INC CL A | 2,182 Shares | 546,131.94 | 826,912.54 | |||||||||||
SVB FINL GROUP | 4,892 Shares | 1,146,015.03 | 1,897,264.36 | |||||||||||
SERES THERAPEUTICS INC | 6,324 Shares | 202,904.91 | 154,938.00 | |||||||||||
SHAKE SHACK INC - CLASS A | 8,207 Shares | 597,803.09 | 695,789.46 | |||||||||||
SI-BONE INC | 8,793 Shares | 258,955.61 | 262,910.70 | |||||||||||
SITEONE LANDSCAPE SUPPLY | 1,429 Shares | 169,984.10 | 226,682.27 | |||||||||||
SONOS INC | 16,163 Shares | 343,367.87 | 378,052.57 | |||||||||||
SUNNOVA ENERGY INTL INC | 6,024 Shares | 224,594.83 | 271,863.12 | |||||||||||
TANDEM DIABETES CARE INC | 6,643 Shares | 305,575.41 | 635,602.24 | |||||||||||
TAPESTRY INC | 11,110 Shares | 315,307.38 | 345,298.80 | |||||||||||
TERADYNE INC | 4,769 Shares | 316,587.55 | 571,755.41 | |||||||||||
TIMKEN CO | 7,593 Shares | 423,817.88 | 587,394.48 | |||||||||||
TRADEWEB MARKETS INC A | 7,319 Shares | 409,553.58 | 457,071.55 | |||||||||||
TREX CO INC | 8,484 Shares | 398,601.08 | 710,280.48 | |||||||||||
ULTA BEAUTY INC | 2,457 Shares | 679,491.30 | 705,552.12 | |||||||||||
ULTRAGENYX PHARMA INC | 2,368 Shares | 211,045.71 | 327,802.24 | |||||||||||
VISTEON CORP | 8,861 Shares | 491,479.36 | 1,112,232.72 | |||||||||||
YETI HLDGS INC | 5,518 Shares | 170,486.55 | 377,817.46 | |||||||||||
ZENDESK INC | 10,844 Shares | 964,957.03 | 1,551,993.28 | |||||||||||
ZILLOW GROUP INC | 3,727 Shares | 308,414.05 | 506,648.38 | |||||||||||
| ZSCALER INC | 1,886 Shares | 266,676.95 | 376,653.06 | ||||||||||
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Total Common Stocks | 459,513,175.98 | 727,026,397.61 | ||||||||||||
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Notes Receivable | ||||||||||||||
* / ** | Participants | Participant Loans | 32,095,061.49 | 32,095,061.49 | ||||||||||
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$ | 2,424,333,474.66 | $ | 3,034,228,674.54 | |||||||||||
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* | Investment represents allowable transaction with a party-in-interest. |
** | Interest rates vary from 4.00% to 10.50% on loans maturing through 2030. |
7
SIGNATURE
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustee (or other persons who administer the employee benefit plan) has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
AMEREN CORPORATION SAVINGS INVESTMENT PLAN | ||
AMEREN ADMINISTRATIVE COMMITTEE | ||
(Administrator) | ||
By: | /s/ Marla J. Langenhorst | |
Marla J. Langenhorst | ||
Member of the Administrative Committee |
June 24, 2021