11-K/A 1 d559371d11ka.htm 11-K/A 11-K/A
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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, 2019

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, 2019, as filed with the U.S. Securities and Exchange Commission on June 25, 2020 (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 25, 2020. The Report of Independent Registered Public Accounting Firm included in the Amendment is dated June 25, 2020, 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.


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Savings Investment Plan

Ameren Corporation

Financial Statements and Supplemental Schedule

December 31, 2019 and 2018

Index

 

Report of Independent Registered Public Accounting Firm

December 31, 2019 and 2018

     1-2  

Financial Statements

  

Statements of Net Assets Available for Benefits

December 31, 2019 and 2018

     3  

Statements of Changes in Net Assets Available for Benefits

Years Ended December 31, 2019 and 2018

  

 

4

 

Notes to Financial Statements

December 31, 2019 and 2018

  

 

5-16

 

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, 2019

  

 

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.


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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, 2019 and 2018, 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, 2019 and 2018, 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.


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Supplemental Information

The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2019 and Schedule G, Part III – Schedule of Nonexempt Transactions for the year ended December 31, 2019 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 25, 2020, 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, 2019 and 2018

 

 

     2019      2018  

Assets

     

Investments, at fair value

   $ 2,372,801,088      $ 1,970,933,349  

Investments, at contract value

     289,817,950        282,384,897  
  

 

 

    

 

 

 

Total investments

     2,662,619,038        2,253,318,246  
  

 

 

    

 

 

 

Cash

     68,815        1,080,838  

Receivables

     

Notes receivable from participants

     35,354,528        35,198,455  

Participant contributions

     2,983,387        1,272,482  

Employer contributions

     520,380        398,933  

Dividends and interest

     472,218        669,912  

Due from brokers for securities sold

     5,383,142        10,024,762  
  

 

 

    

 

 

 

Total receivables

     44,713,655        47,564,544  
  

 

 

    

 

 

 

Total assets

     2,707,401,508        2,301,963,628  
  

 

 

    

 

 

 

Liabilities

     

Accrued expenses

     626,534        1,184,287  

Due to brokers for securities purchased

     2,119,021        11,350,970  
  

 

 

    

 

 

 

Total liabilities

     2,745,555        12,535,257  
  

 

 

    

 

 

 

Net assets available for benefits

   $ 2,704,655,953      $ 2,289,428,371  
  

 

 

    

 

 

 

 

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, 2019 and 2018

 

 

     2019      2018  

Additions:

     

Investment income

     

Interest and dividends

   $ 24,794,772      $ 31,859,694  

Net appreciation / (depreciation) in fair value of investments

     455,371,217        (105,760,604
  

 

 

    

 

 

 

Total investment income / (loss)

     480,165,989        (73,900,910
  

 

 

    

 

 

 

Interest on notes receivable from participants

     1,775,255        1,636,381  

Participant contributions

     105,448,706        96,904,377  

Employer contributions

     34,939,878        32,747,626  
  

 

 

    

 

 

 

Total additions

     622,329,828        57,387,474  
  

 

 

    

 

 

 

Deductions:

     

Benefits paid to participants

     203,601,534        181,663,074  

Administrative expenses

     3,500,712        4,022,410  
  

 

 

    

 

 

 

Total deductions

     207,102,246        185,685,484  
  

 

 

    

 

 

 

Net increase / (decrease)

     415,227,582        (128,298,010

Net assets available for benefits

     

Beginning of year

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

 

 

    

 

 

 

End of year

   $ 2,704,655,953      $ 2,289,428,371  
  

 

 

    

 

 

 

 

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, 2019 and 2018

 

 

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, 2019 and 2018

 

 

The Plan permits “catch-up” contributions for all employees age 50 and older. Eligible employees could contribute $6,000 in 2019 and 2018, 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. 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, 2019 and 2018, 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

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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, 2019 and 2018. 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.

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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 Statement of Net Assets Available for Benefits.

Concentrations

Company common stock comprised 13% of investments at December 31, 2019 and 2018.

 

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.

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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 2019 or 2018.

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 2019.

 

   

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

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

 

by relying on the securities’ relationship to other benchmark quoted securities (Level 2 inputs). The fair values of exchange-traded derivatives are based upon quoted market prices (Level 1 inputs). The fair values of derivatives that are not traded on an exchange are based upon valuation models using observable market data as of the measurement date (Level 2 inputs).

 

   

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

 

   

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

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  
  

 

 

    

 

 

    

 

 

    

 

 

 

Total assets reported at fair value

   $ 893,903,986      $ —       $ 1,478,897,102      $ 2,372,801,088  
  

 

 

    

 

 

    

 

 

    

 

 

 

 

  (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.

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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     Significant      Measured         
     In Active     Other      at Net Asset         
     Markets for     Observable      Value as a         
     Identified Assets     Inputs      Practical         
     (Level 1)     (Level 2)      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 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 $289,817,950 at December 31, 2019. The separately-managed account held (1) an investment in the Wells Fargo/BlackRock Short Term Investment Fund, and (2) a portfolio of investment contracts, valued at $282,384,897 at December 31, 2018. 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”)

 

   

Prudential Insurance Company of America (“Prudential”)

 

   

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”)

 

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Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

Effective July 19, 2019, the Prudential contract was terminated and replaced with the Transamerica contract. The underlying investments of the AGL, Mass Mutual, Transamerica, and Voya contracts are holdings in collective trust funds. The underlying investments of Met Life contracts are holdings in commingled 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 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;

 

12


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

   

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;

 

   

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.

 

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, 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.

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.

Dividend income from Company common stock was $8,622,071 and $8,728,952 for the years ended December 31, 2019 and December 31, 2018, respectively.

At December 31, 2019 and December 31, 2018, 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 $1,443,432 and $1,085,431 for the years ended December 31, 2019 and December 31, 2018, respectively.

 

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Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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.

 

14


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

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, 2019 and 2018:

 

     2019      2018  

Net assets available for benefits per the financial statements

   $ 2,704,655,953      $ 2,289,428,371  

Amounts allocated to deemed distributions of notes receivable from Participants

     (1,736,193      (1,559,560

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

     3,683,181        (3,147,180
  

 

 

    

 

 

 

Net assets available for benefits per the Form 5500

   $ 2,706,602,941      $ 2,284,721,631  
  

 

 

    

 

 

 

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, 2019:

 

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

   $ 415,227,582  

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

     3,683,181  

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

     3,147,180  

Less: Net increase in defaulted notes receivable from Participants

     (58,050

Less: Interest income of defaulted notes receivable from Participants

     (118,583
  

 

 

 

Total net income per the Form 5500

   $ 421,881,310  
  

 

 

 

 

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, 2019 and 2018, 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 2016.

 

15


Table of Contents

Ameren Corporation

Savings Investment Plan

Notes to Financial Statements

December 31, 2019 and 2018

 

 

8.

Subsequent Events

Effective January 1, 2020, the Plan was amended such that any shares of Company stock for which voting instructions are not received by a Participant shall be voted by the Trustee in the same proportion as the shares of Company stock for which instructions received bear to the total number of Company stock allocated to Participant accounts.

The Setting Every Community Up for Retirement Enhancement (SECURE) Act was enacted in December 2019 and most provisions in the law became effective January 1, 2020. In compliance with the law, Company adopted the provision which affects distributions to former employees. Effective for participants who turn age 70 12 after December 31, 2019, the Company will make required minimum distributions (RMDs) no later than April 1 in the year after the participant reaches the age of 72. The Company is continuing to review all other provisions of the SECURE Act.

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. In response to COVID-19, the Coronavirus Aid, Relief, and Economic Security (CARES) Act was enacted on March 27, 2020. In compliance with the law, the Company has temporarily suspended RMDs for 2020. The Company is continuing to review all other provisions of the CARES Act.

As a result of the spread of COVID-19 in 2020, economic uncertainties have arisen, which have caused significant volatility in the markets. This is a rapidly evolving situation, which has disrupted economic activity and caused economic uncertainties. 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.

 

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Table of Contents

Ameren Corporation Savings Investment Plan

SCHEDULE G, PART III - Schedule of Nonexempt Transactions

For the year ended December 31, 2019

 

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 2019 plan year was $287,402 - VFCP filed    $ 287,402      $ 107,444  

 

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Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   Interest-bearing Cash            
   State Street Global Advisors    SSGA Short Term Investment Fund    $ 5,063,268.94      $ 5,063,268.94  
           

 

 

    

 

 

 
  

Total Interest-bearing Cash

           5,063,268.94        5,063,268.94  
           

 

 

    

 

 

 
   Mutual Funds            
   American Funds Group    EuroPacific Growth Fund      118,916,818.18        144,232,274.55  
   Sands Capital Management   

Touchstone Sands Capital Institutional Growth Fund

     39,870,721.77        44,444,039.04  
   Pacific Investment Management Company    PIMCO Income Institutional Fund      23,607,631.56        23,760,767.49  

*

   Fidelity Management Trust Company   

Fidelity Institutional Money Market Government Portfolio

     2,143,247.64        2,143,247.64  
           

 

 

    

 

 

 
  

Total Mutual Funds

           184,538,419.15        214,580,328.72  
           

 

 

    

 

 

 
   Collective Investment Trusts            
   BlackRock Institutional Trust Company, N.A.   

BlackRock LifePath Index Retirement Fund L

     105,059,881.43        112,033,953.86  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2025 Fund L      100,676,958.34        123,168,487.02  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2030 Fund L      76,671,713.62        96,446,622.03  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2035 Fund L      44,269,054.82        56,775,433.74  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2040 Fund L      46,286,323.50        59,669,233.37  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2045 Fund L      43,024,601.96        56,333,868.65  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2050 Fund L      38,809,371.00        50,594,187.56  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2055 Fund L      24,867,764.56        31,443,040.11  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2060 Fund L      5,394,883.65        6,080,077.66  
   BlackRock Institutional Trust Company, N.A.    BlackRock LifePath Index 2065 Fund L      84,861.61        86,001.70  
   BlackRock Institutional Trust Company, N.A.    BlackRock Equity Index Fund M      236,753,258.32        352,306,599.03  
   BlackRock Institutional Trust Company, N.A.    BlackRock Russell 2500 Index Fund M      115,082,374.02        156,769,526.52  
   BlackRock Institutional Trust Company, N.A.   

BlackRock MSCI ACWI ex-US IMI Index Fund F

     54,922,302.30        58,333,484.89  
   BlackRock Institutional Trust Company, N.A.    BlackRock US Debt Index Fund M      55,179,104.53        60,127,490.09  
   BlackRock Institutional Trust Company, N.A.    BlackRock TIPS Bond Index Fund M      16,634,226.90        17,891,983.16  
   Wells Fargo Bank, N.A.    Wells Fargo Fixed Income Fund F      83,394,570.34        91,214,236.48  
   Wells Fargo Bank, N.A.    Wells Fargo Fixed Income Fund L      120,606,951.06        133,911,178.59  
   Wells Fargo Bank, N.A.   

Wells Fargo/BlackRock Short Term Investment Fund

     15,208,661.00        15,208,661.00  
   Robeco Trust Company    Boston Partners Large Cap Value Equity Fund E      58,234,384.29        89,174,661.49  
   Hand Benefits and Trust Company    Snyder Capital Small/Mid Cap Value Fund R1      50,552,589.14        60,272,130.61  
   Wellington Management Company LLP    Wellington CIF II Core Plus Bond Portfolio      71,276,387.85        71,118,390.52  
           

 

 

    

 

 

 
  

Total Collective Investment Trusts

           1,362,990,224.24        1,698,959,248.08  
           

 

 

    

 

 

 
   Insurance Company Separate Accounts            
   Metropolitan Life Ins Co.    Separate Account #690      25,175,225.97        27,132,381.00  
   Metropolitan Life Ins Co.    Separate Account #694      38,040,021.08        41,243,335.00  
           

 

 

    

 

 

 
  

Total Insurance Company Separate Accounts

           63,215,247.05        68,375,716.00  
           

 

 

    

 

 

 
   Common Stocks            

*

   Ameren Corporation    4,429,685    Shares      203,080,935.51        340,199,808.00  
   SHOPIFY INC CL A    1,684    Shares      550,410.42        669,524.72  
   ADYEN BV    1,316    Shares      982,214.49        1,079,070.91  
   UNREAL INDIA CAP GAIN TAX    1    Shares      —         —   
   ABBOTT LAB    15,004    Shares      729,276.56        1,303,247.44  
   ADOBE INC    7,250    Shares      436,947.46        2,391,122.50  
   ALEXION PHARMACEUTICALS I    7,320    Shares      965,152.11        791,658.00  
   ALIBABA GROUP HLDGS LTD S    12,516    Shares      1,336,920.32        2,654,643.60  
   ALPHABET INC CL C    2,304    Shares      1,382,201.29        3,080,494.08  
   ALPHABET INC CL A    1,607    Shares      717,825.12        2,152,399.73  
   AMAZON.COM INC    2,584    Shares      1,427,704.79        4,774,818.56  
   AMERICAN TOWER CORP    2,877    Shares      480,728.45        661,192.14  
   APPLE INC    12,150    Shares      1,166,861.48        3,567,847.50  
   ASTRAZENECA PLC SPONS ADR    35,021    Shares      1,334,779.19        1,746,147.06  
   BIOMARIN PHARMACEUTICAL I    8,036    Shares      636,362.40        679,443.80  
   BOEING CO    4,805    Shares      511,429.93        1,565,276.80  
   CHIPOTLE MEXICAN GRILL IN    1,272    Shares      849,325.66        1,064,803.92  
   CONSTELLATION BRANDS INC    5,352    Shares      961,114.16        1,015,542.00  
   COSTCO WHOLESALE CORP    6,145    Shares      849,600.65        1,806,138.40  
   COUPA SOFTWARE INC    2,711    Shares      380,142.06        396,483.75  
   DANAHER CORP    6,692    Shares      871,763.97        1,027,088.16  
   DEXCOM INC    2,710    Shares      459,135.20        592,785.40  
   DISNEY (WALT) CO    2,967    Shares      402,736.95        429,117.21  
   EDWARDS LIFESCIENCES CORP    2,580    Shares      562,591.63        601,888.20  
   EXACT SCIENCES CORP    6,010    Shares      597,913.63        555,804.80  
   FACEBOOK INC CL A    14,416    Shares      842,240.40        2,958,884.00  
   FLEETCOR TECH INC    5,712    Shares      1,049,735.22        1,643,456.64  

 

1


Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   GOLDMAN SACHS GROUP INC    4,658    Shares      809,641.27        1,071,013.94  
   AIRBUS SE    2,492    Shares      321,462.31        364,727.66  
   GUARDANT HEALTH INC    2,160    Shares      167,049.55        168,782.40  
   HOME DEPOT INC    7,245    Shares      1,047,102.74        1,582,163.10  
   ILLUMINA INC    4,082    Shares      629,846.76        1,354,162.68  
   INTUITIVE SURGICAL INC    1,981    Shares      1,076,222.43        1,171,068.15  
   JPMORGAN CHASE & CO    5,923    Shares      496,157.63        825,666.20  
   KERING UNSPONSORED ADR    25,202    Shares      1,157,657.57        1,647,202.72  
   ESTEE LAUDER COS INC CL A    7,925    Shares      900,769.07        1,636,829.50  
   LILLY (ELI) & CO    3,450    Shares      417,261.19        453,433.50  
   LULULEMON ATHLETICA INC    6,136    Shares      819,112.22        1,421,527.12  
   MARRIOTT INTL INC A    10,288    Shares      636,981.04        1,557,911.84  
   MASTERCARD INC CL A    12,920    Shares      659,273.75        3,857,782.80  
   MICROSOFT CORP    24,063    Shares      1,494,114.38        3,794,735.10  
   MONDELEZ INTL INC    15,603    Shares      549,114.88        859,413.24  
   NETFLIX INC    7,766    Shares      808,177.71        2,512,844.62  
   NIKE INC CL B    25,157    Shares      1,078,542.99        2,548,655.67  
   NOVARTIS AG SPON ADR    2,797    Shares      258,973.18        264,847.93  
   NVIDIA CORP    7,928    Shares      903,721.70        1,865,458.40  
   PARKER HANNIFIN CORP    6,234    Shares      987,929.89        1,283,081.88  
   PAYPAL HLDGS INC    10,480    Shares      798,988.69        1,133,621.60  
   QUALCOMM INC    12,935    Shares      1,077,989.00        1,141,255.05  
   S&P GLOBAL INC    3,914    Shares      346,390.05        1,068,717.70  
   SALESFORCE.COM INC    23,764    Shares      2,038,733.80        3,864,976.96  
   SAP SE SPON ADR    6,433    Shares      873,720.86        861,957.67  
   SVCSNOW INC    3,169    Shares      690,318.64        894,672.08  
   SPLUNK INC    8,472    Shares      460,313.03        1,268,851.44  
   SQUARE INC CL A    6,742    Shares      449,091.63        421,779.52  
   TESLA INC    4,399    Shares      1,185,379.33        1,840,233.67  
   TWILIO INC CLASS A    4,509    Shares      541,040.92        443,144.52  
   UBER TECH INC    17,728    Shares      632,890.60        527,230.72  
   UNIVERSAL DISPLAY CORP    878    Shares      172,400.58        180,929.46  
   VERTEX PHARMACEUTICALS IN    3,978    Shares      447,317.36        870,983.10  
   VISA INC CL A    16,997    Shares      724,613.94        3,193,736.30  
   WORKDAY INC CL A    6,966    Shares      620,852.38        1,145,558.70  
   XILINX INC    4,171    Shares      422,002.63        407,798.67  
   ADIENT PLC    25,177    Shares      1,707,955.72        535,011.25  
   AERCAP HLDGS NV    44,903    Shares      1,583,249.22        2,760,187.41  
   SUNCOR ENERGY INC    114,479    Shares      3,046,035.31        3,754,911.20  
   AECOM    38,878    Shares      1,126,332.65        1,676,808.14  
   AFFILIATED MANAGERS GRP I    13,877    Shares      2,141,702.72        1,175,936.98  
   AIR LEASE CORP CL A    33,890    Shares      1,296,369.85        1,610,452.80  
   ALLIANCE DATA SYS CORP    15,373    Shares      2,570,518.38        1,724,850.60  
   AMERIPRISE FIN INC    23,076    Shares      2,439,106.58        3,844,000.08  
   ARROW ELECTRONICS INC    23,304    Shares      1,762,146.95        1,974,780.96  
   ASSURANT INC    15,950    Shares      1,372,993.81        2,090,726.00  
   AVIS BUDGET GROUP    23,106    Shares      653,756.35        744,937.44  
   BROADCOM INC    11,423    Shares      1,908,548.74        3,609,896.46  
   CELANESE CORP    29,134    Shares      2,240,405.11        3,586,978.08  
   CENTENE CORP    66,037    Shares      3,296,105.24        4,151,746.19  
   COMMSCOPE HLDG CO INC    47,039    Shares      1,425,946.58        667,483.41  
   CROWN HLDGS INC    35,110    Shares      1,795,167.78        2,546,879.40  
   FLEX LTD    137,731    Shares      2,159,418.87        1,738,165.22  
   EOG RESOURCES INC    36,986    Shares      2,995,338.12        3,097,947.36  
   GOODYEAR TIRE & RUBBER CO    63,462    Shares      1,701,505.73        987,151.41  
   HCA HEALTHCARE INC    27,195    Shares      2,381,358.01        4,019,692.95  
   HANESBRANDS INC    102,274    Shares      1,494,202.89        1,518,768.90  
   HERTZ GLOBAL HLDGS INC    28,054    Shares      719,420.70        441,850.50  
   LINCOLN NATIONAL CORP    55,237    Shares      2,785,170.43        3,259,535.37  
   MICROCHIP TECH    37,469    Shares      2,858,278.37        3,923,753.68  
   O-I GLASS INC    40,566    Shares      598,743.19        483,952.38  
   QUANTA SVCS INC    41,206    Shares      1,400,279.83        1,677,496.26  
   QURATE RETAIL INC    114,849    Shares      2,728,977.25        968,177.07  
   SYNNEX CORP    14,223    Shares      1,766,484.28        1,831,922.40  
   TENNECO INC    15,146    Shares      542,970.85        198,412.60  
   UNITED RENTALS INC    22,309    Shares      2,966,299.81        3,720,471.93  
   WESTERN DIGITAL CORP    53,363    Shares      2,830,756.19        3,386,949.61  
   WHIRLPOOL CORP    17,321    Shares      3,024,389.16        2,555,367.13  

 

2


Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   XPO LOGISTICS INC    34,785    Shares      2,099,718.18        2,772,364.50  
   STERIS PLC    6,729    Shares      819,118.85        1,025,634.18  
   FIRSTSVCS CORP    7,405    Shares      244,968.65        688,961.20  
   HORIZON THERAPEUTICS PLC    46,222    Shares      737,990.39        1,673,236.40  
   AXALTA COATING SYS LTD    19,390    Shares      554,467.13        589,456.00  
   UNREAL INDIA CAP GAIN TAX    1    Shares      —         —   
   ABIOMED INC    3,830    Shares      976,818.39        653,359.70  
   ADVANCE AUTO PARTS INC    4,363    Shares      670,562.46        698,778.08  
   AMEDISYS INC    5,820    Shares      690,620.11        971,474.40  
   ANAPLAN INC    9,960    Shares      524,857.36        521,904.00  
   ARES MANAGEMENT CORP CL A    15,971    Shares      515,639.92        570,004.99  
   ASPEN TECH    9,544    Shares      928,114.48        1,154,155.92  
   AVALARA INC    11,583    Shares      738,810.46        848,454.75  
   BJS WHSL CLUB HLDGS INC    50,840    Shares      1,286,705.29        1,156,101.60  
   BWX TECH INC    38,031    Shares      1,732,984.43        2,360,964.48  
   BOOZ ALLEN HAMILTON HLDG    14,733    Shares      471,952.00        1,047,958.29  
   BRINKS CO    11,202    Shares      886,671.93        1,015,797.36  
   BURLINGTON STORES INC    8,480    Shares      1,359,935.46        1,933,694.40  
   CBOE GLOBAL MARKETS INC    5,980    Shares      491,906.48        717,600.00  
   CABLE ONE INC W/I    670    Shares      520,001.83        997,274.90  
   COPART INC    7,840    Shares      287,706.42        712,969.60  
   RITCHIE BROS AUCTIONEERS    19,300    Shares      639,022.69        828,935.00  
   CROWN HLDGS INC    19,280    Shares      1,185,526.66        1,398,571.20  
   ENCORE CAP GROUP INC    16,809    Shares      595,517.91        594,366.24  
   ENCOMPASS HEALTH CORP    25,786    Shares      1,306,376.36        1,786,196.22  
   ENTEGRIS INC    6,942    Shares      343,023.64        347,724.78  
   ETSY INC    12,185    Shares      517,337.21        539,795.50  
   EURONET WORLDWIDE INC    11,190    Shares      1,067,249.85        1,763,096.40  
   FIRSTCASH INC    11,109    Shares      650,980.86        895,718.67  
   GENERAC HLDGS INC    5,550    Shares      552,233.21        558,274.50  
   GLAUKOS CORP    11,019    Shares      409,287.08        600,204.93  
   GODADDY INC CL A    15,736    Shares      1,118,225.22        1,068,789.12  
   GRAND CANYON EDUCATION IN    16,068    Shares      1,437,234.02        1,539,153.72  
   GUIDEWIRE SOFTWARE INC    6,710    Shares      353,186.42        736,556.70  
   HALOZYME THERAPEUTICS INC    36,497    Shares      581,545.30        647,091.81  
   HEALTHCARE SVCS GROUP INC    31,436    Shares      1,275,415.68        764,523.52  
   HEICO CORP CL A    8,856    Shares      346,071.33        792,877.68  
   IRHYTHM TECH INC    7,880    Shares      508,851.03        536,549.20  
   INSPIRE MEDICAL SYS INC    6,276    Shares      360,228.40        465,741.96  
   INSULET CORP    9,827    Shares      975,395.23        1,682,382.40  
   iShares Trust: iShares Ru    1,860    Shares      263,908.33        283,798.80  
   iShares Russell 2000 Grow    5,420    Shares      1,065,704.79        1,161,072.40  
   JONES LANG LASALLE INC    5,198    Shares      666,437.87        904,919.82  
   J2 GLOBAL INC    11,394    Shares      816,805.03        1,067,731.74  
   LAMB WESTON HLDGS INC    19,740    Shares      1,353,242.53        1,698,232.20  
   LIGAND PHARMACEUTICALS    7,648    Shares      750,720.47        797,609.92  
   LIVE NATION ENTERTAINMENT    21,430    Shares      888,819.44        1,531,602.10  
   MARTIN MARIETTA MATERIALS    6,690    Shares      1,343,768.57        1,870,791.60  
   NATIONAL INSTRUMENT CORP    14,415    Shares      574,681.33        610,331.10  
   NICE LTD SPON ADR    7,910    Shares      827,290.70        1,227,236.50  
   NOVANTA INC    5,910    Shares      350,719.87        522,680.40  
   OLLIES BARGAIN OUTLET HLD    10,330    Shares      653,003.94        674,652.30  
   PARSLEY ENERGY INC CL A    21,070    Shares      593,903.05        398,433.70  
   PENUMBRA INC    7,281    Shares      1,015,814.80        1,196,049.87  
   PERSPECTA INC    19,970    Shares      534,626.46        528,006.80  
   PLANET FITNESS INC CL A    9,580    Shares      707,808.41        715,434.40  
   PORTOLA PHARMACEUTICALS I    38,912    Shares      1,172,951.51        929,218.56  
   PROOFPOINT INC    6,180    Shares      777,767.21        709,340.40  
   PURE STORAGE INC CL A    78,435    Shares      1,549,190.70        1,342,022.85  
   QUALYS INC    1,853    Shares      159,602.02        154,484.61  
   ROGERS CORP    4,629    Shares      666,973.64        577,375.17  
   SABRE CORP    50,130    Shares      1,203,790.41        1,124,917.20  
   SIGNATURE BANK    5,070    Shares      651,833.72        692,612.70  
   SITEONE LANDSCAPE SUPPLY    7,750    Shares      309,445.60        702,537.50  
   TELEDYNE TECH INC    5,006    Shares      980,827.23        1,734,779.24  
   TELEFLEX INC    3,790    Shares      998,570.51        1,426,707.60  
   TRANSUNION    16,270    Shares      772,569.15        1,392,874.70  
   TREX CO INC    22,160    Shares      1,519,635.24        1,991,740.80  

 

3


Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   VAIL RESORTS INC    4,700    Shares      1,013,215.70        1,127,201.00  
   VARONIS SYS INC    7,080    Shares      551,024.12        550,186.80  
   VERACYTE INC    17,382    Shares      430,117.46        485,305.44  
   VIRTU FIN INC- CL A    41,715    Shares      833,155.38        667,022.85  
   WAYFAIR INC    5,588    Shares      589,262.30        504,987.56  
   WEX INC    4,720    Shares      586,159.31        988,651.20  
   WORLD WRESTLING ENTMT CL    12,200    Shares      864,711.19        791,414.00  
   ZYNGA INC    142,480    Shares      889,737.96        871,977.60  
   CRISPR THERAPEUTICS AG    3,671    Shares      251,806.55        223,582.26  
   CONSTELLIUM SE CL A    16,635    Shares      240,448.94        222,909.00  
   HORIZON THERAPEUTICS PLC    26,298    Shares      701,576.39        951,987.60  
   AMBARELLA INC    8,949    Shares      458,759.25        541,951.44  
   UNREAL INDIA CAP GAIN TAX    1    Shares      —         —   
   AAR CORP    20,048    Shares      855,885.10        904,164.80  
   ACADIA PHARMACEUTICALS IN    2,353    Shares      121,117.15        100,661.34  
   AMEDISYS INC    3,865    Shares      527,850.60        645,145.80  
   ANAPLAN INC    14,539    Shares      731,625.82        761,843.60  
   ARROWHEAD PHARMACEUTICALS    2,000    Shares      141,888.40        126,860.00  
   BOOT BARN HLDGS INC    8,426    Shares      199,274.72        375,209.78  
   BURLINGTON STORES INC    5,287    Shares      1,061,610.89        1,205,594.61  
   CARMAX INC    10,698    Shares      952,360.89        937,893.66  
   CHEGG INC    13,892    Shares      351,809.88        526,645.72  
   CHEWY INC    18,658    Shares      484,890.21        541,082.00  
   CLEAN HARBORS INC    15,059    Shares      1,077,711.12        1,291,309.25  
   CONMED CORP    9,757    Shares      956,099.40        1,091,125.31  
   COSTAR GROUP INC    412    Shares      145,725.88        246,499.60  
   CROCS INC    12,614    Shares      446,250.41        528,400.46  
   CROWN HLDGS INC    17,777    Shares      1,168,844.83        1,289,543.58  
   CRYOPORT INC    13,320    Shares      304,120.99        219,247.20  
   DEXCOM INC    9,168    Shares      917,176.98        2,005,408.32  
   DOCUSIGN INC    3,289    Shares      239,201.68        243,747.79  
   EVERBRIDGE INC    10,662    Shares      801,670.56        832,488.96  
   EXACT SCIENCES CORP    12,169    Shares      997,771.77        1,125,389.12  
   FTI CONSULTING INC    2,252    Shares      239,322.25        249,206.32  
   FIVE BELOW INC    1,924    Shares      224,511.32        246,002.64  
   FIVE9 INC    14,944    Shares      582,133.47        980,027.52  
   FLOOR & DECOR HLDGS INC    6,472    Shares      320,817.05        328,842.32  
   FRESHPET INC    5,595    Shares      230,831.24        330,608.55  
   HAEMONETICS CORP MASS    4,585    Shares      563,353.30        526,816.50  
   HAMILTON LANE INC — A    6,735    Shares      405,296.09        401,406.00  
   INPHI CORP    8,512    Shares      568,887.55        630,058.24  
   INSPIRE MEDICAL SYS INC    18,009    Shares      1,012,602.78        1,336,447.89  
   INSULET CORP    4,705    Shares      591,927.73        805,496.00  
   KANSAS CITY SOUTHERN    7,013    Shares      899,620.63        1,074,111.08  
   KEYSIGHT TECH INC    11,374    Shares      762,395.55        1,167,313.62  
   LHC GROUP INC    4,068    Shares      500,164.46        560,407.68  
   LATTICE SEMICONDUCTOR COR    33,226    Shares      657,817.26        635,945.64  
   LULULEMON ATHLETICA INC    2,374    Shares      351,458.90        549,984.58  
   MKS INSTRUMENTS INC    1,990    Shares      228,173.40        218,919.90  
   MANHATTAN ASSIC INC    3,849    Shares      267,915.09        306,957.75  
   MASCO CORPORATION    22,641    Shares      944,787.99        1,086,541.59  
   Mirati Therapeutics Inc    2,029    Shares      200,277.23        261,456.94  
   NIC INC    17,220    Shares      358,961.14        384,867.00  
   NAPCO SECURITY TECH IN    11,521    Shares      345,456.73        338,602.19  
   NATERA INC    20,710    Shares      718,277.48        697,719.90  
   NORDSON CORP    2,957    Shares      483,585.81        481,517.88  
   NUANCE COMM INC    20,226    Shares      362,310.36        360,629.58  
   OKTA INC CL A    1,871    Shares      239,475.84        215,857.27  
   ON SEMICONDUCTOR CORP    30,725    Shares      671,629.69        749,075.50  
   OWENS CORNING INC    10,206    Shares      621,746.09        664,614.72  
   PAPA JOHNS INTL INC    9,535    Shares      505,951.86        602,135.25  
   PAYCOM SOFTWARE INC    999    Shares      251,329.62        264,495.24  
   PENUMBRA INC    3,509    Shares      596,549.90        576,423.43  
   PERFORMANCE FOOD GROUP CO    5,212    Shares      235,712.61        268,313.76  
   PINNACLE FINL PARTNERS IN    15,096    Shares      907,995.13        966,144.00  
   Q2 HLDGS INC    13,210    Shares      762,425.77        1,071,066.80  
   RAPID7 INC    16,966    Shares      660,241.53        950,435.32  
   REATA PHARMACEUTICALS INC    1,845    Shares      222,797.36        377,173.35  

 

4


Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   RINGCENTRAL INC CL A    10,469    Shares      1,123,663.38        1,765,806.23  
   ROKU INC CLASS A    3,110    Shares      334,488.33        416,429.00  
   SVB FINL GROUP    5,198    Shares      1,206,346.53        1,304,905.92  
   SAGE THERAPEUTICS INC    3,523    Shares      516,566.33        254,325.37  
   SEA LTD ADR    12,213    Shares      369,045.23        491,206.86  
   SUMMIT MATERIALS INC CL A    9,828    Shares      242,315.88        234,889.20  
   TANDEM DIABETES CARE INC    17,311    Shares      684,004.91        1,031,908.71  
   TERADYNE INC    6,304    Shares      312,809.77        429,869.76  
   TETRA TECH INC    5,763    Shares      432,732.48        496,540.08  
   TRANSUNION    11,264    Shares      911,762.26        964,311.04  
   TYLER TECH INC    2,770    Shares      686,040.16        831,055.40  
   UNIVERSAL DISPLAY CORP    1,168    Shares      232,350.00        240,689.76  
   VIAVI SOLUTIONS INC    48,194    Shares      707,309.04        722,910.00  
   ZEBRA TECH CORP CL A    2,535    Shares      604,029.91        647,540.40  
   ZYNGA INC    35,933    Shares      201,607.12        219,909.96  
   ESSENT GROUP LTD    11,018    Shares      454,608.64        572,825.82  
   TRINSEO SA    6,983    Shares      454,241.40        259,837.43  
   NOMAD FOODS LTD    13,676    Shares      288,341.86        305,932.12  
   ASSURED GUARANTY LTD    10,455    Shares      396,836.67        512,504.10  
   JAZZ PHARMA PLC    1,893    Shares      318,489.54        282,587.04  
   ENERPLUS CORP    43,462    Shares      525,191.02        309,884.06  
   ICON PLC    2,975    Shares      413,929.06        512,384.25  
   ACCO BRANDS CORP    34,153    Shares      449,477.27        319,672.08  
   ABM INDU INC    15,588    Shares      512,124.71        587,823.48  
   AGNC INVESTMENT CORP    21,409    Shares      390,127.54        378,511.12  
   AES CORP    15,410    Shares      207,745.44        306,659.00  
   AMC NETWORKS INC CL A    4,493    Shares      273,147.96        177,473.50  
   ASGN INC    9,294    Shares      744,624.56        659,595.18  
   AECOM    10,772    Shares      357,070.34        464,596.36  
   AEGION CORP    20,030    Shares      403,547.20        448,071.10  
   AIR LEASE CORP CL A    17,716    Shares      746,354.90        841,864.32  
   ALASKA AIR GROUP INC    4,471    Shares      284,916.40        302,910.25  
   ALLEGHANY CORP DEL    652    Shares      403,796.47        521,319.64  
   ALLIANCE DATA SYS CORP    1,790    Shares      386,846.88        200,838.00  
   ALLY FIN INC    5,545    Shares      155,607.52        169,455.20  
   APERGY CORP    7,675    Shares      226,984.40        259,261.50  
   ARES CAPITAL CORP    10,506    Shares      179,942.67        195,936.90  
   ARES COMMERCIAL REAL ESTA    10,785    Shares      153,389.43        170,834.40  
   ARROW ELECTRONICS INC    7,695    Shares      565,806.68        652,074.30  
   ASSURANT INC    2,638    Shares      277,161.73        345,789.04  
   AVANTOR INC    21,763    Shares      307,299.51        394,998.45  
   AVERY DENNISON CORP    1,545    Shares      145,288.06        202,116.90  
   BMC STK HLDGS INC    7,089    Shares      152,843.24        203,383.41  
   BANKUNITED INC    10,555    Shares      404,508.91        385,890.80  
   BELDEN INC    12,019    Shares      748,218.41        661,045.00  
   BLACKSTONE MORTGAGE TR CL    8,442    Shares      280,459.41        314,211.24  
   BOOZ ALLEN HAMILTON HLDG    4,017    Shares      199,054.97        285,729.21  
   BOSTON PRIVATE FINL HLDG    12,410    Shares      158,354.45        149,292.30  
   CDK GLOBAL INC    17,478    Shares      988,300.92        955,697.04  
   CDW CORPORATION    1,279    Shares      116,465.52        182,692.36  
   CADENCE BANCORP CL A    10,499    Shares      247,890.71        190,346.87  
   CARLISLE COS INC    1,393    Shares      165,341.93        225,443.12  
   CENTERSTATE BANKS CORPORA    11,172    Shares      308,971.45        279,076.56  
   CHANGE HEALTHCARE INC    27,499    Shares      371,401.13        450,708.61  
   CHATHAM LODGING TR    2,197    Shares      44,533.84        40,292.98  
   CHEMED CORP    398    Shares      132,576.40        174,825.48  
   CIENA CORP    14,463    Shares      412,714.74        617,425.47  
   CIMAREX ENERGY CO    4,465    Shares      361,473.70        234,367.85  
   COHERENT INC    1,999    Shares      324,886.49        332,533.65  
   COLONY CAPITAL INC    42,996    Shares      234,249.81        204,231.00  
   COLUMBIA BANKING SYS INC    5,398    Shares      209,201.19        219,617.63  
   COMMSCOPE HLDG CO INC    16,019    Shares      342,986.14        227,309.61  
   FRESH DEL MONTE PRODUCE I    8,089    Shares      327,708.73        282,953.22  
   COUSINS PROPERTIES INC    4,373    Shares      147,011.02        180,167.60  
   AMDOCS LTD    5,959    Shares      399,754.24        430,180.21  
   CURTISS WRIGHT CORPORATIO    1,961    Shares      208,643.14        276,285.29  
   WHITE MOUNTAINS INS GROUP    404    Shares      374,648.28        450,666.04  
   FLEX LTD    21,928    Shares      298,241.97        276,731.36  

 

5


Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   DIAMONDBACK ENERGY INC    3,659    Shares      456,444.79        339,774.74  
   EVEREST REINSURANCE GROUP    1,749    Shares      409,621.94        484,193.16  
   AXIS CAPITAL HLDGS LTD    5,574    Shares      320,381.79        331,318.56  
   EAST WEST BANCORP INC    10,204    Shares      611,385.63        496,934.80  
   ENCANA CORP    42,166    Shares      261,755.38        197,758.54  
   ENERGIZER HLDGS INC    15,561    Shares      813,419.74        781,473.42  
   ENERSYS INC    9,187    Shares      700,073.30        687,463.21  
   ENTERCOM COMM CORP CL A    38,892    Shares      238,529.39        180,458.88  
   ENVISTA HLDGS CORP    13,080    Shares      342,213.97        387,691.20  
   EQUITRANS MIDSTREAM CORP    5,012    Shares      146,286.33        66,960.32  
   EVERCORE INC A    4,586    Shares      365,052.67        342,849.36  
   EVERTEC INC    6,649    Shares      184,137.10        226,331.96  
   EXTENDED STAY AMERICA INC    28,099    Shares      412,592.14        417,551.14  
   FMC CORP NEW    1,923    Shares      143,236.58        191,953.86  
   FTI CONSULTING INC    6,184    Shares      445,861.09        684,321.44  
   FIRST CITIZENS BANCSHARES    622    Shares      258,692.32        331,034.62  
   FIRST HAWAIIAN INC    18,117    Shares      467,891.99        522,675.45  
   FIRST MERCHANTS CORP    7,279    Shares      330,390.88        302,733.61  
   FIRST MIDWEST BANCORP INC    12,471    Shares      304,860.94        287,581.26  
   FIRSTCASH INC    3,653    Shares      332,961.53        294,541.39  
   FOOT LOCKER INC    4,630    Shares      183,032.20        180,523.70  
   FRONTDOOR INC    7,916    Shares      291,314.86        375,376.72  
   GENTEX CORP    10,246    Shares      221,203.42        296,929.08  
   GRAPHIC PACKAGING HLDGS C    89,444    Shares      1,235,726.30        1,489,242.60  
   GROUP 1 AUTOMOTIVE INC    2,926    Shares      204,738.37        292,600.00  
   HD SUPPLY HLDGS INC    3,914    Shares      154,294.66        157,421.08  
   HANMI FIN CORPORATION    8,735    Shares      230,065.30        174,656.33  
   HANOVER INSURANCE GROUP I    2,488    Shares      308,380.17        340,034.96  
   HUNTINGTON BANCSHARES INC    22,980    Shares      309,008.77        346,538.40  
   HUNTINGTON INC    592    Shares      135,034.01        148,520.96  
   HURON CONSULTING GROUP IN    3,530    Shares      163,853.30        242,581.60  
   IAA INC    15,218    Shares      551,765.15        716,159.08  
   INSIGHT ENTERPRISES INC    8,865    Shares      456,302.20        623,120.85  
   JAGGED PEAK ENERGY INC    26,675    Shares      279,688.18        226,470.75  
   JEFFERIES FIN GROUP INC    18,986    Shares      422,821.42        405,730.82  
   JONES LANG LASALLE INC    2,452    Shares      393,548.76        426,868.68  
   KAR AUCTION SVCS INC    18,814    Shares      413,913.50        409,957.06  
   KOSMOS ENERGY LTD    82,254    Shares      515,621.95        468,847.80  
   LCI INDU    5,482    Shares      488,669.30        587,286.66  
   LPL FINL HLDGS INC    4,486    Shares      302,463.48        413,833.50  
   LA Z BOY INC    4,754    Shares      152,504.62        149,655.92  
   LANDSTAR SYS INC    1,639    Shares      184,274.49        186,632.93  
   LITHIA MOTORS INC CL A    5,686    Shares      555,755.79        835,842.00  
   MFA FIN INC    61,207    Shares      461,189.81        468,233.55  
   STEVEN MADDEN LTD    12,470    Shares      460,111.74        536,334.70  
   MARATHON OIL CORP    12,895    Shares      214,829.76        175,114.10  
   MAXIMUS INC    1,611    Shares      107,171.30        119,842.29  
   MINERALS TECH INC    7,293    Shares      526,205.97        420,295.59  
   MOLINA HEALTHCARE INC    3,823    Shares      498,843.17        518,742.87  
   MOSAIC CO NEW    9,807    Shares      309,371.11        212,223.48  
   NCR CORP    13,487    Shares      403,060.98        474,202.92  
   NMI HLDGS INC    5,871    Shares      158,112.95        194,799.78  
   NATIONAL GEN HLDGS CORP    26,854    Shares      700,914.64        593,473.40  
   NAVIENT CORP    42,383    Shares      580,568.16        579,799.44  
   NELNET INC CL A    2,886    Shares      175,096.78        168,080.64  
   NEXSTAR MEDIA GROUP INC A    4,309    Shares      460,851.66        505,230.25  
   O-I GLASS INC    14,309    Shares      237,164.89        170,706.37  
   OLIN CORP    10,153    Shares      176,148.78        175,139.25  
   ON SEMICONDUCTOR CORP    9,514    Shares      218,090.56        231,951.32  
   OWENS CORNING INC    6,144    Shares      389,586.77        400,097.28  
   PRA GROUP INC    7,734    Shares      313,583.13        280,744.20  
   PATTERSON COMPANIES INC    7,635    Shares      171,761.63        156,364.80  
   PEAPACK GLADSTONE FINL CO    5,279    Shares      160,184.95        163,121.10  
   PQ GROUP HLDGS INC    22,402    Shares      390,991.50        384,866.36  
   PREFERRED BANK LOS ANGELE    3,396    Shares      205,680.44        204,065.64  
   PROASSURANCE CORPORATION    7,005    Shares      306,604.58        253,160.70  
   QORVO INC    5,517    Shares      425,209.17        641,240.91  
   RADIAN GROUP INC    11,932    Shares      223,953.61        300,209.12  

 

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Table of Contents

Ameren Corporation Savings Investment Plan

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

December 31, 2019

 

Name of plan sponsor: Ameren Corporation

Employer identification number: 43-1723446

Three-digit plan number: 003

 

(a)    (b)    (c)    (d)      (e)  
     Identity of issue, borrower,    Description of investment including maturity date,           Current  

 

  

lessor, or similar party

  

rate of interest, collateral, par, or maturity value

   Cost      value  
   REDWOOD TR INC REIT    10,396    Shares      164,799.82        171,949.84  
   REINSURANCE GROUP OF AMER    3,336    Shares      483,641.56        543,968.16  
   SL GREEN REALTY CORP REIT    2,129    Shares      195,765.59        195,612.52  
   SLM CORP    104,251    Shares      1,136,437.01        928,876.41  
   SVB FINL GROUP    918    Shares      195,821.98        230,454.72  
   SCHWEITZER-MAUDUIT INTL I    11,598    Shares      485,844.96        487,000.02  
   SCIENCE APPLICATIONS INTL    5,255    Shares      432,267.53        457,290.10  
   SKECHERS USA INC CL A    14,581    Shares      435,605.51        629,753.39  
   SPECTRUM BRANDS HLDGS INC    3,374    Shares      171,050.19        216,914.46  
   SPIRIT AIRLINES INC    5,558    Shares      281,670.98        224,042.98  
   SPIRIT RLTY CAP INC    4,149    Shares      172,179.68        204,047.82  
   STANDARD MOTOR PRODUCTS I    3,385    Shares      164,780.51        180,149.70  
   STARWOOD PROPERTY TR INC    19,841    Shares      443,381.46        493,247.26  
   SUNCOKE ENERGY INC    51,224    Shares      630,173.23        319,125.52  
   SYKES ENTERPRISES INC    5,941    Shares      178,654.79        219,757.59  
   SYNOVUS FINANCIAL CORP.    11,877    Shares      505,520.00        465,578.40  
   SYNNEX CORP    7,593    Shares      719,782.10        977,978.40  
   SYNEOS HEALTH INC    11,868    Shares      584,238.41        705,849.30  
   TERADYNE INC    6,247    Shares      255,386.58        425,982.93  
   TETRA TECH INC    3,794    Shares      241,033.98        326,891.04  
   TIMKEN CO    7,393    Shares      343,662.20        416,299.83  
   TTEC HLDGS INC    11,866    Shares      414,935.05        470,130.92  
   TUTOR PERINI CORP    14,070    Shares      260,700.01        180,940.20  
   TWO HBRS INVT CORP    63,180    Shares      956,957.42        923,691.60  
   UMPQUA HLDGS CORP    13,374    Shares      253,920.10        236,719.80  
   UNIVERSAL CORP    4,949    Shares      308,912.20        282,389.94  
   VALVOLINE INC    23,441    Shares      501,923.22        501,871.81  
   VISTRA ENERGY CORP    11,824    Shares      302,731.29        271,833.76  
   WALKER & DUNLOP INC    13,714    Shares      795,830.12        887,021.52  
   WESCO INTL INC    8,558    Shares      467,787.63        508,259.62  
   WORLD FUEL SVCS CORP    23,279    Shares      556,001.73        1,010,774.18  
   WYNDHAM DESTINATIONS INC    7,815    Shares      358,382.11        403,957.35  
   YELP INC    11,831    Shares      398,050.19        412,073.73  
     

 

  

 

  

 

 

    

 

 

 
  

Total Common Stocks

           469,230,709.12        679,323,657.40  
           

 

 

    

 

 

 
   Notes Receivable            

* / **

   Participants    Participant Loans         33,618,334.64        33,618,334.64  
           

 

 

    

 

 

 
            $ 2,118,656,203.14      $ 2,699,920,553.78  
     

 

  

 

  

 

 

    

 

 

 
*

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

**

Interest rates vary from 4.00% to 10.50% on loans maturing through 2029.

 

7


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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

October 27, 2023


Table of Contents

EXHIBIT INDEX

 

Exhibit No.   

Description

23.1    Consent of Independent Registered Public Accounting Firm