Regulatory Filings • Oct 27, 2023
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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, 2017
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, 2017, as filed with the U.S. Securities and Exchange Commission on June 15, 2018 (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 15, 2018. The Report of Independent Registered Public Accounting Firm included in the Amendment is dated June 15, 2018, 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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Ameren Corporation
Savings Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2017 and 2016
Index
| Report of Independent Registered Public Accounting Firm December 31, 2017 and 2016 | 1-2 |
|---|---|
| Financial Statements | |
| Statements of Net Assets Available for Benefits December 31, 2017 and 2016 | 3 |
| Statements of Changes in Net Assets Available for Benefits Years Ended December 31, 2017 and 2016 | 4 |
| Notes to Financial Statements December 31, 2017 and 2016 | 5-15 |
| Supplemental Schedules* | |
| Schedule G, Part III - Schedule of Nonexempt Transactions | 1 |
| Schedule H, Line 4i Schedule of Assets (Held at End of Year) December 31, 2017 | 1-10 |
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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, 2017 and 2016, 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, 2017 and 2016, 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 Plans management. Our responsibility is to express an opinion on the Plans financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting in accordance with the standards of the PCAOB. As part of our audits we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Plans internal control over financial reporting. Accordingly, we express no such opinion in accordance with the standards of the PCAOB.
Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
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Supplemental Information
The supplemental Schedule H, Line 4i Schedule of Assets (Held at End of Year) as of December 31, 2017 and Schedule G, Part III Schedule of Nonexempt Transactions for the year ended December 31, 2017 have been subjected to audit procedures performed in conjunction with the audit of Ameren Corporation Savings Investment Plans financial statements. The supplemental schedules are the responsibility of the Plans 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 Labors 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 Plans auditor since 2014.
Oak Brook, Illinois
June 15, 2018, 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, 2017 and 2016
| 2017 | 2016 | |
|---|---|---|
| Assets | ||
| Investments, at fair value | $ 2,103,516,154 | $ 1,794,642,191 |
| Investments, at contract value | 281,815,710 | 299,821,780 |
| Total investments | 2,385,331,864 | 2,094,463,971 |
| Cash | 3,324,143 | 1,807,150 |
| Receivables | ||
| Notes receivable from participants | 35,190,999 | 34,530,404 |
| Participant contributions | 519,393 | 1,078,010 |
| Employer contributions | 158,771 | 322,437 |
| Dividends and interest | 515,423 | 458,599 |
| Due from brokers for securities sold | 28,383,718 | 6,534,911 |
| Total receivables | 64,768,304 | 42,924,361 |
| Total assets | 2,453,424,311 | 2,139,195,482 |
| Liabilities | ||
| Accrued expenses | 581,193 | 340,926 |
| Due to brokers for securities purchased | 35,116,737 | 14,236,300 |
| Total liabilities | 35,697,930 | 14,577,226 |
| Net assets available for benefits | $ 2,417,726,381 | $ 2,124,618,256 |
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, 2017 and 2016
| 2017 | 2016 | |
|---|---|---|
| Additions: | ||
| Investment income | ||
| Interest and dividends | $ 31,373,733 | $ 22,418,798 |
| Net appreciation in fair value of investments | 310,691,227 | 157,034,429 |
| Total investment income | 342,064,960 | 179,453,227 |
| Interest on notes receivable from participants | 1,462,340 | 1,390,534 |
| Participant contributions | 85,553,891 | 83,371,122 |
| Employer contributions | 30,195,212 | 29,197,593 |
| Total additions | 459,276,403 | 293,412,476 |
| Deductions: | ||
| Benefits paid to participants | 162,432,457 | 131,144,664 |
| Administrative expenses | 3,735,821 | 3,600,394 |
| Total deductions | 166,168,278 | 134,745,058 |
| Net increase | 293,108,125 | 158,667,418 |
| Net assets available for benefits | ||
| Beginning of year | 2,124,618,256 | 1,965,950,838 |
| End of year | $ 2,417,726,381 | $ 2,124,618,256 |
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, 2017 and 2016
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 Participants compensation that he or she elects to contribute to the Plan each year. The amount of Company matching contribution depends on the Participants employment classification, and for contract employees is determined by the collective bargaining agreement with the specific union representing the Participants. The Company also makes true-up Employer Basic Matching Contributions for Participants who contribute the IRS maximum before the end of the year and, as a result, do not receive the full company match. The Employer Additional Matching Contributions are invested in the Ameren Stock Fund.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
The Plan permits catch-up contributions for all employees age 50 and older. Eligible employees could contribute $6,000 in 2017 and 2016, as a catch-up contribution. The Company does not match catch-up contributions.
Participants direct the investment of their contributions and the Employer Basic Matching Contributions to his or her account to any of the investment options available under the Plan, including Company stock. Contributions may be allocated to a single investment option or allocated in increments of one percent to any combination of investment options. Such elections may be changed daily. Although the Employer Additional Matching Contributions are invested in the Ameren Stock Fund, they may be immediately reallocated to other funds at the participants discretion.
Earnings derived from the assets of any investment fund are reinvested in the fund to which they relate. Participants may elect daily to reallocate, by actual dollar or percentage in one percent increments, the value of their accounts between funds. Pending investment of the assets into any investment fund, the Trustee may temporarily make certain short-term investments.
Participant Accounts
Each Participants account is credited with the Participants contributions and an allocation of (a) the Companys contributions, and (b) Plan earnings, and is charged with an allocation of administrative expenses. Allocations are based on Participant contributions, eligible compensation, Participant account balances, or specific Participant transactions, as defined. The benefit to which the Participant is entitled is the benefit which can be provided from the Participants account. Each Participant directs the investment of his or her account to any of the investment options available under the Plan.
Notes Receivable from Participants
The Plan permits Participants to borrow from their accounts within the Plan. Such borrowings may be made subject to the following: (1) the minimum amount of the loan is $1,000, (2) the amount of the loan may not exceed the lesser of $50,000 or 50% of the vested amount in the Participants account, (3) the loan will bear a fixed interest rate and repayments will be made through mutual agreement subject to certain statutory repayment time limits, (4) each loan shall bear a reasonable interest rate as determined under policies established for the Plan and (5) such other rules and regulations as may be adopted by the Company. At December 31, 2017 and 2016, the interest rates on participant loans ranged from 4.00 percent to 10.50 percent.
Vesting
The amounts in Participants accounts, including Company contributions, are fully vested at all times.
Payment of Benefits
The total amount of a Participants account shall be distributed to the Participant according to one of the options as described in the Plan document and as elected by the Participant after termination of employment. All distributions shall be in the form of cash except that Participants may elect to have his or her interest in the Ameren Stock Fund distributed in shares of Ameren common stock. Participants may withdraw certain basic contributions, rollover contributions and related earnings thereon upon reaching age 59 1/2, in the event of total disability or financial hardship as defined by
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
the Plan or the Code. For purposes of distributions, the Participants account value will be determined as of the last business day coincident with or immediately preceding the day of distribution. Contributions to the Plan and investment income thereon are taxable to Participants upon distribution pursuant to the rules provided for under the Plan and the Code.
The Plan also allows, at the discretion of the Company, participants of the former Union Electric Company Employee Stock Ownership Plan and the former Ameren Corporation Employee Stock Ownership Plan for Certain Employees of AmerenCIPS, to receive certain distributions prior to termination of employment.
Plan Termination
The Company intends to continue the Plan indefinitely. However, the Company may at any time and for any reason, subject to ERISA and Internal Revenue Service regulations, suspend or terminate the Plan provided that such action does not retroactively adversely affect the rights of any Participant under the Plan.
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, 2017 and 2016. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 3 for discussion of fair value measurements.
The Plan has direct investments in fully benefit-responsive investment contracts. Investments held by a defined contribution plan are required to be reported at fair value, except for fully benefit-responsive investment contracts. Contract value is the relevant measurement attribute for the portion of the net assets available for benefits of a defined contribution plan attributable to fully benefit-responsive investment contracts because contract value is the amount Participants normally would receive if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
Purchases and sales of securities are recorded on a trade date basis. Interest income is recorded on the accrual basis. Dividend income is recorded on the ex-dividend date. Net appreciation (depreciation) in fair value of investments includes the Plans gains and losses on investments bought and sold as well as held during the year.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
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
Investment securities are exposed to various risks, such as interest rate, market and credit. Due to the level of risk associated with certain investment securities and the level of uncertainty related to changes in the value of investment securities, it is at least reasonably possible that changes in risks in the near term could materially affect the Participants account balances and the amounts reported in the Statement of Net Assets Available for Benefits.
Concentrations
Company common stock comprised 12% and 13% of investments at December 31, 2017 and December 31, 2016, respectively.
The authoritative guidance issued by the FASB regarding fair value measurement provides a framework for measuring fair value for all assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three hierarchy levels:
Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan has the ability to access at the reporting date.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
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 2017 or 2016.
The asset or liabilitys fair value measurement level within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement.
Following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used during 2017.
Margin deposit account: The fair value is estimated to approximate deposit account balances, payable on demand, as no discounts for credit quality or liquidity were determined to be applicable (Level 2 inputs).
Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 inputs).
U.S. government securities and corporate debt securities: Valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities relationship to other benchmark quoted securities (Level 2 inputs).
Other debt securities includes non-U.S. government debt securities, municipal securities, mortgage and asset-backed securities, and derivatives: Non-U.S. government debt securities, municipal securities, and mortgage and asset-backed securities are valued based upon recent bid prices or the average of recent bid and asked prices when available (Level 2 inputs) and, if not available, they are valued through matrix pricing models developed by sources considered by management to be reliable. Matrix pricing, which is a mathematical technique commonly used to price debt securities that are not actively traded, values debt securities without relying exclusively on quoted prices for the specific securities but rather by relying on the securities relationship to other benchmark quoted securities (Level 2 inputs). The fair values of exchange-traded derivatives are based upon quoted market prices (Level 1 inputs). The fair values of derivatives that are not traded on an exchange are based upon valuation models using observable market data as of the measurement date (Level 2 inputs).
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
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, 2017:
| Quoted Prices In Active Markets for Identified Assets (Level 1) | Significant Other Observable Inputs (Level 2) | Total | ||||
|---|---|---|---|---|---|---|
| Assets | ||||||
| Margin deposit account | $ | $ 66,700 | $ | | $ 66,700 | |
| Common stocks-Plan sponsor stock | 283,192,998 | | | 283,192,998 | ||
| Common stocks-other than Plan sponsor stock | 254,470,852 | | | 254,470,852 | ||
| U.S. Government securities | | 20,120,627 | | 20,120,627 | ||
| Corporate debt securities | | 29,168,729 | | 29,168,729 | ||
| Other debt securities | 6,742 | 13,292,371 | | 13,299,113 | ||
| Collective trust funds | | | 1,319,699,694 | 1,319,699,694 | ||
| Mutual funds | 183,498,080 | | | 183,498,080 | ||
| Liabilities | ||||||
| Other debt securities | | (639 | ) | | (639 | ) |
| Total assets reported at fair value | $ 721,168,672 | $ 62,647,788 | $ | 1,319,699,694 | $ 2,103,516,154 |
(a) In accordance with ASU 2015-07, certain investments measured at net asset value (NAV) per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
The following table sets forth, by level within the fair value hierarchy, Plan assets measured at fair value on a recurring basis as of December 31, 2016:
| Quoted Prices In Active Markets for Identified Assets (Level 1) | Total | ||||||
|---|---|---|---|---|---|---|---|
| Assets | |||||||
| Margin deposit account | $ | $ | 100,200 | $ | | $ 100,200 | |
| Common stocks-Plan sponsor stock | 268,844,805 | | | 268,844,805 | |||
| Common stocks-other than Plan sponsor stock | 223,472,836 | | | 223,472,836 | |||
| U.S. Government securities | | 14,157,327 | | 14,157,327 | |||
| Corporate debt securities | | 25,756,145 | | 25,756,145 | |||
| Other debt securities | 1,500 | 5,517,816 | | 5,519,316 | |||
| Collective trust funds | | | 1,088,860,727 | 1,088,860,727 | |||
| Mutual funds | 167,941,974 | | | 167,941,974 | |||
| Liabilities | |||||||
| Other debt securities | (9,930 | ) | (1,209 | ) | | (11,139 | ) |
| Total assets reported at fair value | $ 660,251,185 | $ | 45,530,279 | $ | 1,088,860,727 | $ 1,794,642,191 |
(a) In accordance with ASU 2015-07, certain investments measured at net asset value (NAV) per share (or its equivalent) as a practical expedient have not been classified in the fair value hierarchy. The fair value amount measured at NAV presented in this table is intended to permit reconciliation of the fair value hierarchy to the investments at fair value presented in the statement of net assets available for benefits.
The Plan holds investments in a separately-managed stable value account that is managed by Galliard Capital Management. The separately-managed account holds (1) an investment in a money market mutual fund, and (2) a portfolio of synthetic investment contracts, valued at $281,815,710 and $299,821,780 at December 31, 2017 and December 31, 2016, respectively. The investment contracts meet the fully benefit-responsive investment criteria and therefore are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Participants if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under each contract, plus earnings, less participant withdrawals and administrative expenses.
The investment contracts are issued by the following insurance companies:
American General Life Insurance Company (AGL)
Prudential Insurance Company of America (Prudential)
Voya Retirement Insurance and Annuity Company (Voya)
Massachusetts Mutual Life Insurance Company (Mass Mutual)
Metropolitan Life Insurance Company (Met Life)
The underlying investments of the AGL, Prudential, and Voya contracts are holdings in collective trust funds. The underlying investments of the Mass Mutual and Met Life contracts are holdings in portfolios of fixed income securities, which are segregated from the insurance companys general account assets. The segregation of these assets from the insurance companys general account offers certain protections to mitigate the risk that these assets might be subject to creditor claims other than those of the separate account GIC owners.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
The investment contracts include wrapper contracts, which are agreements for the wrap issuer to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. The contracts are designed to accrue interest based on crediting rates established by the contract issuers, and also provide a guarantee that the credit rate will not fall below zero percent. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in each contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reset at least quarterly.
The Plans ability to receive amounts due in accordance with fully benefit-responsive investment contracts is dependent on the third-party issuers ability to meet its financial obligations. The issuers ability to meet its contractual obligations may be affected by future economic and regulatory developments.
Certain events might limit the ability of the Plan to transact at contract value. Investment contracts generally provide for withdrawals associated with certain events which are not in the ordinary course of operations. These withdrawals are paid with a market value adjustment applied to the withdrawal as defined in the investment contract. Each contract issuer specifies the events which may trigger a market value adjustment; however, such events may include all or a portion of the following:
material amendments to the accounts structure or administration;
changes to the Plans competing investment options including the elimination of equity wash provisions;
complete or partial termination of the investment, including a merger with another investment account;
the failure of the Plan to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA;
the redemption of all or a portion of the interests in the account held by a participating plan at the direction of the participating plan sponsor, including withdrawals due to the removal of a specifically identifiable group of employees from coverage under the participating plan (such as a group layoff or early retirement incentive program), the closing or sale of a subsidiary, employing unit, or affiliate, the bankruptcy or insolvency of a plan sponsor, the merger of the Plan with another plan, or the Plan sponsors establishment of another tax qualified defined contribution plan;
any change in law, regulation, ruling, administrative or judicial position, or accounting requirement, applicable to the account or participating plans;
the delivery of any communication to Participants designed to influence a participant not to invest in the investment option;
the addition of an Asset Allocation or Managed Account service without prior approval, or a material change in an existing program;
the distribution of a prohibited communication.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
No events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuers and that also would limit the ability of the Plan to transact at contract value with the Participants.
These contracts are evergreen contracts and contain termination provisions, allowing the contract issuer to terminate with notice, at any time at fair value, and providing for automatic termination of the contract if the contract value or the fair value of the underlying portfolio equals zero. The issuer is obligated to pay the excess contract value when the fair value is below contract value at the time of termination. In addition, if the Company defaults in its obligations under the contract (including the issuers determination that the agreement constitutes a non-exempt prohibited transaction as defined under ERISA), and such default is not corrected within the time permitted by the contract, then the contract may be terminated by the issuer and the Plan will receive the fair value as of the date of termination.
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, 2017, the Plan held 4,800,695 shares of Company common stock with a cost and fair value of $194,108,887 and $283,192,998, respectively. During 2017, the Plan purchased 734,900 shares at a cost of $41,768,247 and sold 1,058,963 shares valued at $59,847,989.
At December 31, 2016, the Plan held 5,124,758 shares of Company common stock with a cost and fair value of $193,417,367 and $268,844,805, respectively. During 2016, the Plan purchased 772,300 shares at a cost of $37,758,809 and sold 899,300 shares valued at $43,880,275.
Dividend income from Company common stock was $8,650,773 and $8,808,189 for the years ended December 31, 2017 and December 31, 2016, respectively.
At December 31, 2017 and December 31, 2016, 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 and trust services were $908,576 and $1,118,005 for the years ended December 31, 2017 and December 31, 2016, respectively.
Fees paid to and investments issued by various Plan investment managers also reflect party-in-interest transactions.
These transactions are allowable party-in-interest transactions under Section 408(b)(8) of ERISA.
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Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
The following is a reconciliation of net assets available for benefits per the financial statements to the Form 5500 at December 31, 2017 and 2016:
| Net assets available for benefits per the financial statements | 2017 — $ 2,417,726,381 | $ | 2,124,618,256 | |
|---|---|---|---|---|
| Amounts allocated to deemed distributions of notes receivable from Participants | (1,364,562 | ) | (1,343,400 | ) |
| Adjustment from contract value to fair value for fully benefit-responsive investment | ||||
| contracts | (711,990 | ) | (646,579 | ) |
| Net assets available for benefits per the Form 5500 | $ 2,415,649,829 | $ | 2,122,628,277 |
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, 2017:
| Net increase in net assets available for benefits per the financial statements | $ | |
|---|---|---|
| Add: Adjustment from contract value to fair value for fully benefit-responsive investment | ||
| contracts as of the current year-end | (711,990 | ) |
| Less: Adjustment from contract value to fair value for fully benefit-responsive investment | ||
| contracts as of the prior year-end | 646,579 | |
| Add: Net decrease in defaulted notes receivable from Participants | 81,292 | |
| Less: Interest income of defaulted notes receivable from Participants | (102,454 | ) |
| Total net income per the Form 5500 | $ 293,021,552 |
The Company obtained a determination letter September 18, 2013, in which the Internal Revenue Service stated that the Plan was in compliance with the applicable requirements of the Code. Although the Plan has been amended since receiving this determination letter, the Plans administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code. See Note 8 Subsequent Events, which states that the Company received its most recent determination letter on January 12, 2018.
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
14
Table of Contents
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2017 and 2016
Plan, and has concluded that as of December 31, 2017 and 2016, 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 2014.
The Plan was amended effective January 1, 2018, to apply provisions of a 2017 union labor contract negotiation.
The Company received its most recent determination letter on January 12, 2018.
15
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE G, PART III - Schedule of Nonexempt Transactions
For the year ended December 31, 2017
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 2017 plan year was $173,447 - VFCP filed | $ 173,447 | $ 85,388 |
1
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
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 | 11,365,135 | 11,365,135 | |
| FUTURES CASH COLLATERAL | 48,000.00 Shares | 48,000 | 48,000 | |
| SWAP COLLATERAL USD | 18,700.00 Shares | 18,700 | 18,700 | |
| Total Interest-bearing Cash | 11,431,835 | 11,431,835 | ||
| Mutual Funds | ||||
| American Funds Group | EuroPacific Growth Fund | 97,883,600 | 127,940,721 | |
| Sands Capital Management | Touchstone Sands Capital Institutional Growth Fund | 39,617,721 | 42,609,879 | |
| * | Fidelity Management Trust Company | Fidelity Institutional Money Market Government Portfolio | 12,947,480 | 12,947,480 |
| Total Mutual Funds | 150,448,801 | 183,498,080 | ||
| Collective Investment Trusts | ||||
| Robeco Trust Company | Boston Partners Large Cap Value Equity Fund E | 58,575,364 | 84,851,768 | |
| Nuveen Fund Advisors | NWQ Small/Mid Cap Value Fund J | 52,420,512 | 84,480,800 | |
| Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund F | 72,647,827 | 76,228,492 | |
| Wells Fargo Bank, N.A. | Wells Fargo Fixed Income Fund L | 97,096,951 | 100,415,571 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock Equity Index Fund M | 227,500,884 | 295,546,218 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock Russell 2500 Fund M | 137,712,198 | 176,176,488 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2020 Fund L | 83,161,724 | 93,670,373 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2025 Fund L | 91,823,791 | 105,219,271 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2030 Fund L | 61,792,834 | 72,572,730 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock MSCI ACWI ex-US IMI Index Fund | |||
| M | 76,767,364 | 97,272,356 | ||
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index Retirement Fund L | 31,416,045 | 34,830,799 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock US Debt Index Fund M | 72,405,097 | 73,702,768 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2035 Fund L | 33,671,167 | 40,395,580 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2040 Fund L | 33,083,506 | 40,054,168 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2045 Fund L | 30,725,331 | 37,660,693 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2050 Fund L | 27,242,053 | 33,343,382 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock TIPS Bond Index Fund M | 17,406,120 | 17,812,022 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2055 Fund L | 15,102,515 | 18,284,787 | |
| BlackRock Institutional Trust Company, N.A. | BlackRock LifePath Index 2060 Fund L | 2,263,098 | 2,460,356 | |
| Total Collective Investment Trusts | 1,222,814,381 | 1,484,978,622 | ||
| Pooled Separate Account | ||||
| Massachusetts Mutual Life Ins. Co. | Separate Account #SB56 | 37,231,301 | 37,232,881 | |
| Insurance Company Separate Accounts | ||||
| Metropolitan Life Ins Co. | Separate Account #690 | 23,955,127 | 25,173,309 | |
| Metropolitan Life Ins Co. | Separate Account #694 | 40,968,295 | 42,053,467 | |
| Total Insurance Company Separate Accounts | 64,923,422 | 67,226,776 | ||
| Common Stocks | ||||
| * | Ameren Corporation | 4,800,695 Shares | 194,108,887 | 283,192,998 |
| BROADCOM LTD | 2,989 Shares | 707,003 | 767,874 | |
| TENCENT HOLDINGS LTD | 46,932 Shares | 827,256 | 2,438,853 | |
| ALLERGAN PLC | 6,462 Shares | 1,671,871 | 1,057,054 | |
| ABBOTT LABORATORIES | 20,218 Shares | 869,770 | 1,153,841 | |
| ABBVIE INC | 10,933 Shares | 984,928 | 1,057,330 | |
| ACTIVISION BLIZZARD INC | 14,046 Shares | 700,750 | 889,393 | |
| ADOBE SYSTEMS INC | 11,726 Shares | 706,710 | 2,054,864 | |
| ALBEMARLE CORP | 7,862 Shares | 717,141 | 1,005,471 | |
| ALEXION PHARMACEUTICALS | 6,688 Shares | 929,027 | 799,818 |
1
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| ALIBABA GROUP HLD SPON AD | 15,478 Shares | 1,287,142 | 2,668,872 |
| ALPHABET INC CL C | 2,356 Shares | 1,064,436 | 2,465,318 |
| ALPHABET INC CL A | 1,991 Shares | 806,651 | 2,097,319 |
| AMAZON.COM INC | 3,260 Shares | 962,975 | 3,812,472 |
| APPLE INC | 19,663 Shares | 1,888,395 | 3,327,569 |
| BIOMARIN PHARMACEUTICAL | 10,960 Shares | 867,911 | 977,303 |
| BOEING CO | 7,616 Shares | 810,624 | 2,246,035 |
| BRISTOL-MYERS SQUIBB CO | 27,041 Shares | 1,470,954 | 1,657,072 |
| CELGENE CORP | 11,733 Shares | 1,167,391 | 1,224,456 |
| CHARTER COMM INC A | 2,771 Shares | 854,790 | 930,945 |
| CONCHO RESOURCES INC | 6,459 Shares | 554,889 | 970,271 |
| CONSTELLATION BRANDS CL A | 3,836 Shares | 662,472 | 876,795 |
| CORNING INC | 8,006 Shares | 253,400 | 256,112 |
| COSTCO WHOLESALE CORP | 7,642 Shares | 1,018,884 | 1,422,329 |
| CROWN CASTLE INTL CORP | 3,928 Shares | 382,816 | 436,047 |
| EOG RESOURCES INC | 11,543 Shares | 894,937 | 1,245,605 |
| FACEBOOK INC A | 20,170 Shares | 782,975 | 3,559,198 |
| FLEETCOR TECHNOLOGIES INC | 5,755 Shares | 763,314 | 1,107,435 |
| GOLDMAN SACHS GROUP INC | 5,984 Shares | 996,724 | 1,524,484 |
| ADIDAS AG | 964 Shares | 153,108 | 193,335 |
| HALLIBURTON CO | 28,090 Shares | 1,279,905 | 1,372,758 |
| HOME DEPOT INC | 9,885 Shares | 1,428,656 | 1,873,504 |
| ILLUMINA INC | 3,899 Shares | 361,776 | 851,893 |
| JPMORGAN CHASE & CO | 7,100 Shares | 565,231 | 759,274 |
| KERING UNSPONSORED ADR | 22,185 Shares | 968,663 | 1,044,248 |
| ESTEE LAUDER COS INC CL A | 9,910 Shares | 1,111,917 | 1,260,948 |
| MARRIOTT INTL INC A | 14,035 Shares | 868,976 | 1,904,971 |
| MASTERCARD INC CL A | 18,382 Shares | 937,985 | 2,782,300 |
| MICROSOFT CORP | 32,302 Shares | 1,775,016 | 2,763,113 |
| MONDELEZ INTL INC | 19,578 Shares | 656,222 | 837,938 |
| MONSTER BEVERAGE CORP | 20,084 Shares | 1,017,584 | 1,271,116 |
| NETFLIX INC | 14,584 Shares | 1,175,916 | 2,799,545 |
| NIKE INC CL B | 26,457 Shares | 812,403 | 1,654,885 |
| NVIDIA CORP | 7,430 Shares | 372,761 | 1,437,705 |
| PARKER HANNIFIN CORP | 8,892 Shares | 1,394,389 | 1,774,665 |
| PAYPAL HLDGS INC | 11,284 Shares | 795,522 | 830,728 |
| PRICELINE GROUP INC | 742 Shares | 583,170 | 1,289,403 |
| QUALCOMM INC | 12,647 Shares | 754,372 | 809,661 |
| RED HAT INC | 11,059 Shares | 596,158 | 1,328,186 |
| S&P GLOBAL INC | 5,345 Shares | 473,034 | 905,443 |
| SALESFORCE.COM INC | 20,810 Shares | 1,115,063 | 2,127,406 |
| SPLUNK INC | 9,200 Shares | 385,245 | 762,128 |
| TESLA INC | 2,140 Shares | 480,810 | 666,289 |
| TIME WARNER INC | 7,627 Shares | 662,393 | 697,642 |
| UNITEDHEALTH GROUP INC | 5,731 Shares | 1,076,702 | 1,263,456 |
| VERTEX PHARMACEUTICALS | 7,014 Shares | 772,343 | 1,051,118 |
| VISA INC CL A | 23,190 Shares | 988,633 | 2,644,124 |
| WORKDAY INC CL A | 8,098 Shares | 560,883 | 823,891 |
| WILLIS TOWERS WATSON PLC | 17,677 Shares | 2,032,227 | 2,663,747 |
| BROADCOM LTD | 13,374 Shares | 1,802,199 | 3,435,781 |
| JOHNSON CONTROLS INTERNAT | 60,852 Shares | 2,858,213 | 2,319,070 |
| ARRIS INTERNATIONAL PLC | 25,153 Shares | 600,091 | 646,181 |
| AERCAP HOLDINGS NV | 33,414 Shares | 978,690 | 1,757,911 |
| SUNCOR ENERGY INC | 81,304 Shares | 1,884,912 | 2,985,483 |
| TE CONNECTIVITY LTD | 35,222 Shares | 1,929,565 | 3,347,499 |
2
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| AFLAC INC | 35,609 Shares | 2,066,708 | 3,125,758 |
| AECOM | 26,562 Shares | 696,518 | 986,778 |
| AETNA INC | 19,470 Shares | 2,000,548 | 3,512,193 |
| AFFILIATED MANAGERS GRP | 9,689 Shares | 1,566,130 | 1,988,667 |
| AMERIPRISE FINANCIAL INC | 22,983 Shares | 2,082,143 | 3,894,929 |
| ANTHEM INC | 15,503 Shares | 1,998,116 | 3,488,330 |
| ASSURANT INC | 11,241 Shares | 896,073 | 1,133,542 |
| AVIS BUDGET GROUP | 16,973 Shares | 429,062 | 744,775 |
| CELANESE CORP SER A | 25,909 Shares | 1,665,313 | 2,774,336 |
| COMMSCOPE HOLDING CO INC | 32,480 Shares | 1,028,124 | 1,228,718 |
| CORNING INC | 103,184 Shares | 1,932,013 | 3,300,856 |
| FLEX LTD | 97,627 Shares | 1,635,813 | 1,756,310 |
| EOG RESOURCES INC | 25,929 Shares | 1,835,162 | 2,797,998 |
| GOODYEAR TIRE & RUBBER CO | 45,123 Shares | 1,276,328 | 1,457,924 |
| HCA HEALTHCARE INC | 36,188 Shares | 2,801,843 | 3,178,754 |
| HERTZ GLOBAL HOLDINGS INC | 18,130 Shares | 657,114 | 400,673 |
| LIBERTY INTERACTIVE CL A | 78,697 Shares | 1,986,838 | 1,921,781 |
| LINCOLN NATIONAL CORP | 39,443 Shares | 1,694,498 | 3,031,983 |
| MICROSEMI CORP | 17,824 Shares | 680,172 | 920,610 |
| NCR CORP | 28,310 Shares | 614,296 | 962,257 |
| NATIONAL OILWELL VARCO | 63,110 Shares | 1,784,669 | 2,273,222 |
| OWENS ILLINOIS INC | 28,128 Shares | 358,702 | 623,598 |
| TENNECO INC | 9,926 Shares | 370,844 | 581,068 |
| WESTERN DIGITAL CORP | 34,866 Shares | 1,701,541 | 2,772,893 |
| WESTERN UNION CO | 87,117 Shares | 1,520,598 | 1,656,094 |
| WHIRLPOOL CORP | 12,128 Shares | 2,272,093 | 2,045,266 |
| SHOPIFY INC CL A (US) | 2,393 Shares | 156,784 | 241,693 |
| MIMECAST LTD | 27,876 Shares | 758,143 | 799,205 |
| NORWEGIAN CRUISE LINE HLG | 17,197 Shares | 892,076 | 915,740 |
| AERIE PHARMACEUTICALS INC | 9,634 Shares | 554,428 | 575,632 |
| AMETEK INC NEW | 15,061 Shares | 776,721 | 1,091,471 |
| BLUEBIRD BIO INC | 3,472 Shares | 345,990 | 618,363 |
| BORGWARNER INC | 11,053 Shares | 576,200 | 564,698 |
| BRINKS CO | 9,847 Shares | 728,891 | 774,959 |
| CELANESE CORP SER A | 3,552 Shares | 344,585 | 380,348 |
| CHEGG INC | 41,755 Shares | 615,204 | 681,442 |
| CHEMOURS CO/ THE | 13,910 Shares | 584,398 | 696,335 |
| COGNEX CORP | 8,614 Shares | 295,805 | 526,832 |
| COHERENT INC | 1,467 Shares | 182,322 | 414,017 |
| COMERICA INC | 12,680 Shares | 872,166 | 1,100,751 |
| COSTAR GROUP INC | 1,867 Shares | 475,135 | 554,406 |
| CREE INC | 7,582 Shares | 264,704 | 281,595 |
| DR HORTON INC | 18,572 Shares | 673,289 | 948,472 |
| DARDEN RESTAURANTS INC | 3,741 Shares | 306,512 | 359,211 |
| DIAMONDBACK ENERGY INC | 8,464 Shares | 872,629 | 1,068,580 |
| E TRADE FINANCIAL CORP | 19,428 Shares | 846,197 | 963,046 |
| EAST WEST BANCORP INC | 10,472 Shares | 575,566 | 637,012 |
| FLIR SYSTEMS INC | 11,685 Shares | 534,888 | 544,755 |
| FMC CORP NEW | 14,744 Shares | 1,100,655 | 1,395,667 |
| FIRST SOLAR INC | 5,230 Shares | 311,743 | 353,130 |
| FIVE9 INC | 19,215 Shares | 258,359 | 478,069 |
| FLOOR & DECOR HLDGS CL A | 5,319 Shares | 226,537 | 258,929 |
| G-III APPAREL GROUP LTD | 23,243 Shares | 681,416 | 857,434 |
| GRUBHUB INC | 10,190 Shares | 529,372 | 731,642 |
| GUESS INC | 36,435 Shares | 613,218 | 615,023 |
3
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| IAC/INTERACTIVECORP | 3,953 Shares | 389,735 | 483,373 |
| IPG PHOTONICS CORP | 3,078 Shares | 414,100 | 659,092 |
| INSULET CORP | 5,270 Shares | 305,941 | 363,630 |
| INTER PARFUMS INC | 10,338 Shares | 343,646 | 449,186 |
| JOHN BEAN TECH CORP | 3,616 Shares | 317,435 | 400,653 |
| KENNAMETAL INC | 6,679 Shares | 287,150 | 323,330 |
| LULULEMON ATHLETICA INC | 4,503 Shares | 333,531 | 353,891 |
| LUMBER LIQUIDATORS HLDNGS | 7,258 Shares | 260,461 | 227,829 |
| MKS INSTRUMENTS INC | 7,435 Shares | 475,602 | 702,608 |
| MELCO RESORTS & ENTERTAIN | 23,895 Shares | 649,965 | 693,911 |
| MIDDLEBY CORP | 4,544 Shares | 581,675 | 613,213 |
| MOHAWK INDUSTRIES INC | 2,193 Shares | 472,914 | 605,049 |
| NEKTAR THERAPEUTICS | 5,989 Shares | 190,672 | 357,663 |
| NEUROCRINE BIOSCIENCES | 4,754 Shares | 337,272 | 368,863 |
| OLIN CORP | 6,835 Shares | 247,078 | 243,189 |
| ON ASSIGNMENT INC | 5,897 Shares | 289,301 | 379,000 |
| OWENS CORNING INC | 5,376 Shares | 411,219 | 494,269 |
| POLARIS INDUSTRIES INC | 4,563 Shares | 536,270 | 565,766 |
| RADIAN GROUP INC | 28,792 Shares | 596,280 | 593,403 |
| RINGCENTRAL INC CL A | 13,693 Shares | 311,269 | 662,741 |
| SVB FINL GROUP | 2,493 Shares | 544,459 | 582,789 |
| SANTANDER CONSMR USA HLDG | 32,675 Shares | 546,196 | 608,409 |
| SERVICENOW INC | 3,595 Shares | 203,311 | 468,752 |
| SKECHERS USA INC CL A | 18,149 Shares | 609,491 | 686,758 |
| SPLUNK INC | 4,390 Shares | 356,118 | 363,668 |
| SQUARE INC CL A | 16,357 Shares | 207,353 | 567,097 |
| STEEL DYNAMICS INC | 11,332 Shares | 439,961 | 488,749 |
| TAKE-TWO INTERACTV SOFTWR | 2,264 Shares | 120,486 | 248,542 |
| TELADOC INC | 23,366 Shares | 784,874 | 814,305 |
| TERADYNE INC | 24,109 Shares | 821,833 | 1,009,444 |
| TEREX CORP | 10,060 Shares | 335,706 | 485,093 |
| TRACTOR SUPPLY CO. | 2,740 Shares | 198,975 | 204,815 |
| TRANSUNION | 8,592 Shares | 320,096 | 472,216 |
| TRIMBLE INC | 15,962 Shares | 474,570 | 648,696 |
| 2U INC | 12,255 Shares | 516,356 | 790,570 |
| US CONCRETE INC C NEW | 6,242 Shares | 366,780 | 522,143 |
| UNIVERSAL DISPLAY CORP | 12,234 Shares | 816,330 | 2,112,200 |
| VAIL RESORTS INC | 3,148 Shares | 454,673 | 668,856 |
| VOCERA COMMUNICATIONS INC | 25,372 Shares | 444,646 | 766,742 |
| WABCO HOLDINGS INC | 6,406 Shares | 798,955 | 919,261 |
| WELLCARE HEALTH PLANS INC | 5,138 Shares | 510,260 | 1,033,303 |
| WYNN RESORTS LTD | 5,029 Shares | 592,837 | 847,839 |
| YUM CHINA HOLDINGS INC | 13,565 Shares | 488,255 | 542,871 |
| ZEBRA TECH CORP CL A | 5,597 Shares | 594,200 | 580,969 |
| ZIONS BANCORP | 19,371 Shares | 748,959 | 984,628 |
| HORIZON PHARMA PLC | 53,900 Shares | 674,466 | 786,940 |
| OM ASSET MANAGEMENT PLC | 23,207 Shares | 396,691 | 388,717 |
| AXALTA COATING SYS LTD | 18,200 Shares | 517,493 | 588,952 |
| FIRSTSERVICE CORP (US) | 7,705 Shares | 176,765 | 538,734 |
| ENCOMPASS HEALTH CORP | 16,086 Shares | 572,276 | 794,809 |
| ABIOMED INC | 4,530 Shares | 313,724 | 848,967 |
| ADTALEM GLOBAL EDUCATION | 20,767 Shares | 492,539 | 873,252 |
| AFFILIATED MANAGERS GRP | 3,312 Shares | 488,690 | 679,788 |
| ARISTA NETWORKS INC | 2,679 Shares | 205,985 | 631,119 |
| BWX TECHNOLOGIES INC | 25,681 Shares | 1,027,009 | 1,553,444 |
4
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| BALL CORP | 27,310 Shares | 1,021,834 | 1,033,684 |
| BANK OF THE OZARKS INC | 20,620 Shares | 890,036 | 999,039 |
| BOOZ ALLEN HAMILTON CL A | 27,733 Shares | 691,039 | 1,057,459 |
| CBOE GLOBAL MARKETS INC | 6,290 Shares | 252,192 | 783,671 |
| CSRA INC | 16,900 Shares | 471,621 | 505,648 |
| CABLE ONE INC W/I | 450 Shares | 212,769 | 316,508 |
| CAMBREX CORP | 14,692 Shares | 701,134 | 705,216 |
| CARRIZO OIL & GAS INC | 9,190 Shares | 418,612 | 195,563 |
| CELANESE CORP SER A | 8,670 Shares | 444,563 | 928,384 |
| CHARLES RIVER LABS INTL | 7,810 Shares | 858,700 | 854,805 |
| COHERENT INC | 2,050 Shares | 522,606 | 578,551 |
| COLLIERS INTL GRP INC | 160 Shares | 5,853 | 9,657 |
| COLLIERS INTL GROUP (US) | 6,054 Shares | 164,523 | 365,359 |
| COPART INC | 40,640 Shares | 1,084,133 | 1,755,242 |
| COSTAR GROUP INC | 4,932 Shares | 662,703 | 1,464,557 |
| DEXCOM INC | 11,270 Shares | 694,842 | 646,785 |
| DIAMONDBACK ENERGY INC | 5,650 Shares | 425,525 | 713,313 |
| DOMINOS PIZZA INC | 6,590 Shares | 1,281,181 | 1,245,246 |
| DUN & BRADSTREET DEL NEW | 3,887 Shares | 444,470 | 460,260 |
| EAST WEST BANCORP INC | 6,850 Shares | 386,387 | 416,686 |
| ENCORE CAP GROUP INC | 14,439 Shares | 506,430 | 607,882 |
| EURONET WORLDWIDE INC | 7,890 Shares | 667,893 | 664,890 |
| EXACT SCIENCES CORP | 9,879 Shares | 123,479 | 519,043 |
| FIRSTCASH INC | 11,011 Shares | 548,580 | 742,692 |
| FIRSTSERVICE CORP | 120 Shares | 5,710 | 8,394 |
| GLAUKOS CORP | 11,522 Shares | 380,366 | 295,539 |
| GRAND CANYON EDUCATION | 10,450 Shares | 705,244 | 935,589 |
| GUIDEWIRE SOFTWARE INC | 13,702 Shares | 581,480 | 1,017,511 |
| HEICO CORP CL A | 10,257 Shares | 451,146 | 810,816 |
| HEXCEL CORPORATION | 12,930 Shares | 544,355 | 799,721 |
| HILTON GRAND VACATIONS | 19,317 Shares | 756,878 | 810,348 |
| IDEXX LABS INC | 3,596 Shares | 411,882 | 562,342 |
| ISHARES RUSSEL MIDCP GRWT | 2,940 Shares | 335,022 | 354,682 |
| ISHARES RUSSELL 2000 GR E | 6,950 Shares | 1,223,742 | 1,297,565 |
| JONES LANG LASALLE INC | 5,017 Shares | 560,321 | 747,182 |
| J2 GLOBAL INC | 6,816 Shares | 357,035 | 511,404 |
| LIGAND PHARMACEUTICALS | 7,466 Shares | 577,452 | 1,022,319 |
| LIVE NATION ENTERTAINMENT | 18,800 Shares | 704,485 | 800,316 |
| MARTIN MARIETTA MATERIALS | 5,180 Shares | 969,101 | 1,144,987 |
| MAXLINEAR INC | 23,114 Shares | 585,950 | 610,672 |
| MAXIMUS INC | 12,820 Shares | 712,863 | 917,656 |
| MICHAELS COS INC | 34,854 Shares | 746,532 | 843,118 |
| MIDDLEBY CORP | 7,924 Shares | 790,458 | 1,069,344 |
| NATIONAL INSTRUMENT CORP | 14,235 Shares | 519,581 | 592,603 |
| NICE LTD SPON ADR | 4,730 Shares | 415,803 | 434,734 |
| NU SKIN ENTERPRISES CL A | 4,817 Shares | 209,986 | 328,664 |
| REPLIGEN | 10,595 Shares | 341,286 | 384,387 |
| ROGERS CORP | 6,380 Shares | 948,309 | 1,033,050 |
| SITEONE LANDSCAPE SUPPLY | 8,350 Shares | 281,561 | 640,445 |
| SIX FLAGS ENTERTAINMENT | 19,440 Shares | 837,279 | 1,294,121 |
| TAKE-TWO INTERACTV SOFTWR | 8,000 Shares | 333,171 | 878,240 |
| TELEDYNE TECHNOLOGIES INC | 4,480 Shares | 819,605 | 811,552 |
| TORO CO | 6,351 Shares | 220,142 | 414,276 |
| TRACTOR SUPPLY CO. | 8,930 Shares | 617,863 | 667,518 |
| TRANSUNION | 16,120 Shares | 612,237 | 885,955 |
5
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| 2U INC | 12,248 Shares | 247,146 | 790,118 |
| UNIVERSAL ELECTRONICS INC | 10,050 Shares | 668,877 | 474,863 |
| VAIL RESORTS INC | 2,530 Shares | 411,876 | 537,549 |
| VANTIV INC | 14,019 Shares | 483,111 | 1,031,097 |
| VEEVA SYS INC CL A | 12,470 Shares | 438,097 | 689,342 |
| VIRTU FINANCIAL INC CL A | 21,604 Shares | 438,795 | 395,352 |
| WEST PHARMACEUTICAL SVCS | 5,870 Shares | 534,760 | 579,192 |
| WEX INC | 7,780 Shares | 871,950 | 1,098,768 |
| YELP INC | 18,590 Shares | 809,738 | 780,035 |
| Total Common Stocks | 370,286,082 | 537,663,850 | |
| U.S. Government Securities | |||
| USTN 1.75% 09/30/22 | 3,490,000 Shares | 3,441,576 | 3,419,645 |
| FHLG 30YR 3% 03/45#G08631 | 820,000 Shares | 600,721 | 602,460 |
| FHLG 30YR 3.5% 11/47#G08788 | 600,000 Shares | 610,674 | 612,333 |
| FHLG 30YR 3% 06/46#Q41083 | 1,000,000 Shares | 928,333 | 922,656 |
| FNMA 30YR 3% 02/48 #TBA | 965,000 Shares | 959,421 | 964,024 |
| FNMA 30YR 3.5% 02/48 #TBA | 3,235,000 Shares | 3,305,766 | 3,317,429 |
| FNMA 30YR 4% 02/48 #TBA | 1,390,000 Shares | 1,447,880 | 1,451,982 |
| FNMA 30YR 4.5% 02/48 #TBA | 1,015,000 Shares | 1,076,217 | 1,078,644 |
| FNMA 30YR 4% 03/45#AS4630 | 790,000 Shares | 431,534 | 425,638 |
| FNMA 30YR 4.0% 07/45#AS5380 | 870,000 Shares | 565,589 | 554,277 |
| FNMA 3.5% 09/45#AS5722 | 335,000 Shares | 245,419 | 240,793 |
| FNMA 30YR 3.5% 05/46#AS7245 | 335,000 Shares | 290,406 | 282,108 |
| FNMA 30YR 3.5% 06/46#AS7348 | 680,000 Shares | 585,058 | 582,453 |
| FNMA 30YR 3.5% 07/46#AS7544 | 1,140,000 Shares | 1,047,922 | 1,054,917 |
| FNMA 30YR 3% 08/46#AS7737 | 670,000 Shares | 643,030 | 620,219 |
| FANNIEMAE 30YR 3% 10/46#AS8186 | 675,000 Shares | 648,776 | 627,525 |
| FNMA 30YR 3.0% 5/43#AT2722 | 525,000 Shares | 341,936 | 329,708 |
| FNMA 30YR 4.0% 12/01/44#AX4873 | 652,928 Shares | 378,930 | 374,255 |
| FNMA 5.00% 5/38 #983077 | 3,730,000 Shares | 213,863 | 209,833 |
| FNMA 30YR 3.5% 01/01/45#MA2163 | 800,000 Shares | 512,083 | 510,040 |
| FNMA 30YR 4% 12/01/45#MA2484 | 755,000 Shares | 570,062 | 559,307 |
| FNMA 30YR 3% 11/46#MA2806 | 235,000 Shares | 225,019 | 218,747 |
| FNMA 30YR 4% 11/46#MA2808 | 660,000 Shares | 563,105 | 564,718 |
| FNMA 30YR 4% 07/47#MA3058 | 600,000 Shares | 597,350 | 596,917 |
| Total U.S. Government Securities | 20,230,669 | 20,120,627 | |
| Corporate debt securities | |||
| TELENET FINANCE 5.5% 1/28 144A | 200,000 Shares | 200,000 | 199,500 |
| UBS 7.125 PERP-20 AT1 7% | 200,000 Shares | 210,500 | 212,360 |
| AFLAC INC 6.45% 8/15/40 | 61,000 Shares | 76,431 | 83,536 |
| AT&T INC 3.8% 03/15/22 | 490,000 Shares | 502,404 | 506,347 |
| AGRIUM INC 3.375% 03/15/25 | 200,000 Shares | 194,888 | 200,880 |
| AIRBUS SE 3.15% 04/10/27 144A | 350,000 Shares | 352,796 | 351,004 |
| ALLSTATE CORP 5.75 8/53 | 175,000 Shares | 189,870 | 190,925 |
| ALTRIA GROUP INC 2.85% 8/09/22 | 150,000 Shares | 148,557 | 150,964 |
| AMERICAN AXLE 6.625% 10/15/22 | 100,000 Shares | 103,690 | 103,750 |
| AMERICAN EXPRESS 5.2% VAR PERP | 185,000 Shares | 187,334 | 190,088 |
| AMERICAN TOWER CORP 5% 2/24 | 195,000 Shares | 211,123 | 213,555 |
| ANHEUSER-BUSCH 3.65% 2/1/26 | 300,000 Shares | 309,990 | 309,516 |
| APPLE INC 3.85% 5/4/43 | 150,000 Shares | 136,974 | 155,703 |
| ASHTEAD CAP 4.125% 8/25 144A | 30,000 Shares | 30,000 | 30,300 |
| AUTONATION INC 4.5% 10/01/25 | 175,000 Shares | 185,115 | 183,104 |
| BAE SYSTEMS 3.85% 12/25 144A | 135,000 Shares | 133,407 | 139,968 |
6
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| BNP PARIBAS VR 7.375% PRP 144A | 200,000 Shares | 225,500 | 231,000 |
| BNP PARIBAS 4.375 5/12/26 144A | 300,000 Shares | 304,305 | 313,618 |
| BP CAPITAL MKTS 2.52% 9/19/22 | 160,000 Shares | 160,000 | 159,183 |
| BAKER HUG 2.773% 12/15/22 144A | 185,000 Shares | 185,000 | 184,732 |
| BANCO SANTANDER SA 3.8% 02/28 | 200,000 Shares | 199,078 | 199,967 |
| BANK OF AMR CORP 6.3% VAR PERP | 140,000 Shares | 145,832 | 158,200 |
| BANK AMER FDG CORP 4% 04/01/24 | 238,000 Shares | 247,773 | 251,545 |
| BANK AMER CORP 4.25% 10/22/26 | 105,000 Shares | 105,044 | 110,623 |
| BOA 3.419%/VAR 12/20/28 144A | 567,000 Shares | 565,978 | 566,947 |
| BANK NEW YORK 4.950/ VAR PERP | 120,000 Shares | 125,013 | 124,206 |
| BARCLAYSPLC 3.65% 03/16/25 | 310,000 Shares | 304,264 | 309,447 |
| BED BATH & BEYOND 5.165% 08/44 | 175,000 Shares | 160,477 | 153,824 |
| BUNGE LTD FIN 3.25% 8/15/26 | 225,000 Shares | 222,952 | 214,967 |
| COMMUNITY HLTH 5.125 8/21 | 175,000 Shares | 175,156 | 157,500 |
| CNA FINANCIAL CORP 3.45% 08/27 | 185,000 Shares | 184,932 | 182,255 |
| CAPITAL ONE FIN PERP | 180,000 Shares | 184,894 | 186,300 |
| CAPITAL ONE BK 3.375% 2/15/23 | 245,000 Shares | 244,329 | 247,383 |
| CHEMOURS CO 5.375% 05/15/2027 | 85,000 Shares | 85,725 | 87,975 |
| CHENIERE CORPUS 5.125% 06/27 | 60,000 Shares | 60,263 | 62,064 |
| CITIGROUP INC 4.5% 1/14/22 | 320,000 Shares | 345,442 | 340,365 |
| CITIGROUP INC 3.75% 06/16/24 | 145,000 Shares | 149,828 | 150,368 |
| CITIGROUP 4.3% 11/26 | 210,000 Shares | 212,691 | 219,542 |
| CITIGROUP INC 6.25%/VAR PERP | 110,000 Shares | 114,659 | 121,330 |
| CITIGROUP 3.2% 10/21/26 | 155,000 Shares | 149,030 | 153,746 |
| COMCAST CORP 6.4% 5/15/38 | 140,000 Shares | 179,357 | 188,920 |
| CONOCOPHILLIPS 6.5% 2/01/39 | 70,000 Shares | 88,362 | 97,889 |
| CONSTELATION ENERGY5.15% 12/20 | 125,000 Shares | 138,075 | 133,095 |
| RABOBK NEDERLND 3.95% 11/09/22 | 320,000 Shares | 335,853 | 333,587 |
| CROWN CASTLE 3.7% 6/15/26 | 90,000 Shares | 89,726 | 89,915 |
| CUMMINS INC 4.875% 10/01/43 | 120,000 Shares | 132,666 | 143,736 |
| DEERE JOHN CAPIT 2.65% 6/24/24 | 315,000 Shares | 315,287 | 311,933 |
| DEUTSCHE AG NY 4.875/VAR 12/32 | 280,000 Shares | 279,933 | 277,312 |
| DISCOVER FIN SV 5.2% 4/22 | 140,000 Shares | 154,098 | 150,673 |
| DOMTAR CORP 6.75% 02/15/44 | 130,000 Shares | 141,254 | 150,213 |
| EBAY INC 3.8% 03/09/2022 | 205,000 Shares | 207,502 | 212,784 |
| ENSCO PLC 5.2% 3/15/25 | 125,000 Shares | 96,250 | 106,250 |
| EXELA INTER/FIN 10% 07/23 144A | 75,000 Shares | 75,000 | 72,938 |
| FEDEX CORP 3.25% 04/01/2026 | 190,000 Shares | 191,276 | 191,400 |
| FIRSTENERGY 4.35% 01/25 144A | 130,000 Shares | 135,715 | 137,117 |
| FORD MTR CR CO 3.81% 01/09/24 | 210,000 Shares | 210,746 | 214,338 |
| FRONTIER COMM 8.5% 4/15/20 | 32,000 Shares | 34,352 | 26,560 |
| GE CAP INTL 4.418% 11/15/35 | 265,000 Shares | 281,883 | 286,598 |
| GENERAL ELECTRIC 5.0%/VAR PERP | 599,000 Shares | 559,068 | 618,468 |
| GENERAL MTRS FIN 5.75/VAR PERP | 30,000 Shares | 31,163 | 31,110 |
| GENWORTH HLDGS 4.8% 02/15/24 | 105,000 Shares | 90,979 | 89,250 |
| GLENCORE 3.875% 10/27 144A | 185,000 Shares | 183,426 | 182,551 |
| GSINC 5.25% 7/27/21 | 105,000 Shares | 115,308 | 113,787 |
| GOLDMAN SACHS GP 5.75% 1/24/22 | 710,000 Shares | 809,955 | 787,182 |
| GOLDMAN SCHS GRP INC 4% 3/3/24 | 205,000 Shares | 216,251 | 215,030 |
| GOLDMAN SACHS GROUP STEP PERP | 120,000 Shares | 122,247 | 127,500 |
| HCA INC 5.5% 06/15/47 | 55,000 Shares | 55,000 | 54,863 |
| HSBC HOLDINGS 4.375% 11/23/26 | 200,000 Shares | 208,794 | 208,747 |
| HARMAN INTL IND 4.15% 05/15/25 | 115,000 Shares | 115,539 | 118,877 |
| HEINEKEN NV 3.5% 01/29/28 144A | 210,000 Shares | 212,348 | 214,178 |
| HERTZ CORP 7.625% 6/1/22 144A | 70,000 Shares | 70,688 | 73,325 |
7
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| HEXION US FIN 6.625% 4/20 | 130,000 Shares | 118,431 | 116,675 |
| ING GROEP NV 3.95% 03/29/27 | 200,000 Shares | 199,738 | 208,446 |
| INTEL CORP 3.15% 05/11/27 | 245,000 Shares | 246,043 | 249,783 |
| INTL PAPER CO GLB 8.7 6/15/38 | 110,000 Shares | 153,496 | 166,270 |
| JPMC CO 4.5% 1/24/22 | 400,000 Shares | 434,100 | 427,972 |
| JPM CHASE 6.75% PERP | 315,000 Shares | 346,826 | 356,738 |
| JPMORGAN CHASE 2.95% 10/01/26 | 155,000 Shares | 148,269 | 152,205 |
| JPMC CO 4.26/VAR 02/22/48 | 210,000 Shares | 221,645 | 227,295 |
| JEFFERIES GROUP 4.85% 1/15/27 | 175,000 Shares | 178,538 | 185,999 |
| KEYCORP 5/VAR PERP | 195,000 Shares | 197,759 | 200,850 |
| KRAFT HEINZ CO 4.375% 6/1/46 | 255,000 Shares | 250,585 | 252,364 |
| LYB INTL FIN BV 4.0% 07/15/23 | 235,000 Shares | 248,169 | 245,957 |
| LAND O LAKES INC 8% PERP 144A | 125,000 Shares | 125,000 | 140,000 |
| LAZARD GROUP LLC 3.625% 3/1/27 | 280,000 Shares | 280,007 | 279,342 |
| LEVEL 3 FIN INC 5.25% 03/15/26 | 90,000 Shares | 90,000 | 88,340 |
| LIBERTY MUTUAL 4.95% 5/22 144A | 405,000 Shares | 441,503 | 436,959 |
| LIFEPOINT HEALTH 5.375% 5/1/24 | 60,000 Shares | 60,038 | 58,800 |
| LINCOLN NATIONAL 3.35% 3/9/25 | 200,000 Shares | 199,605 | 201,703 |
| LOWES COS INC 3.1% 05/03/2027 | 210,000 Shares | 210,263 | 210,681 |
| METLIFE INC 5.25/VAR PERP | 195,000 Shares | 202,473 | 201,948 |
| MICROSOFT 3.3% 02/06/27 | 300,000 Shares | 305,420 | 309,363 |
| MDAMERICAN ENR 6.125% 4/01/36 | 156,000 Shares | 188,308 | 209,171 |
| MILLICOM 5.125% 1/15/28 144A | 80,000 Shares | 80,563 | 80,000 |
| MORGAN STANLEY 4% 07/23/25 | 205,000 Shares | 216,309 | 214,594 |
| MORGAN STANLEY 5.5% 7/28/21 | 195,000 Shares | 222,984 | 213,277 |
| MORGAN STANLEY 3.95% 04/23/27 | 615,000 Shares | 604,635 | 624,342 |
| NABORS IND 5.5% 01/15/23 | 170,000 Shares | 169,740 | 164,900 |
| NBCUNIVERSAL MEDIA 2.875% 1/23 | 175,000 Shares | 180,623 | 176,750 |
| NBCUNIVERSAL ME 4.45% 1/15/43 | 105,000 Shares | 104,285 | 114,479 |
| NORDEA BANK AB 6.125 PERP 144A | 200,000 Shares | 205,960 | 215,300 |
| NORTHERN TR CRP 3.95% 10/30/25 | 200,000 Shares | 214,477 | 211,825 |
| NOVA CHEMICALS 5.25% 8/23 144A | 105,000 Shares | 108,413 | 108,019 |
| O REILLY AUTOMO 4.875% 1/14/21 | 205,000 Shares | 221,152 | 217,675 |
| OCCIDENTAL PETE 3.4% 4/15/26 | 180,000 Shares | 183,855 | 184,294 |
| 1011778 BC 5% 10/15/25 144A | 45,000 Shares | 45,000 | 45,338 |
| OWENS CORNING 4.2% 12/15/22 | 200,000 Shares | 205,808 | 209,683 |
| PNC FIN SERVICES 3.15% 5/19/27 | 215,000 Shares | 216,160 | 215,672 |
| PETRO-CANADA 6.8% 5/15/38 | 105,000 Shares | 136,072 | 144,614 |
| PEMEX 5.375% 03/13/22 144A | 130,000 Shares | 129,280 | 137,800 |
| PIEDMONT OPERTG 4.45% 03/15/24 | 120,000 Shares | 123,422 | 124,875 |
| PRINCIPAL FN GR 4.75%/VAR 5/55 | 245,000 Shares | 247,247 | 250,880 |
| PRUDENTIAL FN 5.2%/VAR 3/15/44 | 210,000 Shares | 213,631 | 223,650 |
| QUALCOMM INC 2.1% 05/20/20 | 140,000 Shares | 140,179 | 139,402 |
| QUEST DIAGNOSTI 4.25% 04/01/24 | 200,000 Shares | 210,871 | 211,427 |
| QWEST CORP 6.75% 12/01/21 | 285,000 Shares | 317,854 | 306,911 |
| ROCKWELL COLLINS 3.5% 03/15/27 | 305,000 Shares | 306,874 | 310,457 |
| ROYAL BK SC 6.1% 6/10/23 | 105,000 Shares | 113,881 | 115,606 |
| SES 3.6% 04/04/23 144A | 95,000 Shares | 97,425 | 95,200 |
| SABINE PASS LQ 5.875% 06/30/26 | 80,000 Shares | 89,600 | 89,856 |
| SCHWAB CHARLES 2.65% 01/25/23 | 375,000 Shares | 374,400 | 374,717 |
| SIEMENS FINA 3.4% 3/16/27 144A | 250,000 Shares | 248,283 | 254,673 |
| SMITHFIELD FD 4.25% 2/27 144A | 190,000 Shares | 193,231 | 194,977 |
| STATE STREET 5.25% VAR PERP | 120,000 Shares | 126,500 | 125,856 |
| SUNOCO LOGISTICS 4% 10/01/27 | 150,000 Shares | 148,824 | 147,039 |
| SUNTRUST BANK 2.45% 8/01/22 | 310,000 Shares | 310,254 | 305,635 |
8
Table of Contents
Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
Name of plan sponsor: Ameren Corporation
Employer identification number: 43-1723446
Three-digit plan number: 003
| (a) | (c) Description of investment including maturity date, rate of interest, collateral, par, or maturity value | (d) Cost | (e) Current value |
|---|---|---|---|
| SUNTRUST BANKS 5.05%/VAR PERP | 185,000 Shares | 185,774 | 187,313 |
| SYMETRA 4.25% 07/15/24 | 105,000 Shares | 106,882 | 106,586 |
| SYSCO CORP 3.3% 07/15/2026 | 195,000 Shares | 195,267 | 196,171 |
| TARGA RES LP/FI 4.25% 11/15/23 | 60,000 Shares | 57,825 | 59,325 |
| TELEFONICA EMISION 4.103% 3/27 | 300,000 Shares | 306,716 | 309,903 |
| TEVA PHARM NE 3.15% 10/01/26 | 140,000 Shares | 139,628 | 115,559 |
| TEXAS INSTRUMENTS 2.9% 11/27 | 190,000 Shares | 187,802 | 189,313 |
| TIME WARNER INC 3.875% 1/15/26 | 170,000 Shares | 170,849 | 171,579 |
| TYSON FOODS INC 3.95% 08/15/24 | 160,000 Shares | 163,694 | 168,233 |
| UNITED HEALTH 4.75% 7/15/45 | 150,000 Shares | 157,040 | 177,020 |
| UNUM GROUP 4% 03/15/24 | 175,000 Shares | 182,593 | 182,197 |
| VALEANT PHARM 5.5% 11/25 144A | 110,000 Shares | 111,238 | 111,925 |
| VERIZON COMM 4.125% 8/15/46 | 165,000 Shares | 157,465 | 152,290 |
| VOYA FIN INC 3.65% 6/15/26 | 120,000 Shares | 119,650 | 121,324 |
| WELLS FARGO MTN 4.6% 4/01/21 | 345,000 Shares | 373,173 | 366,599 |
| WESTERN DIGI 7.375% 4/23 144A | 125,000 Shares | 130,709 | 134,844 |
| WESTPAC BKG NZ 5%/VAR PERP | 195,000 Shares | 194,999 | 194,418 |
| WILLIS NORTH AMER 3.6% 5/15/24 | 110,000 Shares | 109,904 | 111,802 |
| WOODSIDE FIN 3.65% 3/5/25 144A | 140,000 Shares | 135,663 | 140,817 |
| XLIT LTD 4.45% 03/31/2025 | 220,000 Shares | 218,954 | 224,965 |
| SPRINT SPECTRM 3.36% 3/23 144A | 200,000 Shares | 199,996 | 201,249 |
| Total Corporate debt securities | 28,869,174 | 29,168,729 | |
| Other Debt Securities | |||
| REP HONDURAS 8.75% 12/20 144A | 200,000 Shares | 225,000 | 224,090 |
| GERMANY GOVT 0.25% 2/15/27 RGS | 430,000 Shares | 476,991 | 510,751 |
| EGYPT REP 6.125% 1/31/22 144A | 200,000 Shares | 208,250 | 209,210 |
| SRI LANKA GVT 6.125% 6/25 144A | 200,000 Shares | 210,250 | 211,410 |
| MUNICIPAL ELE GA 7.055% 4/1/57 | 100,000 Shares | 108,838 | 123,238 |
| ALLYA 2017-3 A4 2.01% 03/22 | 325,000 Shares | 324,984 | 322,770 |
| AMERICAN AIR 5.6% 01/15/22 | 91,968 Shares | 96,357 | 95,040 |
| AMERICAN AIR_L 3.575% 07/15/29 | 161,771 Shares | 164,400 | 164,699 |
| AMXCA 2017-1 A 1.93% 09/22 | 340,000 Shares | 340,375 | 338,434 |
| BACCT 2017-A1 A1 1.95% 08/22 | 320,000 Shares | 319,908 | 318,569 |
| BACM 2015-UBS7 D 3.167% 9/48 | 160,000 Shares | 117,675 | 131,125 |
| BANK 2017-BNK4 A4 3.625% 05/50 | 280,000 Shares | 289,432 | 291,214 |
| BAYV 2006-D 1A3 5.932% 12/36 | 82,572 Shares | 81,953 | 83,653 |
| CD 2017-CD5 A4 3.431% 08/50 | 200,000 Shares | 208,328 | 205,118 |
| CWALT 2003-J3 1A3 5.25% 11/33 | 104,161 Shares | 105,398 | 105,248 |
| COMET 2016-A4 A4 1.33% 6/15/22 | 540,000 Shares | 531,816 | 533,295 |
| CCCIT 2014-A1 A1 2.88% 01/23 | 375,000 Shares | 383,921 | 381,734 |
| CCCIT 2014-A6 A6 2.15% 07/21 | 305,000 Shares | 307,633 | 305,316 |
| CCCIT 2017-A8 A8 1.88% 8/8/22 | 275,000 Shares | 274,968 | 272,425 |
| COLD 2017-ICE3 A 1ML+1 4/36 | 310,000 Shares | 310,969 | 310,768 |
| CAH 14-1A B 1ML+135 05/31 | 350,000 Shares | 338,297 | 350,812 |
| CSH 16-1A D 1193476+3.1% 07/33 | 145,000 Shares | 145,000 | 148,582 |
| COMM 2016-STAV B 0% 10/34 144A | 210,000 Shares | 210,000 | 210,520 |
| DNKN 15-1A A2II 3.98% 02/45 14 | 301,475 Shares | 309,701 | 307,719 |
| DCENT 2012-A6 A6 1.67% 01/22 | 475,000 Shares | 474,499 | 472,312 |
| DCENT 2015-A2 A 1.9% 10/22 | 115,000 Shares | 114,645 | 114,320 |
| DCENT 2017-A2 A2 2.39% 07/24 | 185,000 Shares | 184,913 | 184,971 |
| DPABS 17-1A A2II 3.082% 07/47 | 224,438 Shares | 224,438 | 221,973 |
| FITAT 2017-1 A3 2.03% 02/22 | 310,000 Shares | 309,992 | 307,756 |
| FSMT 2017-2 A5 3.50% 10/47 | 238,066 Shares | 241,637 | 240,586 |
| FORDR 14-1 A 2.26% 11/25 | 300,000 Shares | 302,391 | 300,610 |
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Ameren Corporation Savings Investment Plan
SCHEDULE H, Line 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
December 31, 2017
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 |
|---|---|---|---|---|
| GPPT 2014-GPP A 1ML+120 02/27 | 112,497 Shares | 112,568 | 112,510 | |
| GSMS 2015-GC32 D 3.345% 07/48 | 145,000 Shares | 105,601 | 119,974 | |
| IHSFR 15-SFR1 A 1ML+140 03/32 | 203,618 Shares | 204,763 | 204,061 | |
| IHSFR 17-SFR2 A 1ML+85 12/36 | 144,394 Shares | 144,394 | 144,858 | |
| JPMBB 13-C12 A5 3.6637% 07/45 | 485,000 Shares | 511,978 | 506,323 | |
| JPMCC 17-JP5 A5 3.7232% 03/50 | 260,000 Shares | 266,703 | 272,339 | |
| JPMCC 17-MAUI A 1ML+83 07/34 | 255,000 Shares | 255,000 | 255,161 | |
| MSBAM 15-C22 D 4.24368% 05/46 | 140,000 Shares | 111,464 | 120,745 | |
| MSBAM 14-C16 D CSTR 06/47 | 165,000 Shares | 135,294 | 145,419 | |
| NRART 16-T1 DT1 4.3768% 06/49 | 110,000 Shares | 110,000 | 110,129 | |
| NRART 17-T1 DT1 4.0024% 02/51 | 185,000 Shares | 184,999 | 185,413 | |
| NRZT 2017-6A A1 4% 08/57 | 255,693 Shares | 264,319 | 262,436 | |
| NAROT 2016-A A3 1.34% 10/15/20 | 300,000 Shares | 299,379 | 298,626 | |
| OMART 2016-T2 DT2 4.45% 08/49 | 225,000 Shares | 225,000 | 224,978 | |
| SEMT 17-CH2 A10 4% 12/47 | 305,476 Shares | 312,376 | 311,019 | |
| SCOT 2017-2 A4 3.5% 10/47 144A | 332,162 Shares | 340,882 | 340,633 | |
| SWH 17-1 A 1ML+95 01/35 | 244,108 Shares | 244,108 | 245,088 | |
| BELL 16-1A A2II 4.377% 05/46 1 | 123,438 Shares | 129,783 | 127,341 | |
| TAH 17-SFR1 A 2.716% 09/34 | 180,000 Shares | 179,995 | 177,772 | |
| WFRBS 2012-C10 A3 2.875% 12/45 | 250,000 Shares | 252,822 | 250,945 | |
| WFCM 2015-C29 A4 3.637% 06/48 | 300,000 Shares | 306,633 | 311,771 | |
| WFCM 2015-C30 D VAR 09/58 144A | 115,000 Shares | 92,746 | 103,364 | |
| WFCM 2016-C32 A4 3.56% 01/59 | 295,000 Shares | 307,376 | 304,761 | |
| WOART 16-B A3 1.3% 2/22 | 160,000 Shares | 158,400 | 158,437 | |
| US 10YR NOTE (CBT)MAR18 TYH8 | 3 Shares | | 1,875 | |
| US LONG BOND(CBT) MAR18 USH8 | 1 Shares | | 281 | |
| US ULTRA BOND CBT MAR18 WNH8 | 9 Shares | | 4,398 | |
| US 5YR NOTE(CBT)FUT MAR18 FVH8 | 2 Shares | | 188 | |
| CITI CDX 29 BP FIX 12/22 ICE | Shares | | (639) | |
| Total Other Debt Securities | 13,199,542 | 13,298,474 | ||
| Notes Receivable | ||||
| * / ** | Participants | Participant Loans | 33,826,437 | 33,826,437 |
| $ 1,953,261,644 | $ 2,418,446,311 |
** Interest rates vary from 4.00% to 10.50% on loans maturing through 2028.
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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 | |
| --- | --- |
| By: Ameren Administrative Committee (Administrator) | |
| By | /s/ Marla J. Langenhorst |
| | Marla J. Langenhorst Member of the Administrative Committee |
October 27, 2023
Table of Contents
EXHIBIT INDEX
| Exhibit No. | Description |
|---|---|
| 23.1 | Consent of Independent Registered Public Accounting Firm |
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