UNITED STATES
SECURITIES AND EXCHANGE COMMISISION
WASHINGTON, DC 20549
FORM 11-K
| x |
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014
OR
| ¨ |
TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
COMMISSION FILE NUMBER 1-14756
| A. |
Full title of the plan and the address of the plan, if different from that of the issuer named below: |
AMEREN CORPORATION
SAVINGS INVESTMENT PLAN
| B. |
Name of issuer of securities held pursuant to the plan and the address of its principal executive office: |
Ameren Corporation
1901 Chouteau Avenue
St. Louis, Missouri 63103
Ameren Corporation
Savings Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2014 and 2013
Ameren Corporation
Savings Investment Plan
Index
| * |
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. |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Participants and Administrator of the
Ameren Corporation Savings Investment Plan
St. Louis, Missouri
We have audited the accompanying statements of net assets available for benefits of the Ameren Corporation Saving Investment Plan as of December 31,
2014 and 2013 and the related statements of changes in net assets available for benefits for the years then ended. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these
financial statements based on our audits.
We conducted our audits in accordance with the standards of the Public Company Accounting Oversight
Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence
supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We
believe that our audits provide a reasonable basis for our opinion.
In our opinion, the financial statements referred to above present
fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2014 and 2013 and the changes in net assets available for benefits for the years then ended in conformity with U.S. generally accepted
accounting principles.
The supplemental Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2014 has
been subjected to audit procedures performed in conjunction with the audit of the Ameren Corporation Saving Investment Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit
procedures included determining whether the information presented in the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness
and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in conformity with the
Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedule is fairly stated in all material respects in relation to the financial
statements as a whole.
|
|
| /s/ Crowe Horwath LLP |
| Crowe Horwath LLP |
South Bend, Indiana
June 26, 2015
Ameren Corporation
Savings Investment Plan
Statements of Net Assets Available for
Benefits
December 31, 2014 and 2013
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
| Assets |
|
|
|
|
|
|
|
|
| Investments at fair value (Notes 3 and 4) |
|
$ |
1,986,811,183 |
|
|
$ |
1,883,823,892 |
|
| Cash |
|
|
1,376,760 |
|
|
|
649,966 |
|
|
|
|
| Receivables |
|
|
|
|
|
|
|
|
| Notes receivable from participants |
|
|
34,286,429 |
|
|
|
34,168,061 |
|
| Participant contributions |
|
|
1,207,220 |
|
|
|
977,076 |
|
| Employer contributions |
|
|
408,803 |
|
|
|
341,156 |
|
| Dividends and interest |
|
|
543,657 |
|
|
|
168,492 |
|
| Due from brokers for securities sold |
|
|
2,572,524 |
|
|
|
9,798,923 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total receivables |
|
|
39,018,633 |
|
|
|
45,453,708 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total assets |
|
|
2,027,206,576 |
|
|
|
1,929,927,566 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Liabilities |
|
|
|
|
|
|
|
|
| Accrued expenses |
|
|
512,195 |
|
|
|
526,670 |
|
| Due to brokers for securities purchased |
|
|
2,737,609 |
|
|
|
8,465,461 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total liabilities |
|
|
3,249,804 |
|
|
|
8,992,131 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Net assets reflecting all investments at fair value |
|
|
2,023,956,772 |
|
|
|
1,920,935,435 |
|
|
|
|
| Adjustment from fair value to contract value for fully benefit-responsive investment contracts |
|
|
(671,952 |
) |
|
|
– |
|
|
|
|
|
|
|
|
|
|
| Net assets available for benefits |
|
$ |
2,023,284,820 |
|
|
$ |
1,920,935,435 |
|
|
|
|
|
|
|
|
|
|
The accompanying notes are an integral part of these financial statements.
2
Ameren Corporation
Savings Investment Plan
Statements of Changes in Net Assets
Available for Benefits
Years Ended December 31, 2014 and 2013
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
|
|
|
| Additions: |
|
|
|
|
|
|
|
|
| Investment income |
|
|
|
|
|
|
|
|
| Interest and dividends |
|
$ |
19,487,310 |
|
|
$ |
17,354,784 |
|
| Net appreciation in fair value of investments (Note 3) |
|
|
133,252,528 |
|
|
|
296,520,990 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total investment income |
|
|
152,739,838 |
|
|
|
313,875,774 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Interest on notes receivable from participants |
|
|
1,360,540 |
|
|
|
1,380,670 |
|
| Participant contributions |
|
|
75,475,166 |
|
|
|
77,742,838 |
|
| Employer contributions |
|
|
27,956,504 |
|
|
|
28,722,948 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total additions |
|
|
257,532,048 |
|
|
|
421,722,230 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Deductions: |
|
|
|
|
|
|
|
|
| Benefits paid to participants |
|
|
151,955,091 |
|
|
|
108,842,718 |
|
| Administrative expenses (Note 6) |
|
|
3,227,572 |
|
|
|
2,955,066 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total deductions |
|
|
155,182,663 |
|
|
|
111,797,784 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Net increase |
|
|
102,349,385 |
|
|
|
309,924,446 |
|
|
|
|
| Net assets available for benefits |
|
|
|
|
|
|
|
|
| Beginning of year |
|
|
1,920,935,435 |
|
|
|
1,611,010,989 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| End of year |
|
$ |
2,023,284,820 |
|
|
$ |
1,920,935,435 |
|
|
|
|
|
|
|
|
|
|
The accompanying notes are an integral part of these financial statements.
3
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| 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 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 option 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 Board of Directors of the Company 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. 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.
4
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
The Plan permits “catch-up” contributions for all employees age 50 and older.
Eligible employees could contribute $5,500 in 2014 and 2013 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.
Earnings derived from the assets of any investment fund are reinvested in the fund to which they relate. Participants may elect daily to
reallocate, by actual dollar or percentage in one percent increments, the value of their accounts between funds. Pending investment of the assets into any investment fund, the Trustee may temporarily make certain short-term investments.
Participant Accounts
Each Participant’s account is credited with the Participant’s contributions and an allocation of (a) the Company’s contributions, and (b) Plan earnings, and is charged with an
allocation of administrative expenses. Allocations are based on Participant contributions, eligible compensation, Participant account balances, or specific Participant transactions, as defined. The benefit to which the Participant is entitled is the
benefit which can be provided from the Participant’s account. Each Participant directs the investment of his or her account to any of the investment options available under the Plan.
Notes Receivable from Participants
The Plan permits Participants to borrow from their accounts within the Plan. Such borrowings may be made subject to the following: (1) the minimum amount of the loan is $1,000, (2) the amount of
the loan may not exceed the lesser of $50,000 or 50% of the vested amount in the Participant’s account, (3) the loan will bear a fixed interest rate and repayments will be made through mutual agreement subject to certain statutory
repayment time limits, (4) each loan shall bear a reasonable interest rate as determined under policies established for the Plan and (5) such other rules and regulations as may be adopted by the Company. At December 31, 2014 and 2013,
the interest rates on participant loans ranged from 4.00 percent to 10.50 percent.
Vesting
The amounts in Participants’ accounts, including Company contributions, are fully vested at all times.
Payment of Benefits
The total amount of a Participant’s account shall be distributed to the Participant according to one of the options as described in the Plan document and as elected by the Participant after
termination of employment. All distributions shall be in the form of cash except that Participants may elect to have his or her interest in the Ameren Stock Fund distributed in shares of Ameren common stock. Participants may withdraw certain basic
contributions, rollover contributions and related earnings thereon upon reaching age 59 1/2, in the event of total disability or financial hardship as defined 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.
5
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
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.
Through its investment in a stable value separate account, and prior to February 3, 2014, a stable value collective trust, the Plan
has invested in fully benefit-responsive investment contracts. Investment contracts held by defined-contribution plans are required to be reported at fair value. However, contract value is the relevant measurement attribute for that portion of the
net assets available for benefits of a defined-contribution plan attributable to fully benefit-responsive investment contracts, as contract value is the amount Participants would receive if they were to initiate permitted transactions under the
terms of the Plan. Contract value represents contributions made to a contract, plus earnings, less participant withdrawals and administrative expenses. On December 9, 2013, in conjunction with the announcement to terminate the stable value
collective trust, the investment contracts held in the collective trust were terminated and the underlying assets were liquidated and invested in a money market fund. Therefore, at December 31, 2013, no adjustment from fair value to contract
value is presented in the Statement of Net Assets Available for Benefits. On February 3, 2014, the Plan liquidated its investment in the stable value collective trust and invested in a stable value separate account. Thus, as of
December 31, 2014, the Statement of Net Assets Available for Benefits presents the fair value of the fully benefit-responsive investment contracts, as well as the adjustment of investment contracts from fair value to contract value.
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.
6
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
Investment Valuation and Income Recognition
All investments are presented at fair value as of December 31, 2014 and 2013. 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 4 for discussion of fair value measurements.
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 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) revenue sharing payments (payments made directly from investment
managers to the recordkeeper), (2) fees accrued in the investment funds that do not pay revenue sharing, and (3) flat dollar fees that are assessed to all Participants 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 amounts reported in the Statement of Net Assets Available for Benefits.
Concentrations
Company common stock comprised 12% and 11% of investments at December 31, 2014 and December 31, 2013, respectively.
7
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
The
following table presents investments of the Plan at December 31, 2014 and 2013, respectively:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
| Investments at Fair Value |
|
|
|
|
|
|
|
|
| Common Stocks |
|
|
|
|
|
|
|
|
| Ameren Corporation(1) |
|
$ |
248,306,627 |
|
|
$ |
203,615,803 |
|
| Jennison Large Cap Growth Equity Portfolio(2) |
|
|
91,969,971 |
|
|
|
87,038,886 |
|
| William Blair Small/Mid Cap Growth Portfolio(2) |
|
|
52,197,747 |
|
|
|
56,134,793 |
|
| Columbus Circle Small/Mid Cap Growth Portfolio(2) |
|
|
43,131,102 |
|
|
|
48,055,498 |
|
| Investment Contracts |
|
|
|
|
|
|
|
|
| Galliard Stable Value Portfolio(1)(3) |
|
|
271,318,703 |
|
|
|
– |
|
| Managed Domestic Equity Funds |
|
|
|
|
|
|
|
|
| BlackRock Equity Index Fund(1)(4) |
|
|
216,739,324 |
|
|
|
185,113,320 |
|
| BlackRock Russell 2500 NL Fund(1)(4) |
|
|
138,419,624 |
|
|
|
134,604,063 |
|
| AllianzGI NFJ Dividend Value CIT(1)(4) |
|
|
138,865,150 |
|
|
|
126,067,370 |
|
| NWQ Small/Mid Cap Value Fund(4) |
|
|
79,241,954 |
|
|
|
86,627,893 |
|
| Touchstone Sands Capital Institutional Growth Fund(5) |
|
|
50,151,187 |
|
|
|
47,753,206 |
|
| Managed International Equity Funds |
|
|
|
|
|
|
|
|
| American Funds EuroPacific Growth Fund(1)(5) |
|
|
122,967,205 |
|
|
|
135,585,724 |
|
| BlackRock MSCI ACWI ex-US IMI Index NL Fund(4) |
|
|
46,952,719 |
|
|
|
34,969,961 |
|
| Managed Stable Value Fund |
|
|
|
|
|
|
|
|
| Northern Trust Company Collective Stable Asset Fund(1)(4)(6) |
|
|
– |
|
|
|
329,987,916 |
|
| Managed Fixed Income Funds |
|
|
|
|
|
|
|
|
| PIMCO Total Return Fund(5) |
|
|
73,200,714 |
|
|
|
76,347,473 |
|
| BlackRock US Debt Index NL Fund(4) |
|
|
38,198,496 |
|
|
|
19,476,360 |
|
| BlackRock TIPS Bond Index Fund(4) |
|
|
15,630,986 |
|
|
|
15,383,178 |
|
| Fidelity Management Trust Co. Institutional Cash Portfolio(5) |
|
|
23,665,552 |
|
|
|
753,684 |
|
| Managed Target Retirement Funds |
|
|
|
|
|
|
|
|
| BlackRock LifePath Index NL 2020 Fund(4) |
|
|
90,104,434 |
|
|
|
75,592,791 |
|
| BlackRock LifePath Index NL 2025 Fund(4) |
|
|
68,739,236 |
|
|
|
60,287,860 |
|
| BlackRock LifePath Index NL 2030 Fund(4) |
|
|
45,847,351 |
|
|
|
38,412,030 |
|
| BlackRock LifePath Index NL 2015 Fund(4) |
|
|
– |
|
|
|
36,768,758 |
|
| BlackRock LifePath Index NL 2035 Fund(4) |
|
|
23,818,265 |
|
|
|
18,864,527 |
|
| BlackRock LifePath Index NL 2040 Fund(4) |
|
|
21,325,453 |
|
|
|
17,117,021 |
|
| BlackRock LifePath Index NL 2045 Fund(4) |
|
|
17,629,758 |
|
|
|
14,366,532 |
|
| BlackRock LifePath Index NL Retirement Fund(4) |
|
|
44,158,903 |
|
|
|
13,497,446 |
|
| BlackRock LifePath Index NL 2050 Fund(4) |
|
|
15,642,916 |
|
|
|
12,082,270 |
|
| BlackRock LifePath Index NL 2055 Fund(4) |
|
|
6,928,616 |
|
|
|
4,369,855 |
|
| Overnight Deposit Instrument |
|
|
|
|
|
|
|
|
| BBH&Co. Cash Management Service |
|
|
1,659,190 |
|
|
|
4,949,674 |
|
|
|
|
|
|
|
|
|
|
| Total investments |
|
$ |
1,986,811,183 |
|
|
$ |
1,883,823,892 |
|
|
|
|
|
|
|
|
|
|
8
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| |
(1) |
Investments that represent 5% or more of the Plan’s net assets at December 31, 2014 and December 31, 2013. |
| |
(2) |
This portfolio is structured as a separate account and holds individual equity securities. |
| |
(3) |
This portfolio holds individual investment contracts, which include synthetic guaranteed investment contracts (“synthetic GICs”) and separate account
guaranteed investment contracts (“separate account GICs”) that have collective trusts and pooled separate accounts as underlying investments, respectively. |
| |
(4) |
This managed account is structured as a collective trust. |
| |
(5) |
This managed account is structured as a mutual fund. |
| |
(6) |
As of December 31, 2013, the Northern Trust Company Collective Stable Asset Fund had terminated its investment contracts and the underlying assets were invested in
a money market fund. |
During 2014 and 2013, the Plan’s investments (including investments bought, sold, and
held during the year) appreciated/(depreciated) in value as follows:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
| Net appreciation (depreciation) |
|
|
|
|
|
|
|
|
|
|
|
| Collective Investment Trusts |
|
$ |
67,449,298 |
|
|
$ |
184,207,306 |
|
| Common Stocks |
|
|
69,975,637 |
|
|
|
84,363,075 |
|
| Pooled Separate Accounts |
|
|
1,018,685 |
|
|
|
– |
|
| Mutual Funds |
|
|
(5,191,092 |
) |
|
|
27,950,609 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total net appreciation in fair value of investments |
|
$ |
133,252,528 |
|
|
$ |
296,520,990 |
|
|
|
|
|
|
|
|
|
|
| 4. |
Fair Value Measurements |
The authoritative guidance issued by the FASB regarding fair value measurement provides a framework for measuring fair value for all
assets and liabilities that are measured and reported at fair value. The guidance defines fair value as the exchange price that would be received for an asset or paid to transfer a liability (an exit price) in the principal or most advantageous
market for the asset or liability in an orderly transaction between market participants on the measurement date. Certain assumptions that market participants would use in pricing the asset or liability, including assumptions about risk or the risks
inherent in the inputs to the valuation, were used in the valuation process. Inputs to valuation can be readily observable, market corroborated, or unobservable. Valuation techniques that maximize the use of observable inputs and minimize the use of
unobservable inputs were used. The provisions also establish a fair value hierarchy that prioritizes the inputs used to measure fair value. All financial assets and liabilities carried at fair value were classified in one of the following three
hierarchy levels:
Level 1: Inputs based on quoted prices in active markets for identical assets or liabilities that the Plan
has the ability to access at the reporting date.
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; |
9
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| |
• |
|
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 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 2014.
| |
• |
|
Common stocks: Valued at the closing price reported on the active markets on which the individual securities are traded (Level 1 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, excluding the stable value collective trust fund: Valued at the NAV of a bank collective trust. The NAV, as provided by the
trustee, is used as a practical expedient to estimate fair value. The NAV is based on the underlying investments held by the fund less its liabilities (Level 2 inputs). This practical expedient is not used when it is determined to be probable that
the fund will sell the investment for an amount different than the reported NAV. 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. The investment objective of each of the equity trusts is to track the performance or outperform one of the following indices: the S&P 500 Index, the Russell 1000 Value Index, the Russell 2500 Index, the Russell 2500 Value Index, and the
MSCI All Country World Ex-US IMI Index. The investment objective of each of the fixed income trusts is to track the performance or outperform one of the following indices: the Barclays U.S. Aggregate Bond Index, the Barclays U.S. TIPS Index, The
Barclays 1-3 Year Government Index, the Barclays Intermediate Aggregate Index, and the Barclays 3 Year Treasury Bellwether Index + 75. The investment objective of each of the target retirement trusts is to provide exposure to markets from around the
world in one fund, with each fund becoming more conservative as it moves toward its target date. |
| |
• |
|
Stable value collective trust fund: The fair values of participation units in the stable value collective trust fund were based upon the net asset
values of such fund, after adjustments to reflect all fund investments at fair value, including any direct and indirect interests in fully benefit-responsive contracts, as reported in the audited financial statements of the fund as of the
Plan’s financial statement date (Level 2 inputs). The fund generally provided for daily redemptions by the Plan at reported net asset value per share with no advance notice
|
10
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| |
requirements. If the Plan requested a full redemption of its interest in the fund, the collective trust provided for payment within 12 months following the redemption request. See Note 2 for a
discussion of the fund’s termination of the fully benefit-responsive contracts in December 2013. Through December 9, 2013, the fund invested in conventional and synthetic investment contracts issued by life insurance companies, banks, and
other financial institutions, with the objective of providing a competitive, short-term total rate of return while preserving the safety of capital and limiting market risk. Beginning December 10, 2013, in preparation for the fund’s
termination, all fund assets were invested in a money market fund. The Plan liquidated its interest in the stable value collective trust fund on February 3, 2014. |
| |
• |
|
Investment contracts: The fair values of investment contracts are based on the cumulative fair value of the wrapper contracts and the underlying
portfolios. The Plan invests in two types of investment contracts: synthetic GICs and separate account GICs. Synthetic GICs are comprised of two components: (1) wrapper contracts issued by a financial institution and
(2) collective trust funds which hold fixed income investments whose market prices fluctuate. The fair values of the wrapper contracts are the present values of the difference between the wrapper fees the issuer would charge (i.e., fees re-bid
as of year-end provided by the issuer for accounting purposes) and the contracted wrapper fees currently being charged (Level 2 inputs). Units of collective trust funds are valued at NAV, as previously described. Separate account GICs
are comprised of two components: (1) wrapper contracts issued by an insurance company and (2) pooled separate accounts which hold segregated portfolios of fixed income securities whose market prices fluctuate. The fair values of wrapper
contracts are the present values of the difference between the wrapper fees the issuer would charge (i.e., fees re-bid as of year-end provided by the issuer for accounting purposes) and the contracted wrapper fees currently being charged (Level 2
inputs). The pooled separate accounts are valued daily by the insurance company. The NAV, as provided by the insurance company, is used as a practical expedient to estimate fair value. The NAV is based on the underlying investments held less its
liabilities (Level 2 inputs). Under ordinary market conditions, redemptions of investments in pooled separate accounts are permitted as of daily or monthly valuation dates, as applicable, and are executed at NAV. |
| |
• |
|
Overnight deposit instrument: 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). |
11
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
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, 2014:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Quoted Prices In
Active Markets for
Identified Assets
(Level 1) |
|
|
Significant Other
Observable Inputs
(Level 2) |
|
|
Significant
Other
Unobservable
Inputs
(Level 3) |
|
|
Total |
|
| Assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Common stocks |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| US large capitalization - Plan sponsor stock |
|
$ |
248,306,627 |
|
|
$ |
– |
|
|
$ |
– |
|
|
$ |
248,306,627 |
|
| US large capitalization - other |
|
|
91,969,971 |
|
|
|
– |
|
|
|
– |
|
|
|
91,969,971 |
|
| US small and mid-capitalization |
|
|
95,328,849 |
|
|
|
– |
|
|
|
– |
|
|
|
95,328,849 |
|
| Mutual funds |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Domestic equity funds |
|
|
50,151,187 |
|
|
|
– |
|
|
|
– |
|
|
|
50,151,187 |
|
| International equity funds |
|
|
122,967,205 |
|
|
|
– |
|
|
|
– |
|
|
|
122,967,205 |
|
| Fixed income funds |
|
|
96,866,266 |
|
|
|
– |
|
|
|
– |
|
|
|
96,866,266 |
|
| Collective trust funds |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Domestic equity funds - indexed |
|
|
– |
|
|
|
355,158,948 |
|
|
|
– |
|
|
|
355,158,948 |
|
| Domestic equity funds - actively managed |
|
|
– |
|
|
|
218,107,104 |
|
|
|
– |
|
|
|
218,107,104 |
|
| International equity funds |
|
|
– |
|
|
|
46,952,719 |
|
|
|
– |
|
|
|
46,952,719 |
|
| Fixed income funds |
|
|
– |
|
|
|
228,205,708 |
|
|
|
– |
|
|
|
228,205,708 |
|
| Target retirement date funds |
|
|
– |
|
|
|
334,194,932 |
|
|
|
– |
|
|
|
334,194,932 |
|
| Pooled separate accounts - fixed income |
|
|
– |
|
|
|
96,925,104 |
|
|
|
– |
|
|
|
96,925,104 |
|
| Overnight deposit instrument |
|
|
– |
|
|
|
1,659,190 |
|
|
|
– |
|
|
|
1,659,190 |
|
| Investment contract |
|
|
– |
|
|
|
17,373 |
|
|
|
– |
|
|
|
17,373 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
$ |
705,590,105 |
|
|
$ |
1,281,221,078 |
|
|
$ |
– |
|
|
$ |
1,986,811,183 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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, 2013:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Quoted Prices In
Active Markets for
Identified Assets
(Level 1) |
|
|
Significant Other
Observable Inputs
(Level 2) |
|
|
Significant Other
Unobservable
Inputs
(Level 3) |
|
|
Total |
|
| Assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Common stocks |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| US large capitalization - Plan sponsor stock |
|
$ |
203,615,803 |
|
|
$ |
– |
|
|
$ |
– |
|
|
$ |
203,615,803 |
|
| US large capitalization - other |
|
|
87,038,886 |
|
|
|
– |
|
|
|
– |
|
|
|
87,038,886 |
|
| US small and mid-capitalization |
|
|
104,190,291 |
|
|
|
– |
|
|
|
– |
|
|
|
104,190,291 |
|
| Mutual funds |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Domestic equity funds |
|
|
47,753,206 |
|
|
|
– |
|
|
|
– |
|
|
|
47,753,206 |
|
| International equity funds |
|
|
135,585,724 |
|
|
|
– |
|
|
|
– |
|
|
|
135,585,724 |
|
| Fixed income funds |
|
|
77,101,157 |
|
|
|
– |
|
|
|
– |
|
|
|
77,101,157 |
|
| Collective trust funds |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Domestic equity funds - indexed |
|
|
– |
|
|
|
319,717,383 |
|
|
|
– |
|
|
|
319,717,383 |
|
| Domestic equity funds - actively managed |
|
|
– |
|
|
|
212,695,263 |
|
|
|
– |
|
|
|
212,695,263 |
|
| International equity funds |
|
|
– |
|
|
|
34,969,961 |
|
|
|
– |
|
|
|
34,969,961 |
|
| Stable asset fund |
|
|
– |
|
|
|
329,987,916 |
|
|
|
– |
|
|
|
329,987,916 |
|
| Fixed income funds |
|
|
– |
|
|
|
34,859,538 |
|
|
|
– |
|
|
|
34,859,538 |
|
| Target retirement date funds |
|
|
– |
|
|
|
291,359,090 |
|
|
|
– |
|
|
|
291,359,090 |
|
| Overnight Deposit Instrument |
|
|
– |
|
|
|
4,949,674 |
|
|
|
– |
|
|
|
4,949,674 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
$ |
655,285,067 |
|
|
$ |
1,228,538,825 |
|
|
$ |
– |
|
|
$ |
1,883,823,892 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
12
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
The Plan does not hold any investments requiring Level 3 measurements, and there have
not been any transfers between measurement input levels in 2014 or 2013.
In
February 2014, the Plan invested in a stable value separate account managed by Galliard Capital Management (“Galliard”). The separate account holds an investment in a money market mutual fund and investment contracts issued by the
following insurance companies:
| |
• |
|
American General Life Insurance Company (“AGL”) |
| |
• |
|
Prudential Insurance Company of America (“Prudential”) |
| |
• |
|
New York Life Insurance Company (“NYL”) |
| |
• |
|
Massachusetts Mutual Life Insurance Company (“Mass Mutual”) |
| |
• |
|
Metropolitan Life Insurance Company (Met Life”) |
The investment contracts with AGL, Prudential, and NYL are generally referred to as security-backed investment contracts and the underlying investments of these contracts are units of collective trust
funds. The investment contracts with Mass Mutual and Met Life are generally referred to as separate account GICs and the underlying investments of these contracts are segregated portfolios of fixed income securities.
The interest crediting rates of the investment contracts are based on the contract values, and the fair value, duration, and yield to
maturity of the underlying portfolios. These contracts allow for realized and unrealized gains and losses on the underlying assets to be amortized over the duration of the underlying investments, through adjustments to the future interest crediting
rate. Also, the net crediting rate reflects fees paid to investment contract issuers, the contracts are designed to reset their respective crediting rates on a quarterly basis although they can be reset at other times based on portfolio activity or
allocation, and the contracts cannot credit an interest rate that is less than zero percent. The crediting rates of the contracts will track current market yields on a trailing basis. The rate reset allows the contract value to converge with the
fair value of the underlying portfolio over time, assuming the portfolio continues to earn the current yield for a period of time equal to the current portfolio duration. To the extent that the underlying portfolio of a contract has unrealized
and/or realized losses, a positive adjustment is made to the adjustment from fair value to contract value under contract value accounting. As a result, the future crediting rate may be lower over time than the
then-current market rates. Similarly, if the underlying portfolio generates unrealized and/or realized gains, a negative adjustment is made to the adjustment from fair value to contract value, and the future
crediting rate may be higher than the then-current market rates.
The primary
variables impacting the future crediting rates of the investment contracts include:
| |
• |
|
the current yield of the assets underlying the contracts, |
| |
• |
|
the duration of the assets underlying the contracts, and |
| |
• |
|
the existing difference between the fair values and contract values of the assets within the contracts. |
13
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
The contracts use the following compound crediting rate formula:
CR = [(FV/CV)(1/D)*(1+Y)]-1, where:
CR = crediting rate
FV = fair value of underlying portfolio
CV = contract value
D = weighted average duration of the underlying portfolio
Y = annualized weighted average yield to maturity of the underlying portfolio
The
yield earned by the account at December 31, 2014 was 1.42%. This represents the annualized earnings of all investments in the account divided by the fair value of all investments in the account at December 31, 2014.
The yield earned by the account with an adjustment to reflect the actual interest rate credited to Participants at December 31, 2014
was 1.18%. This represents the annualized earnings credited to Participants divided by the fair value of all investments in the account at December 31, 2014.
Investment contracts generally provide for withdrawals associated with certain events which are not in the ordinary course of operations. These withdrawals are paid with a market value adjustment applied
to the withdrawal as defined in the investment contract. Each contract issuer specifies the events which may trigger a market value adjustment; however, such events may include all or a portion of the following:
| |
• |
|
material amendments to the account’s structure or administration; |
| |
• |
|
changes to the 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 sponsor’s establishment of another tax qualified defined contribution plan; |
| |
• |
|
any change in law, regulation, ruling, administrative or judicial position, or accounting requirement, applicable to the account or participating
plans; |
| |
• |
|
the delivery of any communication to Participants designed to influence a participant not to invest in the investment option.
|
At this time, the Company does not believe that the occurrence of any such market value event, which would
limit the account’s ability to transact at contract value with participants, is probable.
These contracts 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
14
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
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
issuer’s determination that the agreement constitutes a non-exempt prohibited transaction as defined under ERISA), and such default is not corrected within the time permitted by the contract, then the
contract may be terminated by the issuer and the Plan will receive the fair value as of the date of termination.
| 6. |
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, 2014, the Plan held Company common stock with a cost and fair value of $188,255,416 and $248,306,627, respectively.
During 2014, the Plan purchased shares at a cost of $27,122,220 and sold shares valued at $35,008,574.
At December 31,
2013, the Plan held Company common stock with a cost and fair value of $193,124,708 and $203,615,803, respectively. During 2013, the Plan purchased shares at a cost of $23,776,362 and sold shares valued at $27,778,272.
Dividend income from Company common stock was $8,501,427 and $8,541,962 for the years ended December 31, 2014 and December 31,
2013, respectively.
At December 31, 2014, the Plan held shares in the Fidelity Management Trust Company Institutional
Cash Portfolio (Note 3). 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 $1,094,988 and $1,007,262 for the years ended
December 31, 2014 and December 31, 2013, 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.
15
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| 7. |
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, 2014 and 2013:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
|
|
|
| Net assets available for benefits per the financial statements |
|
$ |
2,023,284,820 |
|
|
$ |
1,920,935,435 |
|
| Amounts allocated to deemed distributions of notes receivable from Participants |
|
|
(1,172,844 |
) |
|
|
(1,045,123 |
) |
| Adjustment from contract value to fair value for fully benefit-responsive investment contracts |
|
|
671,952 |
|
|
|
– |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Net assets available for benefits per the Form 5500 |
|
$ |
2,022,783,928 |
|
|
$ |
1,919,890,312 |
|
|
|
|
|
|
|
|
|
|
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 total additions per the financial statements to total income per the Form 5500 for the years ended December 31, 2014 and 2013:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
|
|
|
| Total additions per the financial statements |
|
$ |
257,532,048 |
|
|
$ |
421,722,230 |
|
| Add: Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the current
year-end |
|
|
671,952 |
|
|
|
– |
|
| Less: Adjustment from contract value to fair value for fully benefit-responsive investment contracts as of the prior
year-end |
|
|
– |
|
|
|
(19,429,644 |
) |
| Less: Interest income of defaulted notes receivable from Participants |
|
|
(85,152 |
) |
|
|
(77,703 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
| Total income per the Form 5500 |
|
$ |
258,118,848 |
|
|
$ |
402,214,883 |
|
|
|
|
|
|
|
|
|
|
The following is a reconciliation of total deductions per the financial statements to total expenses per
the Form 5500 for the years ended December 31, 2014 and 2013:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
|
|
|
| Total deductions per the financial statements |
|
$ |
155,182,663 |
|
|
$ |
111,797,784 |
|
| Add: Net increase (decrease) in defaulted notes receivable from Participants |
|
|
42,569 |
|
|
|
(15,622 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
| Total expenses per the Form 5500 |
|
$ |
155,225,232 |
|
|
$ |
111,782,162 |
|
|
|
|
|
|
|
|
|
|
16
Ameren Corporation
Savings Investment Plan
Notes to Financial Statements
December 31, 2014 and 2013
| 8. |
Federal Income Tax Status |
The Company obtained its latest 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 the determination letter, the Plan’s administrator believe 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, 2014 and 2013, 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 2011.
17
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF
ASSETS (HELD AT END OF YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
|
|
|
|
|
Mutual Funds |
|
|
|
|
|
|
|
|
|
|
|
|
American Funds Group |
|
EuroPacific Growth Fund |
|
$ |
106,315,363 |
|
|
$ |
122,967,205 |
|
|
|
Pacific Investment Management Company |
|
PIMCO Total Return Fund |
|
|
74,879,612 |
|
|
|
73,200,714 |
|
|
|
Sands Capital Management |
|
Touchstone Sands Capital Institutional Growth Fund |
|
|
42,819,670 |
|
|
|
50,151,187 |
|
| * |
|
Fidelity Management Trust Company |
|
FMTC Institutional Cash Portfolio |
|
|
23,665,553 |
|
|
|
23,665,552 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Mutual Funds |
|
|
|
|
247,680,198 |
|
|
|
269,984,658 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Collective Investment Trusts |
|
|
|
|
|
|
|
|
|
|
|
|
Allianz Global Investors Fund Management |
|
AllianzGI NFJ Dividend Value CIT |
|
|
100,856,568 |
|
|
|
138,865,150 |
|
|
|
Nuveen Fund Advisors |
|
NWQ Small/Mid Cap Value Fund |
|
|
56,330,236 |
|
|
|
79,241,954 |
|
|
|
Wells Fargo Bank, N.A. |
|
Wells Fargo Fixed Income Fund F |
|
|
91,393,003 |
|
|
|
92,272,061 |
|
|
|
Wells Fargo Bank, N.A. |
|
Wells Fargo Fixed Income Fund L |
|
|
22,800,000 |
|
|
|
23,449,626 |
|
|
|
Wells Fargo Bank, N.A. |
|
Wells Fargo Fixed Income Fund N |
|
|
25,600,000 |
|
|
|
26,320,296 |
|
|
|
Wells Fargo Bank, N.A. |
|
Wells Fargo Fixed Income Fund Q |
|
|
31,941,154 |
|
|
|
32,334,243 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock Equity Index Fund |
|
|
130,758,025 |
|
|
|
216,739,324 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock Russell 2500 NL Fund |
|
|
154,911,385 |
|
|
|
138,419,624 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2020 Fund |
|
|
77,141,738 |
|
|
|
90,104,434 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2025 Fund |
|
|
56,823,898 |
|
|
|
68,739,236 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2030 Fund |
|
|
37,458,047 |
|
|
|
45,847,351 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock MSCI ACWI ex-US IMI Index NL Fund |
|
|
45,453,251 |
|
|
|
46,952,719 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL Retirement Fund |
|
|
42,665,139 |
|
|
|
44,158,903 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock US Debt Index NL Fund |
|
|
37,084,617 |
|
|
|
38,198,496 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2035 Fund |
|
|
19,453,280 |
|
|
|
23,818,265 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2040 Fund |
|
|
17,383,532 |
|
|
|
21,325,453 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2045 Fund |
|
|
14,346,410 |
|
|
|
17,629,758 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2050 Fund |
|
|
12,542,486 |
|
|
|
15,642,916 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock TIPS Bond Index Fund |
|
|
15,624,887 |
|
|
|
15,630,986 |
|
|
|
BlackRock Institutional Trust Company, N.A. |
|
BlackRock LifePath Index NL 2055 Fund |
|
|
6,296,337 |
|
|
|
6,928,616 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Collective Investment Trusts |
|
|
|
|
996,863,993 |
|
|
|
1,182,619,411 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Pooled Separate Accounts |
|
|
|
|
|
|
|
|
|
|
|
|
Massachusetts Mutual Life Ins. Co. |
|
Separate Account #SB43 |
|
|
31,918,376 |
|
|
|
32,297,606 |
|
|
|
Metropolitan Life Ins Co. |
|
Separate Account #690 |
|
|
31,906,840 |
|
|
|
32,181,096 |
|
|
|
Metropolitan Life Ins Co. |
|
Separate Account #695 |
|
|
31,810,551 |
|
|
|
32,446,402 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Pooled Separate Accounts |
|
|
|
|
95,635,767 |
|
|
|
96,925,104 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks |
|
|
|
|
|
|
|
|
|
|
| * |
|
Ameren Corporation |
|
5,382,758.000000 Shares |
|
|
188,255,416 |
|
|
|
248,306,627 |
|
|
|
ACTAVIS PLC |
|
4,219.000000 Shares |
|
|
1,124,408 |
|
|
|
1,086,013 |
|
|
|
PERRIGO CO PLC |
|
7,076.000000 Shares |
|
|
1,093,685 |
|
|
|
1,182,824 |
|
|
|
ABBOTT LABORATORIES |
|
45,833.000000 Shares |
|
|
1,696,861 |
|
|
|
2,063,402 |
|
|
|
ADOBE SYSTEMS INC |
|
19,464.000000 Shares |
|
|
1,121,924 |
|
|
|
1,415,033 |
|
|
|
ALEXION PHARMACEUTICALS |
|
7,489.000000 Shares |
|
|
830,942 |
|
|
|
1,385,690 |
|
|
|
ALIBABA GROUP HLD SPON AD |
|
13,134.000000 Shares |
|
|
1,025,115 |
|
|
|
1,365,148 |
|
|
|
ALLERGAN INC |
|
5,336.000000 Shares |
|
|
594,920 |
|
|
|
1,134,380 |
|
|
|
AMAZON.COM INC |
|
8,597.000000 Shares |
|
|
2,181,675 |
|
|
|
2,668,079 |
|
|
|
AMERICAN TOWER CORP |
|
10,391.000000 Shares |
|
|
747,886 |
|
|
|
1,027,150 |
|
|
|
ANADARKO PETROLEUM CORP |
|
11,861.000000 Shares |
|
|
869,860 |
|
|
|
978,533 |
|
|
|
APPLE INC |
|
34,906.000000 Shares |
|
|
3,227,455 |
|
|
|
3,852,924 |
|
|
|
APPLIED MATERIALS INC |
|
10,308.000000 Shares |
|
|
242,775 |
|
|
|
256,875 |
|
|
|
BIOMARIN PHARMACEUTICAL |
|
18,175.000000 Shares |
|
|
1,158,233 |
|
|
|
1,643,020 |
|
|
|
BIOGEN IDEC INC |
|
6,569.000000 Shares |
|
|
1,100,056 |
|
|
|
2,229,847 |
|
18
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
BOEING CO |
|
12,294.000000 Shares |
|
|
936,785 |
|
|
|
1,597,974 |
|
|
|
BRISTOL-MYERS SQUIBB CO |
|
34,336.000000 Shares |
|
|
1,722,726 |
|
|
|
2,026,854 |
|
|
|
CANADIAN PAC RAILWAY (W/I |
|
7,373.000000 Shares |
|
|
883,706 |
|
|
|
1,420,703 |
|
|
|
CELGENE CORP |
|
16,114.000000 Shares |
|
|
1,144,660 |
|
|
|
1,802,512 |
|
|
|
CHIPOTLE MEXICAN GRILL |
|
1,268.000000 Shares |
|
|
475,474 |
|
|
|
867,959 |
|
|
|
CONCHO RESOURCES INC |
|
9,794.000000 Shares |
|
|
831,586 |
|
|
|
976,952 |
|
|
|
COSTCO WHOLESALE CORP |
|
13,547.000000 Shares |
|
|
1,376,718 |
|
|
|
1,920,287 |
|
|
|
DISNEY (WALT) CO |
|
15,989.000000 Shares |
|
|
837,438 |
|
|
|
1,506,004 |
|
|
|
DUNKIN BRANDS GROUP INC |
|
9,475.000000 Shares |
|
|
282,698 |
|
|
|
404,109 |
|
|
|
EOG RESOURCES INC |
|
10,526.000000 Shares |
|
|
617,452 |
|
|
|
969,129 |
|
|
|
FACEBOOK INC A |
|
38,818.000000 Shares |
|
|
1,335,292 |
|
|
|
3,028,580 |
|
|
|
FIREEYE INC |
|
18,426.000000 Shares |
|
|
843,676 |
|
|
|
581,893 |
|
|
|
FLEETCOR TECHNOLOGIES INC |
|
7,266.000000 Shares |
|
|
888,345 |
|
|
|
1,080,527 |
|
|
|
GILEAD SCIENCES INC |
|
12,774.000000 Shares |
|
|
458,433 |
|
|
|
1,204,077 |
|
|
|
GOLDMAN SACHS GROUP INC |
|
5,241.000000 Shares |
|
|
718,298 |
|
|
|
1,015,863 |
|
|
|
GOOGLE INC CL A |
|
3,599.000000 Shares |
|
|
1,407,584 |
|
|
|
1,909,845 |
|
|
|
GOOGLE INC CL C |
|
3,650.000000 Shares |
|
|
1,431,959 |
|
|
|
1,921,360 |
|
|
|
ILLUMINA INC |
|
7,847.000000 Shares |
|
|
464,088 |
|
|
|
1,448,399 |
|
|
|
INCYTE CORP |
|
5,522.000000 Shares |
|
|
356,938 |
|
|
|
403,713 |
|
|
|
LAS VEGAS SANDS CORP |
|
11,227.000000 Shares |
|
|
890,714 |
|
|
|
652,962 |
|
|
|
LENDINGCLUB CORP |
|
2,010.000000 Shares |
|
|
30,150 |
|
|
|
50,853 |
|
|
|
LINKEDIN CORP CL A |
|
7,717.000000 Shares |
|
|
998,309 |
|
|
|
1,772,672 |
|
|
|
MARRIOTT INTL INC A |
|
18,945.000000 Shares |
|
|
1,089,172 |
|
|
|
1,478,278 |
|
|
|
MASTERCARD INC CL A |
|
35,493.000000 Shares |
|
|
1,739,263 |
|
|
|
3,058,077 |
|
|
|
MCGRAW HILL FINANCIAL INC |
|
9,876.000000 Shares |
|
|
865,124 |
|
|
|
878,766 |
|
|
|
MONDELEZ INTL INC |
|
37,527.000000 Shares |
|
|
1,082,925 |
|
|
|
1,363,168 |
|
|
|
MONSANTO CO |
|
14,379.000000 Shares |
|
|
1,314,963 |
|
|
|
1,717,859 |
|
|
|
MORGAN STANLEY |
|
44,626.000000 Shares |
|
|
1,453,742 |
|
|
|
1,731,489 |
|
|
|
NETFLIX INC |
|
3,603.000000 Shares |
|
|
1,062,216 |
|
|
|
1,230,821 |
|
|
|
NIKE INC CL B |
|
23,316.000000 Shares |
|
|
1,139,514 |
|
|
|
2,241,833 |
|
|
|
PRECISION CASTPARTS CORP |
|
6,465.000000 Shares |
|
|
1,067,214 |
|
|
|
1,557,289 |
|
|
|
PRICELINE GROUP INC |
|
1,704.000000 Shares |
|
|
1,110,830 |
|
|
|
1,942,918 |
|
|
|
RED HAT INC |
|
21,996.000000 Shares |
|
|
1,153,550 |
|
|
|
1,520,803 |
|
|
|
SALESFORCE.COM INC |
|
31,324.000000 Shares |
|
|
1,287,889 |
|
|
|
1,857,826 |
|
|
|
SCHLUMBERGER LTD |
|
11,202.000000 Shares |
|
|
847,286 |
|
|
|
956,763 |
|
|
|
SPLUNK INC |
|
17,816.000000 Shares |
|
|
677,938 |
|
|
|
1,050,253 |
|
|
|
STARBUCKS CORP |
|
15,664.000000 Shares |
|
|
1,186,305 |
|
|
|
1,285,231 |
|
|
|
TJX COMPANIES INC NEW |
|
12,055.000000 Shares |
|
|
522,493 |
|
|
|
826,732 |
|
|
|
TESLA MOTORS INC |
|
3,934.000000 Shares |
|
|
601,811 |
|
|
|
874,961 |
|
|
|
TIFFANY & CO |
|
9,012.000000 Shares |
|
|
870,787 |
|
|
|
963,022 |
|
|
|
TRIPADVISOR INC |
|
9,896.000000 Shares |
|
|
852,621 |
|
|
|
738,835 |
|
|
|
TWENTY FIRST CENTURY FOX |
|
25,653.000000 Shares |
|
|
828,017 |
|
|
|
985,203 |
|
|
|
TWITTER INC |
|
26,526.000000 Shares |
|
|
1,055,866 |
|
|
|
951,488 |
|
|
|
UNDER ARMOUR INC CL A |
|
16,035.000000 Shares |
|
|
647,530 |
|
|
|
1,088,777 |
|
|
|
VERTEX PHARMACEUTICALS |
|
8,276.000000 Shares |
|
|
471,613 |
|
|
|
983,189 |
|
|
|
VISA INC CL A |
|
9,548.000000 Shares |
|
|
1,428,542 |
|
|
|
2,503,486 |
|
|
|
VMWARE INC CL A |
|
7,994.000000 Shares |
|
|
740,609 |
|
|
|
659,665 |
|
|
|
WHOLE FOODS MARKET INC |
|
19,034.000000 Shares |
|
|
933,678 |
|
|
|
959,694 |
|
|
|
WORKDAY INC CL A |
|
11,869.000000 Shares |
|
|
795,608 |
|
|
|
968,629 |
|
|
|
SIGNET JEWELERS LTD (US) |
|
9,670.000000 Shares |
|
|
1,046,007 |
|
|
|
1,272,282 |
|
|
|
JAZZ PHARMA PLC |
|
1,400.000000 Shares |
|
|
238,585 |
|
|
|
229,222 |
|
|
|
NORWEGIAN CRUISE LINE HLG |
|
17,600.000000 Shares |
|
|
695,168 |
|
|
|
822,976 |
|
19
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
AAC HOLDINGS INC |
|
7,600.000000 Shares |
|
|
190,042 |
|
|
|
234,992 |
|
|
|
ACORDA THERAPEUTICS INC |
|
4,983.000000 Shares |
|
|
175,289 |
|
|
|
203,655 |
|
|
|
ADEPTUS HEALTH INC A |
|
8,400.000000 Shares |
|
|
212,207 |
|
|
|
314,160 |
|
|
|
ALNYLAM PHARMACEUTICALS |
|
6,470.000000 Shares |
|
|
395,557 |
|
|
|
627,590 |
|
|
|
APOGEE ENTERPRISES INC |
|
8,600.000000 Shares |
|
|
396,800 |
|
|
|
364,382 |
|
|
|
AUTODESK INC |
|
11,373.000000 Shares |
|
|
594,018 |
|
|
|
683,062 |
|
|
|
BIG LOTS INC |
|
8,022.000000 Shares |
|
|
364,340 |
|
|
|
321,040 |
|
|
|
BLACKHAWK NETWORK HLDGS A |
|
9,600.000000 Shares |
|
|
337,948 |
|
|
|
372,480 |
|
|
|
BOSTON BEER COMPANY CL A |
|
1,000.000000 Shares |
|
|
293,517 |
|
|
|
289,540 |
|
|
|
BUFFALO WILD WINGS INC |
|
2,700.000000 Shares |
|
|
425,471 |
|
|
|
487,026 |
|
|
|
BURLINGTON STORES INC |
|
10,300.000000 Shares |
|
|
459,974 |
|
|
|
486,778 |
|
|
|
CAVIUM INC |
|
8,400.000000 Shares |
|
|
431,543 |
|
|
|
519,288 |
|
|
|
CINTAS CORP |
|
7,700.000000 Shares |
|
|
563,889 |
|
|
|
603,988 |
|
|
|
COMSCORE INC |
|
12,804.000000 Shares |
|
|
293,755 |
|
|
|
594,490 |
|
|
|
CYPRESS SEMICONDUCTOR |
|
34,900.000000 Shares |
|
|
443,708 |
|
|
|
498,372 |
|
|
|
DEALERTRACK TECH INC |
|
6,700.000000 Shares |
|
|
302,893 |
|
|
|
296,877 |
|
|
|
DECKERS OUTDOOR CORP |
|
9,450.000000 Shares |
|
|
745,550 |
|
|
|
860,328 |
|
|
|
RADWARE LTD |
|
16,600.000000 Shares |
|
|
326,171 |
|
|
|
365,532 |
|
|
|
DEXCOM INC |
|
9,800.000000 Shares |
|
|
431,865 |
|
|
|
539,490 |
|
|
|
DIAMOND FOODS INC |
|
9,450.000000 Shares |
|
|
210,635 |
|
|
|
266,774 |
|
|
|
EAST WEST BANCORP INC |
|
8,000.000000 Shares |
|
|
312,101 |
|
|
|
309,680 |
|
|
|
EDWARDS LIFESCIENCES CORP |
|
3,155.000000 Shares |
|
|
320,771 |
|
|
|
401,884 |
|
|
|
ELECTRONIC ARTS INC |
|
7,040.000000 Shares |
|
|
187,846 |
|
|
|
330,986 |
|
|
|
ELECTRONICS FOR IMAGING |
|
9,950.000000 Shares |
|
|
416,055 |
|
|
|
426,159 |
|
|
|
ENERGIZER HOLDINGS INC |
|
5,040.000000 Shares |
|
|
643,730 |
|
|
|
647,942 |
|
|
|
EXACT SCIENCES CORP |
|
8,938.000000 Shares |
|
|
143,367 |
|
|
|
245,259 |
|
|
|
EXPEDIA INC |
|
4,040.000000 Shares |
|
|
302,021 |
|
|
|
344,854 |
|
|
|
FARO TECHNOLOGIES INC |
|
9,170.000000 Shares |
|
|
496,554 |
|
|
|
574,776 |
|
|
|
F5 NETWORKS INC |
|
7,760.000000 Shares |
|
|
896,580 |
|
|
|
1,012,408 |
|
|
|
FIESTA RESTAURANT GROUP |
|
10,450.000000 Shares |
|
|
342,138 |
|
|
|
635,360 |
|
|
|
FORTINET INC |
|
23,900.000000 Shares |
|
|
622,027 |
|
|
|
732,774 |
|
|
|
FRESHPET INC |
|
15,708.000000 Shares |
|
|
258,420 |
|
|
|
267,978 |
|
|
|
G-III APPAREL GROUP LTD |
|
7,670.000000 Shares |
|
|
523,029 |
|
|
|
774,747 |
|
|
|
GLOBAL PAYMENTS INC |
|
10,500.000000 Shares |
|
|
812,227 |
|
|
|
847,665 |
|
|
|
HABIT RESTAURANTS CL A |
|
5,000.000000 Shares |
|
|
90,000 |
|
|
|
161,750 |
|
|
|
HAIN CELESTIAL GROUP INC |
|
8,600.000000 Shares |
|
|
426,478 |
|
|
|
501,294 |
|
|
|
HANESBRANDS INC |
|
5,650.000000 Shares |
|
|
413,195 |
|
|
|
630,653 |
|
|
|
HARMAN INTL IND INC NEW |
|
11,586.000000 Shares |
|
|
949,559 |
|
|
|
1,236,342 |
|
|
|
HEADWATERS INC |
|
32,603.000000 Shares |
|
|
445,866 |
|
|
|
488,719 |
|
|
|
HOSPIRA INC |
|
7,100.000000 Shares |
|
|
413,533 |
|
|
|
434,875 |
|
|
|
IDEXX LABS INC |
|
2,100.000000 Shares |
|
|
317,031 |
|
|
|
311,367 |
|
|
|
INCYTE CORP |
|
3,000.000000 Shares |
|
|
208,263 |
|
|
|
219,330 |
|
|
|
INTEGRATED DEVICE TECH |
|
19,998.000000 Shares |
|
|
333,359 |
|
|
|
391,961 |
|
|
|
ISIS PHARMACEUTICALS CO |
|
4,600.000000 Shares |
|
|
220,306 |
|
|
|
284,004 |
|
|
|
JACK IN THE BOX INC |
|
5,000.000000 Shares |
|
|
365,401 |
|
|
|
399,800 |
|
|
|
JETBLUE AIRWAYS CORP |
|
14,200.000000 Shares |
|
|
218,568 |
|
|
|
225,212 |
|
|
|
LENNAR CORP CL A |
|
11,329.000000 Shares |
|
|
477,837 |
|
|
|
507,652 |
|
|
|
LULULEMON ATHLETICA INC |
|
10,600.000000 Shares |
|
|
565,608 |
|
|
|
591,374 |
|
|
|
MWI VETERINARY SUPPLY INC |
|
2,100.000000 Shares |
|
|
355,742 |
|
|
|
356,811 |
|
|
|
MEDIVATION INC |
|
7,950.000000 Shares |
|
|
588,109 |
|
|
|
791,900 |
|
|
|
MIDDLEBY CORP |
|
8,070.000000 Shares |
|
|
596,018 |
|
|
|
799,737 |
|
|
|
PVH CORP |
|
3,600.000000 Shares |
|
|
446,532 |
|
|
|
461,412 |
|
20
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
PTC THERAPEUTICS INC |
|
5,200.000000 Shares |
|
|
213,699 |
|
|
|
269,204 |
|
|
|
PACIRA PHARMACE |
|
2,500.000000 Shares |
|
|
239,199 |
|
|
|
221,650 |
|
|
|
PALL CORP |
|
3,700.000000 Shares |
|
|
355,991 |
|
|
|
374,477 |
|
|
|
PALO ALTO NETWORKS INC |
|
3,700.000000 Shares |
|
|
397,918 |
|
|
|
453,509 |
|
|
|
PANDORA MEDIA INC |
|
7,574.000000 Shares |
|
|
190,138 |
|
|
|
135,044 |
|
|
|
PITNEY-BOWES INC |
|
17,640.000000 Shares |
|
|
284,054 |
|
|
|
429,887 |
|
|
|
PROOFPOINT INC |
|
16,240.000000 Shares |
|
|
406,031 |
|
|
|
783,255 |
|
|
|
PUMA BIOTECHNOLOGY INC |
|
1,135.000000 Shares |
|
|
239,468 |
|
|
|
214,821 |
|
|
|
RACKSPACE HOSTING INC |
|
13,900.000000 Shares |
|
|
605,488 |
|
|
|
650,659 |
|
|
|
RADIAN GROUP INC |
|
42,700.000000 Shares |
|
|
717,453 |
|
|
|
713,944 |
|
|
|
RITE AID CORP |
|
65,300.000000 Shares |
|
|
448,775 |
|
|
|
491,056 |
|
|
|
ROBERT HALF INTL INC. |
|
20,300.000000 Shares |
|
|
1,012,134 |
|
|
|
1,185,114 |
|
|
|
RYDER SYSTEM INC |
|
4,690.000000 Shares |
|
|
421,216 |
|
|
|
435,467 |
|
|
|
SERVICENOW INC |
|
18,310.000000 Shares |
|
|
821,892 |
|
|
|
1,242,334 |
|
|
|
SIGNATURE BANK |
|
5,560.000000 Shares |
|
|
573,358 |
|
|
|
700,338 |
|
|
|
STAMPS.COM INC |
|
6,700.000000 Shares |
|
|
314,254 |
|
|
|
321,533 |
|
|
|
TEAM HEALTH HOLDINGS INC |
|
6,700.000000 Shares |
|
|
386,066 |
|
|
|
385,451 |
|
|
|
TENET HEALTHCARE CORP |
|
4,200.000000 Shares |
|
|
228,367 |
|
|
|
212,814 |
|
|
|
TRACTOR SUPPLY CO. |
|
4,600.000000 Shares |
|
|
323,489 |
|
|
|
362,572 |
|
|
|
ULTA SALON COSMETICS & FR |
|
6,800.000000 Shares |
|
|
811,167 |
|
|
|
869,312 |
|
|
|
UNDER ARMOUR INC CL A |
|
8,242.000000 Shares |
|
|
388,177 |
|
|
|
559,632 |
|
|
|
UNIVERSAL HEALTH SVC CL B |
|
2,200.000000 Shares |
|
|
236,874 |
|
|
|
244,772 |
|
|
|
VERIFONE SYSTEMS INC |
|
19,640.000000 Shares |
|
|
697,247 |
|
|
|
730,608 |
|
|
|
VULCAN MATERIALS CO |
|
8,555.000000 Shares |
|
|
460,901 |
|
|
|
562,320 |
|
|
|
WAGEWORKS INC |
|
5,406.000000 Shares |
|
|
161,407 |
|
|
|
349,065 |
|
|
|
WHITEWAVE FOODS CO CL A |
|
15,400.000000 Shares |
|
|
557,267 |
|
|
|
538,846 |
|
|
|
WILLIAMS-SONOMA INC |
|
3,380.000000 Shares |
|
|
229,089 |
|
|
|
255,798 |
|
|
|
XPO LOGISTICS INC |
|
23,174.000000 Shares |
|
|
668,995 |
|
|
|
947,353 |
|
|
|
YELP INC |
|
8,160.000000 Shares |
|
|
575,192 |
|
|
|
446,597 |
|
|
|
ZELTIQ AESTHETICS INC |
|
15,861.000000 Shares |
|
|
338,698 |
|
|
|
442,681 |
|
|
|
FRANK’S INTERNATIONAL NV |
|
20,613.000000 Shares |
|
|
507,679 |
|
|
|
342,794 |
|
|
|
LAZARD LTD CL A |
|
9,290.000000 Shares |
|
|
485,725 |
|
|
|
464,779 |
|
|
|
ABM INDUSTRIES INC |
|
17,399.000000 Shares |
|
|
488,650 |
|
|
|
498,481 |
|
|
|
ABIOMED INC |
|
14,640.000000 Shares |
|
|
302,331 |
|
|
|
557,198 |
|
|
|
AFFILIATED MANAGERS GRP |
|
4,750.000000 Shares |
|
|
636,555 |
|
|
|
1,008,140 |
|
|
|
AKAMAI TECHNOLOGIES INC |
|
12,945.000000 Shares |
|
|
561,366 |
|
|
|
815,017 |
|
|
|
AKORN INC |
|
16,644.000000 Shares |
|
|
581,816 |
|
|
|
602,513 |
|
|
|
ALIGN TECHNOLOGY INC |
|
12,517.000000 Shares |
|
|
388,873 |
|
|
|
699,825 |
|
|
|
ANSYS INC |
|
7,260.000000 Shares |
|
|
527,809 |
|
|
|
595,320 |
|
|
|
B/E AEROSPACE INC |
|
7,320.000000 Shares |
|
|
261,202 |
|
|
|
424,706 |
|
|
|
BIOMARIN PHARMACEUTICAL |
|
10,760.000000 Shares |
|
|
588,129 |
|
|
|
972,704 |
|
|
|
BIO TECHNE CORP |
|
7,210.000000 Shares |
|
|
656,294 |
|
|
|
666,204 |
|
|
|
BOOZ ALLEN HAMILTON CL A |
|
22,953.000000 Shares |
|
|
505,835 |
|
|
|
608,943 |
|
|
|
BROOKDALE SENIOR LIVING |
|
18,050.000000 Shares |
|
|
469,583 |
|
|
|
661,894 |
|
|
|
CBOE HOLDINGS INC |
|
14,590.000000 Shares |
|
|
472,725 |
|
|
|
925,298 |
|
|
|
CARRIZO OIL & GAS INC |
|
7,460.000000 Shares |
|
|
371,325 |
|
|
|
310,336 |
|
|
|
CATAMARAN CORP |
|
10,920.000000 Shares |
|
|
517,493 |
|
|
|
565,110 |
|
|
|
CELANESE CORP SER A |
|
11,370.000000 Shares |
|
|
433,368 |
|
|
|
681,745 |
|
|
|
CHOICE HOTELS INTL INC |
|
10,400.000000 Shares |
|
|
544,611 |
|
|
|
582,608 |
|
|
|
CORPORATE EXECUTIVE BRD C |
|
8,185.000000 Shares |
|
|
434,018 |
|
|
|
593,658 |
|
|
|
COSTAR GROUP INC |
|
4,343.000000 Shares |
|
|
406,588 |
|
|
|
797,505 |
|
|
|
CYBERONICS INC |
|
7,655.000000 Shares |
|
|
481,628 |
|
|
|
426,230 |
|
21
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
FIRSTSERVICE CORP |
|
10,652.000000 Shares |
|
|
333,669 |
|
|
|
541,761 |
|
|
|
DREW INDUSTRIES INC |
|
9,470.000000 Shares |
|
|
423,572 |
|
|
|
483,633 |
|
|
|
ENCORE CAP GROUP INC |
|
10,900.000000 Shares |
|
|
368,284 |
|
|
|
483,960 |
|
|
|
EXACT SCIENCES CORP |
|
23,726.000000 Shares |
|
|
416,006 |
|
|
|
651,041 |
|
|
|
EXAMWORKS GROUP INC |
|
10,381.000000 Shares |
|
|
316,620 |
|
|
|
431,746 |
|
|
|
FXCM INC CLASS A |
|
40,678.000000 Shares |
|
|
627,354 |
|
|
|
674,034 |
|
|
|
FACTSET RESEARCH SYS INC |
|
4,630.000000 Shares |
|
|
470,892 |
|
|
|
651,673 |
|
|
|
FIRST CASH FIN SRVS INC |
|
6,610.000000 Shares |
|
|
331,547 |
|
|
|
367,979 |
|
|
|
FORTUNE BRANDS HOME & SEC |
|
12,281.000000 Shares |
|
|
405,955 |
|
|
|
555,961 |
|
|
|
FORUM ENERGY TECH INC |
|
11,820.000000 Shares |
|
|
384,087 |
|
|
|
245,029 |
|
|
|
GARTNER INC |
|
8,350.000000 Shares |
|
|
415,132 |
|
|
|
703,154 |
|
|
|
GRACO INC |
|
4,743.000000 Shares |
|
|
287,622 |
|
|
|
380,294 |
|
|
|
GUIDEWIRE SOFTWARE INC |
|
21,202.000000 Shares |
|
|
796,949 |
|
|
|
1,073,457 |
|
|
|
GULFPORT ENERGY CORP |
|
6,100.000000 Shares |
|
|
370,161 |
|
|
|
254,614 |
|
|
|
HEALTHCARE SVCS GROUP INC |
|
16,420.000000 Shares |
|
|
390,825 |
|
|
|
507,871 |
|
|
|
HEALTHSOUTH CORP |
|
23,296.000000 Shares |
|
|
673,267 |
|
|
|
895,964 |
|
|
|
HELMERICH & PAYNE INC |
|
3,207.000000 Shares |
|
|
175,960 |
|
|
|
216,216 |
|
|
|
HEXCEL CORPORATION |
|
14,450.000000 Shares |
|
|
589,985 |
|
|
|
599,531 |
|
|
|
ICF INTERNATIONAL INC |
|
20,147.000000 Shares |
|
|
401,022 |
|
|
|
825,624 |
|
|
|
IDEXX LABS INC |
|
4,913.000000 Shares |
|
|
479,702 |
|
|
|
728,451 |
|
|
|
INTERNATIONAL FLAVORS & F |
|
7,430.000000 Shares |
|
|
709,319 |
|
|
|
753,105 |
|
|
|
JARDEN CORP |
|
16,005.000000 Shares |
|
|
407,301 |
|
|
|
766,319 |
|
|
|
JONES LANG LASALLE INC |
|
8,200.000000 Shares |
|
|
791,377 |
|
|
|
1,229,426 |
|
|
|
J2 GLOBAL INC |
|
24,355.000000 Shares |
|
|
1,079,342 |
|
|
|
1,510,010 |
|
|
|
KLX INC W/I |
|
3,660.000000 Shares |
|
|
99,344 |
|
|
|
150,975 |
|
|
|
LPL FIN HLDGS INC |
|
10,694.000000 Shares |
|
|
463,391 |
|
|
|
476,418 |
|
|
|
LIGAND PHARMACEUTICALS |
|
9,772.000000 Shares |
|
|
496,510 |
|
|
|
519,968 |
|
|
|
MANPOWERGROUP INC |
|
5,680.000000 Shares |
|
|
238,490 |
|
|
|
387,206 |
|
|
|
MEDIVATION INC |
|
5,624.000000 Shares |
|
|
436,353 |
|
|
|
560,207 |
|
|
|
MEDNAX INC |
|
13,710.000000 Shares |
|
|
737,343 |
|
|
|
906,368 |
|
|
|
METTLER-TOLEDO INTL INC |
|
2,930.000000 Shares |
|
|
661,938 |
|
|
|
886,208 |
|
|
|
MIDDLEBY CORP |
|
5,984.000000 Shares |
|
|
487,168 |
|
|
|
593,014 |
|
|
|
NEUSTAR INC CL A |
|
12,536.000000 Shares |
|
|
580,133 |
|
|
|
348,501 |
|
|
|
NU SKIN ENTERPRISES CL A |
|
13,860.000000 Shares |
|
|
655,390 |
|
|
|
605,682 |
|
|
|
OCEANEERING INTL INC |
|
4,780.000000 Shares |
|
|
272,224 |
|
|
|
281,112 |
|
|
|
OLD DOMINION FREIGHT LINE |
|
8,014.000000 Shares |
|
|
297,946 |
|
|
|
622,207 |
|
|
|
PRA GROUP INC |
|
14,760.000000 Shares |
|
|
624,013 |
|
|
|
855,047 |
|
|
|
PANDORA MEDIA INC |
|
24,325.000000 Shares |
|
|
411,883 |
|
|
|
433,715 |
|
|
|
POLARIS INDUSTRIES INC |
|
5,070.000000 Shares |
|
|
520,255 |
|
|
|
766,787 |
|
|
|
QUINTILES TRANSNATL HLDGS |
|
12,820.000000 Shares |
|
|
714,651 |
|
|
|
754,713 |
|
|
|
ROBERT HALF INTL INC. |
|
19,890.000000 Shares |
|
|
549,986 |
|
|
|
1,161,178 |
|
|
|
SBA COMM CORP CL A |
|
8,660.000000 Shares |
|
|
599,457 |
|
|
|
959,182 |
|
|
|
SALLY BEAUTY HLDGS INC |
|
18,770.000000 Shares |
|
|
468,784 |
|
|
|
576,990 |
|
|
|
SIGNATURE BANK |
|
5,420.000000 Shares |
|
|
508,904 |
|
|
|
682,703 |
|
|
|
SIRONA DENTAL SYSTEMS INC |
|
10,869.000000 Shares |
|
|
663,966 |
|
|
|
949,624 |
|
|
|
SIX FLAGS ENTERTAINMENT |
|
26,230.000000 Shares |
|
|
970,885 |
|
|
|
1,131,825 |
|
|
|
STERICYCLE INC |
|
9,740.000000 Shares |
|
|
917,514 |
|
|
|
1,276,719 |
|
|
|
TEAM HEALTH HOLDINGS INC |
|
9,966.000000 Shares |
|
|
299,209 |
|
|
|
573,344 |
|
|
|
TORO CO |
|
7,310.000000 Shares |
|
|
464,660 |
|
|
|
466,451 |
|
|
|
TOWERS WATSON & CO CL A |
|
6,000.000000 Shares |
|
|
631,808 |
|
|
|
679,020 |
|
|
|
TRACTOR SUPPLY CO. |
|
7,040.000000 Shares |
|
|
355,194 |
|
|
|
554,893 |
|
|
|
TRANSDIGM GROUP INC |
|
2,551.000000 Shares |
|
|
411,220 |
|
|
|
500,889 |
|
22
Ameren Corporation
Savings Investment Plan
SCHEDULE H, Line 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
December 31, 2014
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, lessor, or
similar party |
|
Description of investment including
maturity date, rate of interest, collateral, par, or maturity value |
|
Cost |
|
|
Current value |
|
|
|
TRIMAS CORP |
|
16,082.000000 Shares |
|
|
411,873 |
|
|
|
503,206 |
|
|
|
2U INC |
|
20,798.000000 Shares |
|
|
379,644 |
|
|
|
408,889 |
|
|
|
VANTIV INC |
|
23,970.000000 Shares |
|
|
676,388 |
|
|
|
813,062 |
|
|
|
WILLIAMS-SONOMA INC |
|
12,920.000000 Shares |
|
|
754,232 |
|
|
|
977,786 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Common Stocks |
|
|
326,648,862 |
|
|
|
429,360,679 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Exchange Traded Funds |
|
|
|
|
|
|
|
|
|
|
|
|
ISHARES RUSSEL MIDCP GRWT |
|
2,090.000000 Shares |
|
|
192,505 |
|
|
|
194,851 |
|
|
|
ISHARES RUSSELL 2000 GR E |
|
5,750.000000 Shares |
|
|
791,771 |
|
|
|
818,685 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Exchange Traded Funds |
|
|
984,276 |
|
|
|
1,013,536 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
American Depositary Receipts |
|
|
|
|
|
|
|
|
|
|
|
|
ARM HOLDINGS PLC SPON ADR |
|
22,113.000000 Shares |
|
|
889,223 |
|
|
|
1,023,832 |
|
|
|
INDITEX SA UNSPN ADR |
|
74,360.000000 Shares |
|
|
949,731 |
|
|
|
1,055,912 |
|
|
|
NOVO-NORDISK AS CL B ADR |
|
36,951.000000 Shares |
|
|
1,211,825 |
|
|
|
1,563,766 |
|
|
|
SHIRE PLC SPON ADR |
|
5,172.000000 Shares |
|
|
1,103,521 |
|
|
|
1,099,257 |
|
|
|
WNS HLDGS LTD SP ADR |
|
23,643.000000 Shares |
|
|
345,874 |
|
|
|
488,465 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total American Depositary Receipts |
|
|
4,500,174 |
|
|
|
5,231,232 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investment Contract |
|
|
|
|
|
|
|
|
|
|
|
|
Metropolitan Life Ins Co. |
|
1.14% |
|
|
– |
|
|
|
17,373 |
|
|
|
Overnight Deposit Instrument |
|
|
|
|
|
|
|
|
|
|
|
|
BBH&Co. |
|
BBH&Co. Cash Management Service |
|
|
1,659,190 |
|
|
|
1,659,190 |
|
|
|
Notes Receivable |
|
|
|
|
|
|
|
|
|
|
| * / ** |
|
Participants |
|
Participant Loans |
|
|
34,286,429 |
|
|
|
34,286,429 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,708,258,889 |
|
|
|
2,021,097,612 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Investment represents allowable transaction with a party-in-interest. |
| ** |
Interest rates vary from 4.00% to 10.50% on loans maturing through 2025. |
23
SIGNATURES
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be
signed on its behalf by the undersigned hereunto duly authorized.
|
|
|
| AMEREN CORPORATION
SAVINGS INVESTMENT PLAN AMEREN SERVICES COMPANY (Administrator) |
|
|
| By |
|
/s/ Daniel F. Cole |
|
|
Daniel F. Cole Chairman and President Ameren Services Company |
June 26, 2015
EXHIBIT INDEX
|
|
|
| Exhibit No. |
|
Description |
|
|
| 23.1 |
|
Consent of Independent Registered Public Accounting Firm |
Exhibit 23.1
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation
by reference in Registration Statements No. 333-191786 and No. 333-157655 on Form S-8 of Ameren Corporation of our report dated June 26, 2015 appearing in this Annual Report on Form 11-K of the Ameren Corporation Savings Investment
Plan for the year ended December 31, 2014.
|
|
| /s/ Crowe Horwath LLP |
| Crowe Horwath LLP |
South Bend, Indiana
June 26, 2015
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