Report of Independent Registered Public Accounting Firm
To the Administrator and Plan Participants of American Express Retirement Savings Plan
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of American Express Retirement Savings Plan (the “Plan”) as of December 31, 2019 and 2018 and the related statement of changes in net assets available for benefits for the year ended December 31, 2019, including the related notes (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2019 and 2018, and the changes in net assets available for benefits for the year ended December 31, 2019 in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion
These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits of these financial statements 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.
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.
Supplemental Information
The supplemental schedules of assets (held at end of year) as of December 31, 2019 and of assets (acquired and disposed of within year) for the year ended December 31, 2019 have been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental schedules are the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedules reconcile to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedules. In forming our opinion on the supplemental schedules, we evaluated whether the supplemental schedules, including their form and content, are presented in conformity with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental schedules are fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ PricewaterhouseCoopers LLP
New York, New York
June 22, 2020
We have served as the Plan’s auditor since 2006.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Statements of Net Assets Available for Benefits
as of December 31, 2019 and 2018
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(Thousands)
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2019
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2018
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Assets
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Investments, at fair value:
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Money market funds
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$
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68,916
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$
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39,198
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Corporate debt instruments
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93,564
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84,623
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Common stocks
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2,131,365
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1,823,770
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U.S. Government and agency obligations
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208,692
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214,378
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Common/collective trusts
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2,285,893
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1,622,061
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Mutual funds
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390,915
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370,265
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Self-directed brokerage accounts
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138,364
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123,618
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Other investments
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155,022
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136,786
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Total investments, at fair value
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5,472,731
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4,414,699
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Fully benefit responsive investment contracts, at contract value
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572,415
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523,756
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Due from brokers
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4,213
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3,439
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Cash (non-interest bearing)
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5,553
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4,257
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Receivables:
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Notes receivable from participants
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84,655
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81,802
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Investment income accrued
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3,600
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3,137
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Employer contributions
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94,504
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90,111
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Total Assets
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6,237,671
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5,121,201
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Liabilities
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Accrued expenses
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2,641
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2,755
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Due to brokers
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8,678
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7,526
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Total Liabilities
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11,319
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10,281
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Net assets available for benefits
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$
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6,226,352
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$
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5,110,920
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See accompanying notes to the financial statements.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Statement of Changes in Net Assets Available for Benefits
for the Year Ended December 31, 2019
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(Thousands)
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2019
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Contributions
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Employer
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$
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194,000
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Employee
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187,720
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Rollovers
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19,960
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Total contributions
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401,680
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Investment income
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Net appreciation of investments
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1,073,875
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Interest and dividends
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70,073
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Other income
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1,733
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Total investment income
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1,145,681
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Interest on notes receivable from participants
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4,476
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Total additions to net assets
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1,551,837
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Withdrawal payments
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(423,524)
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Administrative expenses
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(12,881)
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Total deductions from net assets
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(436,405)
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Net increase in net assets available for benefits
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1,115,432
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Net assets available for benefits at beginning of year
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5,110,920
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Net assets available for benefits at end of year
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$
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6,226,352
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See accompanying notes to the financial statements.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
1.Description of the Plan
General
The American Express Retirement Savings Plan (the “Plan”), which became effective June 11, 1973, is a defined contribution plan. Under the terms of the Plan, regular full-time and certain part-time employees of American Express Company and its participating subsidiaries (the “Company”) can make elective contributions to the Plan beginning as soon as practicable after their date of hire, and eligible employees hired for the first time on or after January 1, 2017 are covered by the Plan’s automatic enrollment provisions. Eligible employees can qualify to receive Company contributions, if any, upon completion of six months of service.
The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). The following is not a comprehensive description of the Plan, and therefore does not include all situations and limitations covered by the Plan. The Plan Document (“Plan Document”) is the exclusive governing document and should be referred to for more complete information.
Administration
Wells Fargo Bank, N.A. is the Trustee and Recordkeeper for the Plan. The Plan is administered by the Company’s Employee Benefits Administration Committee (“EBAC”) and the Company’s Retirement Savings Plan Investment Committee (“RSPIC”). The Plan Document requires that the American Express Company Stock Fund be offered as an investment option, subject to compliance with ERISA. RSPIC has the power to select the other investment options available under the Plan and the manner in which these investment options are invested. Subject to Plan limits, RSPIC also has the power to appoint investment managers to make investment decisions. Under the terms of the Plan Document, the members of EBAC and RSPIC are appointed by the Company’s Vice President, Global Benefits.
On July 1, 2019, Principal Financial Group (“Principal Financial”) announced that it had closed its acquisition of Wells Fargo & Company's Institutional Retirement & Trust business. Recordkeeping and trustee services continue to be performed by Wells Fargo, although the Company and the Plan's fiduciaries have been advised that such services will transition from Wells Fargo to Principal Financial.
Compensation
The participant compensation (commonly referred to as “Total Pay”) that is used in the calculation of Plan contributions generally includes an employee’s base pay plus overtime, shift differentials, most commissions and most cash incentives. For participants above certain salary grades, as defined by the Plan, Total Pay does not include any incentive pay which, in the aggregate, is in excess of one times their base salary when calculating Company contributions.
For purposes of the Plan, compensation is limited to a participant’s regular cash remuneration up to a maximum of $280,000 in 2019 and $275,000 in 2018, before tax deductions and certain other withholdings.
Contributions
The Plan currently provides for the following contributions:
Elective Contributions
Each pay period, participants may make Before-Tax Contributions, Roth Contributions, and/or After-Tax Contributions up to 10% of eligible compensation, or a combination thereof, not to exceed 80% of their Total Pay, to the Plan through payroll deductions. Roth Contributions are a special type of after-tax contribution and are subject to most of the same rules as Before-Tax Contributions. The Internal Revenue Code of 1986, as amended (the “Code”) imposes a limitation that is adjusted annually for cost of living increases on participants’ pre-tax and Roth contributions to plans which are qualified under Code Section 401(k) and other specified tax-favored plans. For 2019 and 2018, this limit was $19,000 and $18,500, respectively, for participants under age 50 and $25,000 and $24,500, respectively, for participants age 50 or older. The Plan complied with non-discrimination requirements under the Code during 2019 and 2018 by utilizing the safe harbor design for deferrals and matching contributions in accordance with Sections 401(k)(12) and 401(m)(11) of the Code.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Eligible employees hired for the first time on or after January 1, 2017 are automatically enrolled to make Before-Tax Contributions equal to 3% of base pay, with a 1% automatic increase each year until the rate reaches 10%, unless the employee makes an alternative election to contribute at a different rate or opt out of automatic enrollment. Effective beginning September 1, 2019, contribution elections in effect, pursuant to the Plan's automatic enrollment and automatic increase provisions, are applicable to overtime and eligible incentive pay.
Company Matching Contributions
The Company matches 100% of a participant’s Before-Tax Contributions and/or Roth Contributions up to 6% of Total Pay after a participant’s completion of six months of service.
Profit Sharing Contributions
Upon a participant’s completion of six months of service, additional Company contributions may be made annually at the Company’s discretion which can be based, in part, on the Company’s performance. Participants must be employed on the last working day of the Plan year (or be disabled under the terms of the Plan) to be eligible for any Profit Sharing Contributions made for that Plan year. Profit Sharing Contributions to eligible participants are made regardless of whether the eligible participant contributes to the Plan. Profit Sharing Contributions comprised 3.00% of eligible participants’ Total Pay in both 2019 and 2018.
Qualified Non-Elective Contributions
The Company may make Qualified Non-Elective Contributions (“QNEC”). A QNEC is a discretionary, fully vested contribution. The Company may designate all or part of a Company profit sharing contribution as a QNEC. Alternatively, the Company may, in its sole discretion, make an additional contribution designated as a QNEC. Any QNECs are fully vested when made and distributable only under circumstances that permit distributions of Before-Tax Contributions or Roth Contributions. QNECs may be allocated as a uniform percentage of eligible compensation for designated employees and may be restricted to only such employees employed on the last day of the Plan year. Alternatively, the Company may direct that QNECs be allocated among specifically designated non-highly compensated employees in varying percentages of compensation as permitted by law.
Conversion Contributions
For eligible employees on the Company’s United States payroll or on unpaid leave of absence on July 1, 2007 and who generally commenced service prior to April 1, 2007, the Company has made Conversion Contributions equal to a percentage of compensation. The amount of the participant’s Conversion Contributions was based on his/her projected attained age plus completed years of service with the Company as of December 31, 2008. Conversion Contributions ranged from 0.5% to 8.0% of Total Pay. Effective January 1, 2018, the Company phased out Conversion Contributions. All Conversion Contributions ceased for periods after December 31, 2018.
Disability Contributions
Certain qualifying participants who become disabled, as defined by the Plan Document, are eligible to receive contributions similar to Company Conversion Contributions (discontinued for periods after December 31, 2018 as mentioned above), Profit Sharing Contributions and/or Matching Contributions.
Transfer of Account Balances
A participant’s account balance may be transferred among the Plan’s investment options upon receipt of instructions from the participant. Account balances may be allocated among the Plan’s investment options on a daily basis.
Participant Rollovers
A rollover contribution is a transfer to the Plan of a qualified distribution in accordance with the provisions of the Plan. Rollovers are accepted into the Plan, but are not subject to Company contributions.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
In-Plan Roth Conversions
The Plan allows for in-Plan Roth conversions.
Vesting
Participants are immediately vested in their elective Before-Tax, Roth and After-Tax Contributions and rollovers, if any, as well as the investment earnings on the foregoing. Other contributions become vested as set forth below:
Company Matching Contributions
Company Matching Contributions and investment earnings thereon are immediately 100% vested.
Discretionary Profit Sharing Contributions
Profit Sharing Contributions and investment earnings thereon are 100% vested after the earlier of three years of service or, if still employed by the Company or an affiliate, at or after attainment of age 65, disability or death.
Qualified Non-Elective Contributions
QNECs are immediately 100% vested and investment earnings thereon are immediately 100% vested.
Conversion Contributions
Conversion Contributions and investment earnings thereon are 100% vested after the earlier of three years of service or, if still employed by the Company or an affiliate, at or after attainment of age 65, disability or death.
Disability Contributions
Disability Contributions are immediately 100% vested.
Forfeitures
Forfeitures of terminated participants’ non-vested accounts, as well as amounts attributable to outstanding checks as to which the payee cannot be located, are used to pay Plan expenses or to reduce future Company contributions. Amounts attributable to uncashed checks may, in accordance with EBAC’s direction, be allocated wholly or partly to a reserve to cover future claims for these benefits or be treated in accordance with the normal rules for forfeitures. Forfeited non-vested balances were $1.6 million as of both December 31, 2019 and 2018. Accrued 2019 and 2018 Profit Sharing Contributions made to the Plan in March 2020 and March 2019, respectively, were both reduced by $1.0 million from forfeited account balances.
Plan Termination
Although it has not expressed any intent to do so, the Company has the right under the Plan to discontinue its contributions at any time and to terminate the Plan subject to the provisions of ERISA. In the event of Plan termination, participants will become 100% vested in their accounts and Plan assets will be distributed in accordance with the Plan Document.
Notes Receivable from Participants
Notes receivable from participants (loans) are carried at their unpaid principal balance plus any accrued but unpaid interest. Participants are allowed to apply for a loan from the Plan for a minimum amount of $500 up to the lesser of $50,000 or 50% of their vested balance, subject to certain restrictions set forth in the Plan and the Code. General purpose loans are limited to terms of 59 months. Loans to purchase a principal residence have a maximum term of 359 months. Loan repayment amounts, including principal and interest, are deducted each pay period and allocated to participants’ investment accounts in accordance with the election in effect for new contributions at the time of repayment. Terminated participants who have an outstanding loan may make arrangements with the Recordkeeper to pay the loan in full, or make installment payments. If arrangements are not made for the payment of the outstanding loan balance, the loan amount will be considered in default and the outstanding loan balance will be offset from the account balance, subject to income tax regulations.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Loans are collateralized by the participant’s remaining vested account balance and the interest rate is fixed for the life of the loan. The interest rate determination is based on the prime rate plus one percentage point. In the event of a loan default, the loan is treated as a distribution (i.e., as an early withdrawal of funds from the Plan for tax purposes), which subjects the participant to income tax plus any penalties imposed by the Code based on the loan balance. If the participant is still employed, the loan balance is taxed as a “deemed distribution” but remains outstanding as an obligation of the participant until it is either repaid or the participant terminates employment. In the event of a termination, either voluntary or involuntary, the loan balance is treated as an actual distribution and deducted from the participant’s Plan account balance. Loans outstanding to participants at December 31, 2019, carried interest rates varying from 3.25% to 9.50% and will mature at various dates through November 2049.
Tax Deferrals
As long as the Plan remains qualified and the related Trust (the “Trust”) remains tax exempt, amounts invested in the Plan through Before-Tax Contributions and Company contributions and rollovers, as well as the investment earnings on such amounts, are not subject to federal income tax until distributed to the participant. After-Tax Contributions are taxed when contributed, with earnings taxed upon distribution. Roth Contributions are taxed when contributed, and earnings on Roth Contributions and rolled-in Roth amounts qualify for tax-free distribution if a participant (i) reaches age 59-1/2, dies or becomes disabled (as defined by federal law) and (ii) has a Roth Contribution account with the Plan (or another plan from which a direct rollover of Roth contributions is received) for at least five taxable years. If those conditions are not met, earnings on Roth Contributions are taxed when distributed. Amounts that are converted to Roth status through an in-plan Roth conversion are taxed when converted (with the exception of After-Tax Contributions; however, earnings on After-Tax Contributions are subject to tax when converted), and thereafter are subject to the Roth taxation rules.
Distributions and Withdrawals
Upon termination of employment due to disability, death or retirement at or after attainment of the Plan’s normal retirement age (65), participants or their beneficiaries are fully vested and eligible to receive a distribution of the full value of their accounts. If employment ends for other reasons, participants are eligible to receive a distribution of their vested account balance. When employment ends, participants (or their beneficiaries) may elect to receive their vested balance as a lump sum cash amount, American Express Company common shares, if applicable, shares of any investment available through the Self-Directed Brokerage Account (“SDA”), if applicable, or a combination of cash and shares. If the account balance is greater than $1,000, a participant may elect to defer distribution until April 1st of the year following the year in which the participant attains age 70-1/2. (If a participant attains age 70-1/2 after December 31, 2019, then the participant may elect to defer distribution until April 1st of the year following the year in which the participant attains age 72 if the account balance is greater than $1,000.) If the account balance is $1,000 or less, a distribution will be made in a lump sum following the end of employment. Participants may request a withdrawal of all or a portion of their vested account balance subject to limitations under the terms of the Plan and certain tax penalties imposed by the Code. Distributions and withdrawals are recorded when paid. Distributions may be rolled over to a qualified Individual Retirement Account (“IRA”) or other qualified employer retirement plan, if that plan allows rollovers.
Expenses
The Company, in its discretion, may pay certain administrative expenses, with any expenses not paid by the Company being charged to the Plan. Expenses related to separately managed investment funds are generally paid out of the applicable investment funds. Fees, commissions, and other charges and administrative expenses that are attributable to the investment funds as a whole are generally paid from the Plan. All such expenses that are paid by the Plan are included within the administrative expenses on the Statement of Changes in Net Assets Available for Benefits. Fees and expenses incurred indirectly by the Plan from the underlying mutual funds and collective trusts in which the Plan may invest are not included in the Statement of Changes in Net Assets Available for Benefits as expenses, but reduce the asset value of that mutual fund or collective trust. Additional expenses are associated with the SDA, and participants electing to invest through the SDA are charged directly for these fees through their SDA.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Wells Fargo Institutional Retirement & Trust charges the Plan for recordkeeping of participant accounts, as well as trust and custody of plan assets. The Plan’s fee structure provides for a flat per-participant fee. The Plan’s investment adviser, NEPC, LLC, receives its compensation primarily in the form of a flat fee for its investment advisory services, which is paid by the Plan, plus an additional flat fee related to the oversight of the asset allocation of the Retirement Funds, which is charged to the Plan’s Retirement Funds on a pro rata basis. Additionally, as described in Note 8, the Plan reimburses the Company for direct expenses (salary and benefit costs) associated with a Company employee dedicated to servicing the Company’s qualified retirement plans for time spent providing services to the Plan.
2. Summary of Significant Accounting Policies
Basis of Accounting
The accompanying financial statements have been prepared on the accrual basis of accounting in conformity with accounting principles generally accepted in the United States of America (“GAAP”).
Amounts Based on Estimates and Assumptions
Accounting estimates are an integral part of the financial statements. These estimates are based, in part, on management’s assumptions concerning future events. Among the more significant assumptions are those that relate to fair value measurements. These accounting estimates reflect the best judgment of management, but actual results could differ.
Cash and Cash Equivalents
Cash includes cash on hand, while cash equivalents include other highly liquid investments with an original maturity of 90 days or less, such as money market funds. All cash equivalents are presented within the “Other investments” line item in the financial statements and are reported on “Schedule H, Line 4i”.
Investment Valuation and Income Recognition
Investments are generally reported at fair value, with the exception of fully benefit responsive investment contracts, which are reported at contract value. Investments traded on securities exchanges, including common and preferred stocks, are valued at the year-end closing market prices or, in the absence of a closing price, the last reported trade price at the financial statement date. The fair value of the Plan’s corporate debt instruments, U.S. Government and agency securities, municipal bonds and foreign bonds, is valued using a variety of observable market inputs, depending on the type of security being priced, and are obtained from pricing services engaged by the Plan’s Trustee. See Note 3 (Fair Value Measurements) for a detailed discussion of the valuation techniques.
Purchases and sales of securities are reflected on a trade-date basis. Dividend income is recorded on the ex-dividend date. Interest income is recorded on an accrual basis. As required by the Plan, all dividend and interest income is reinvested into the same investment option in which the dividends and interest income arose, provided that restrictions may apply to investments held under the SDA, and with the exception of the American Express Company Stock Fund, which is an investment option and an Employee Stock Ownership Plan (“ESOP”). The ESOP holds shares of American Express Company stock on behalf of participants. Dividends are automatically reinvested in the American Express Company Stock Fund, unless participants elect that the dividends paid with respect to their interest in the fund be distributed in cash.
The Plan presents in the Statement of Changes in Net Assets Available for Benefits the net appreciation in the fair value of its investments, which consists of the realized gains or losses and the unrealized appreciation or depreciation on those investments.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Subsequent Events
The Plan evaluated events or transactions that may have occurred after the Statement of Net Assets Available for Benefits date for potential recognition or disclosure through June 22, 2020, the date the financial statements were available to be issued. In early March 2020, COVID-19, a disease caused by a novel strain of the coronavirus, was characterized as a pandemic by the World Health Organization. The COVID-19 pandemic has negatively impacted the world economy and has resulted in significant volatility in global financial markets. The ultimate impact of the COVID-19 pandemic on the Plan's net assets available for benefits, contributions and benefit obligations remains uncertain.
The Plan permitted coronavirus-related distributions, enhanced participant loan limits, and suspension of participant loan repayments in accordance with the Coronavirus Aid, Relief and Economic Security Act (the CARES Act) and will suspend 2020 required minimum distributions payable after April 1, 2020 and allow 2020 to be disregarded for purposes of the five-year required minimum distribution deadline.
Recently Issued Accounting Standards
In August 2018, the Financial Accounting Standards Board (FASB) issued new accounting guidance on fair value disclosures, effective January 1, 2020, with early adoption permitted. The guidance amends the disclosure requirements primarily around Level 3 fair value measurements and transfers between levels of the fair value hierarchy; adding new disclosure requirements, eliminating some existing disclosure requirements and modifying others. New disclosure requirements, as well as any modifications of disclosures, require prospective application and all other amendments must be applied retrospectively to all periods presented. The Plan elected to early adopt the guidance as of the Plan year ended December 31, 2018, which did not have a significant impact on the Plan’s disclosures.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
3. Fair Value Measurements
Fair value is defined as 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, based on the Plan’s principal or, in the absence of a principal, most advantageous market for the specific asset or liability.
GAAP provides for a three-level hierarchy of inputs to valuation techniques used to measure fair value, defined as follows:
• Level 1 – Inputs that are quoted prices (unadjusted) for identical assets or liabilities in active markets that the Plan can access.
• Level 2 – Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly, for substantially the full term of the asset or liability, including:
– Quoted prices for similar assets or liabilities in active markets;
– Quoted prices for identical or similar assets or liabilities in markets that are not active;
– Inputs other than quoted prices that are observable for the asset or liability; and
– Inputs that are derived principally from or corroborated by observable market data by correlation or other means.
• Level 3 – Inputs that are unobservable and reflect the Plan’s own assumptions about the assumptions market participants would use in pricing the asset or liability based on the best information available in the circumstances (e.g., internally derived assumptions surrounding the timing and amount of expected cash flows).
The Plan monitors the market conditions and evaluates the fair value hierarchy levels at least annually.
The Plan corroborates the prices provided by its Trustee’s pricing services to test their reasonableness by comparing their prices to valuations from a different pricing source. In instances where price discrepancies are identified between different pricing sources, the Plan would evaluate such discrepancies to ensure that the prices used for its calculation represent the fair value of the underlying investment securities.
Financial Assets Carried at Fair Value
Financial assets disclosed in the tables below represent two types of assets. Assets held in funds (either mutual funds or common/collective trusts) are disclosed in the table according to the appropriate fund category (the underlying securities of those funds are not disclosed separately). Assets held in separate accounts (which are wholly owned by the Plan) are disclosed according to the appropriate category of the individual securities of those separately managed accounts; these individual securities include common stocks and fixed income securities. As such, the classification of financial assets in the table does not correspond to the classification of the investment options available to Plan participants, as discussed in Note 4 (Investments).
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
The following table summarizes the Plan’s financial assets measured at fair value on a recurring basis, categorized by GAAP’s valuation hierarchy (as described above), as of December 31, 2019:
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|
|
|
Description (Thousands)
|
|
|
Total
|
|
|
Level 1
|
|
|
Level 2
|
|
Money market funds
|
|
$
|
68,916
|
|
$
|
68,916
|
|
$
|
―
|
|
Corporate debt instruments
|
|
|
93,564
|
|
|
―
|
|
|
93,564
|
|
Common stocks
|
|
|
2,131,365
|
|
|
2,131,365
|
|
|
―
|
|
Common/Collective trusts
|
|
|
1,000,132
|
|
|
―
|
|
|
1,000,132
|
|
U.S. Government and agency obligations
|
|
|
208,692
|
|
|
―
|
|
|
208,692
|
|
Mutual funds
|
|
|
390,915
|
|
|
390,915
|
|
|
―
|
|
Self-directed brokerage accounts
|
|
|
138,364
|
|
|
138,364
|
|
|
―
|
|
Other investments
|
|
|
155,022
|
|
|
―
|
|
|
155,022
|
|
Total assets in the fair value hierarchy
|
|
$
|
4,186,970
|
|
$
|
2,729,560
|
|
$
|
1,457,410
|
|
Common/collective trusts measured at net asset value ("NAV")
|
|
|
1,285,761
|
|
|
|
|
|
|
|
Total investments, at fair value
|
|
$
|
5,472,731
|
|
|
|
|
|
|
The following table summarizes the Plan’s financial assets measured at fair value on a recurring basis, categorized by GAAP’s valuation hierarchy (as described above), as of December 31, 2018:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Description (Thousands)
|
|
|
Total
|
|
|
Level 1
|
|
|
Level 2
|
|
Money market funds
|
|
$
|
39,198
|
|
$
|
39,198
|
|
$
|
―
|
|
Corporate debt instruments
|
|
|
84,623
|
|
|
―
|
|
|
84,623
|
|
Common stocks
|
|
|
1,823,770
|
|
|
1,823,770
|
|
|
―
|
|
Common/Collective trusts
|
|
|
769,204
|
|
|
―
|
|
|
769,204
|
|
U.S. Government and agency obligations
|
|
|
214,378
|
|
|
―
|
|
|
214,378
|
|
Mutual funds
|
|
|
370,265
|
|
|
370,265
|
|
|
―
|
|
Self-directed brokerage accounts
|
|
|
123,618
|
|
|
123,618
|
|
|
―
|
|
Other investments
|
|
|
136,786
|
|
|
―
|
|
|
136,786
|
|
Total assets in the fair value hierarchy
|
|
$
|
3,561,842
|
|
$
|
2,356,851
|
|
$
|
1,204,991
|
|
Common/collective trusts measured at NAV
|
|
|
852,857
|
|
|
|
|
|
|
|
Total investments, at fair value
|
|
$
|
4,414,699
|
|
|
|
|
|
|
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Valuation Techniques Used in the Fair Value Measurement of Financial Assets Carried at Fair Value
For the financial assets measured at fair value on a recurring basis (categorized in the valuation hierarchy table above), the Plan applies the following valuation techniques:
Level 1:
•Money market funds are valued at NAV, which represents the exit price.
•Investments in American Express Company common stock, other stock and active publicly traded equity securities are valued at the official closing price of U.S. public exchanges or, if there is no official closing price that day, at the last reported trade price at the financial statement date.
•Mutual funds held within the Plan are open-end mutual funds that are registered with the Securities and Exchange Commission (“SEC”) under the Investment Company Act of 1940. These investments are required to make publicly available the daily NAV of the fund and to transact at this price. Hence, open-end mutual funds transact at quoted prices. In addition, the mutual funds held by the Plan are actively traded.
•The Plan’s self-directed brokerage accounts are primarily comprised of mutual funds and in some cases Ameriprise Financial common stock, and are valued at fair value using the corresponding valuation techniques as previously described.
Level 2:
•The fair values for the Plan’s corporate debt instruments, U.S. Government and agency obligations (which also include state and local government obligations) and Other investments (asset-backed securities, foreign sovereign debt and private placement bonds), are obtained primarily from pricing services engaged by the Plan’s Trustee. The fair values provided by the pricing service are estimated using pricing models, where the inputs to those models are based on observable market inputs or recent trades of similar securities. The inputs to the valuation techniques applied by the pricing service vary depending on the type of security being priced but are typically benchmark yields, benchmark security prices, credit spreads, prepayment speeds, reported trades, and broker-dealer quotes, all with reasonable levels of transparency. The Trustee does not apply any adjustments to the pricing models used. In addition, the Plan did not apply any adjustments to the prices received from the pricing services for 2019 and 2018. The Plan reaffirms its understanding of the valuation techniques used by the Trustee’s pricing services at least annually. The Plan classifies the prices obtained from the pricing services within Level 2 of the fair value hierarchy because the underlying inputs are directly observable from active markets or recent trades of similar securities in inactive markets. However, the pricing models used do entail a certain amount of subjectivity, and therefore differing judgments in how the underlying inputs are modeled could result in different estimates of fair value.
•Common/collective trusts are investment funds formed by the pooling of investments by institutional investors, such as a group of not necessarily affiliated pension or retirement plans, typically with the intention of achieving cost savings over similar investment options such as mutual funds. Common/collective trusts are similar to mutual funds, with a named investment manager and documented investment objective. These investments, however, are not registered with the SEC (unlike mutual funds, which are registered with the SEC), and participation is not open to the public. The NAV is measured by the custodian or investment manager as of the close of regular daily trading and is corroborated with observable inputs provided by pricing services for the securities. To the extent the NAV is made publicly available, these common/collective trusts are classified within Level 2 of the fair value hierarchy and the NAVs represent the exit price for the funds.
Level 3:
•There are no Level 3 securities held by the Plan.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
Assets Measured at NAV:
•For common/collective trusts whose NAVs are communicated only to investors in the trusts and are not publicly available, the NAVs are being used as practical expedient for fair value and represent the exit price for the funds.
The fair values of the financial instruments are estimates based upon the market conditions and perceived risks as of December 31, 2019 and 2018, and require management judgment. The Plan’s valuation techniques used to measure the fair value of its investments may produce fair values that may not be indicative of a future sale, or reflective of future fair values. The use of different techniques to determine the fair value of these types of investments could result in different estimates of fair value at the reporting date. There were no transfers among the levels of fair value hierarchy during the years ended December 31, 2019 and 2018.
4. Investments
The investment options available to participants include nine core investment options (the “Core Investment Options”), of which five are actively managed (although in some cases, an actively managed option may also include a passively managed component) and four are passively managed (also known as index funds). In addition, target date funds (the “Retirement Funds”) that invest in a mix of the actively managed Core Investment Options based on target retirement dates are also available, and the age-appropriate Retirement Fund for the year in which a participant turns 65 generally serves as the Plan’s “default investment” to the extent a participant does not have a valid investment election on file. Additional investment options include an SDA and the American Express Company Stock Fund. A participant may currently elect to invest contributions in any combination of investment options in increments of 1% and change investment elections for future contributions on any business day the New York Stock Exchange is open. Participants are only able to allocate 10% of their future contributions to the American Express Company Stock Fund, and transfers of balances from other investment options into the American Express Company Stock Fund are only permitted to the extent the participant’s investment in the American Express Company Stock Fund after the transfer does not exceed 10% of the participant’s overall Plan balance. Special rules and restrictions may apply to the SDA.
A brief description of the investment options available to participants at December 31, 2019, is set forth below:
Core Investment Options
RSPIC has created five actively managed Core Investment Options to provide diversified and actively managed options to participants. Four of these actively managed Core Investment Options (The Diversified Bond Fund, The U.S. Large-Cap Equity Fund, The U.S. Small/Mid-Cap Equity Fund, and The International Equity Fund) represent a broad asset class (e.g., U.S. Large-Cap Equity, U.S. Small/Mid-Cap Equity, Bonds, etc.) using several managers (and in some cases, also including a passively managed component) within each Fund. These actively managed Core Investment Options seek to outperform a broad market index by buying and selling a limited number of investments (stocks, bonds, or other investments) using the underlying investment managers’ investment management skills.
The actively managed Stable Value Fund invests in diversified pools of U.S. Government and agency fixed income securities together with book value wrap agreements issued by creditworthy insurance companies or banks with the objective to protect a participant’s original investment while offering a competitive rate of interest with minimum risk.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
The Stable Value Fund holds a portfolio of book value wrap contracts that are fully benefit-responsive and comprised of both an investment and a contractual component. The investment component consists of units of common/collective trusts, fixed income strategies and a portfolio of actively managed fixed income securities, referred to as the Stable Value Fund assets. Under the book value wrap contracts, the book value wrap provider is obligated to provide sufficient funds to cover participant benefit withdrawals and certain types of investment transfers regardless of the market value of the Stable Value Fund assets. A portion of the Stable Value Fund assets are held in a separate account at MetLife as a condition for MetLife to provide its life insurance separate account contract, which provides similar participant benefit payments as a book value wrap contract. The assets in the MetLife separate account are not subject to the liabilities of the general account of MetLife. While the contracts are designed to protect the Stable Value Fund against interest rate risk, the Stable Value Fund is still exposed to risk if issuers of the Stable Value Fund assets default on payment of interest or principal, but this risk is mitigated because the underlying Stable Value Fund assets in the Stable Value Fund bond portfolio are backed by the U.S. Government. The contracts may not cover participant benefit payments at contract value upon the occurrence of certain events, described below, involving the Stable Value Fund, American Express as its plan sponsor (“Plan Sponsor”) or Ameriprise Trust Company, an affiliate of Ameriprise Financial, Inc., its investment manager.
Fully benefit-responsive book value wrap contracts held by a separately managed account created for a defined contribution plan are required to be reported at contract value, rather than fair value, on the Statements of Net Assets. Contract value is the relevant measure for fully benefit-responsive investment contracts because 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 under each contract, plus earnings, less participant withdrawals, and administrative expenses.
Certain events might limit the ability of the Plan to transact at contract value with the contract issuer and therefore also limit the ability of the Plan to transact at contract value with the participants of the Plan. These events may be different under each contract. Examples of such events include the following:
•The Plan’s failure to qualify under Section 401(a) of the Internal Revenue Code or the failure of the trust to be tax-exempt under Section 501(a) of the Internal Revenue Code;
•Premature termination of the contracts;
•Plan termination or merger;
•Changes to the Plan’s administration of competing investment options; and
•Bankruptcy of the Plan Sponsor or other Plan Sponsor events (for example, divestitures or spinoffs of a subsidiary) that significantly affect the Plan’s normal operations.
The Plan believes no such events are probable of occurring.
In addition, certain events allow the issuer to terminate the contracts with the Plan and settle at an amount different from contract value. Those events may be different under each contract. Examples of such events include the following:
•An uncured violation of the Plan’s investment guidelines;
•A breach of material obligation under the contract;
•A material misrepresentation; and
•A material amendment to the agreements without the consent of the issuer.
The Plan believes no such events are probable of occurring.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
RSPIC has also created four passively-managed (index) Core Investment Options: The Diversified Bond Index Fund, The U.S. Large-Cap Equity Index Fund, The U.S. Small/Mid-Cap Equity Index Fund, and The International Equity Index Fund, which currently use a single index fund as the underlying investment in each Fund. Each passively-managed Core Investment Option seeks to mirror the investments and track the performance of a broad market index that includes hundreds or thousands of stocks or bonds. During 2018, RSPIC changed the investment vehicle for The Diversified Bond Index Fund, The U.S. Small/Mid-Cap Equity Index Fund, and The International Equity Index Fund from a mutual fund to a collective trust. The U.S. Large-Cap Equity Index Fund was already invested in a collective trust.
Self-Directed Accounts
The SDA gives participants the opportunity to invest in a wide variety of mutual funds in addition to the specific investment options mentioned above. Participants may request a Prospectus for any of the funds available through the SDA.
American Express Company Stock Fund
The Plan Document requires that this Fund be offered as an investment option under the Plan, subject to compliance with ERISA. The American Express Company Stock Fund is an ESOP. This Fund invests primarily in American Express Company common shares and holds a small amount of cash or other short-term cash equivalents to meet requests for investment transfers, withdrawals, and distributions. Participants have full voting rights for the common shares underlying the units that are allocated to the American Express Company Stock Fund.
A full, detailed description of the Plan’s investment options, and associated terms and conditions, is available to all participants.
5. Risks and Uncertainties
The Plan invests in various investment securities. Investment securities are exposed to various risks such as interest rate, market, and credit risks. Due to the level of risk associated with certain investment securities and current market volatility, it is at least reasonably possible that changes in the values of investment securities will continue to occur in the near term and that such changes could materially affect the amounts reported in the Statements of Net Assets Available for Benefits and the Statement of Changes in Net Assets Available for Benefits.
6. Income Tax Status
The Plan has received a favorable determination letter from the Internal Revenue Service (“IRS”) dated November 21, 2016, stating that the Plan is qualified under section 401(a) of the Code, and therefore, the related trust is exempt from taxation. The Plan has been amended after the period covered by the determination letter. Although the Plan has been amended since receiving the determination letter, the Company believes the Plan, as amended, is currently designed and being operated in compliance with the applicable requirements of the Code, and therefore, believes that the Plan, as amended, is qualified, the related trust is tax-exempt, and the Plan satisfies the requirements of Section 4975(e)(7) of the Code.
GAAP requires 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 IRS. The Company has analyzed the tax positions taken by the Plan, and has concluded that as of December 31, 2019, there are no uncertain positions taken or expected to be taken that would require recognition of a liability, or asset, or disclosure in the financial statements. The Plan is subject to routine audits by taxing jurisdictions; however, the Plan is no longer subject to examination for tax years prior to 2017, which is the earliest open year for U.S. federal tax purposes.
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Notes to Financial Statements
7. Reconciliation of Financial Statements to Form 5500
The following is a reconciliation of net assets available for benefits per the financial statements to Form 5500 as of December 31, 2019 and 2018:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(Thousands)
|
|
|
2019
|
|
|
2018
|
|
Net assets available for benefits per the financial statements
|
|
$
|
6,226,352
|
|
$
|
5,110,920
|
|
Difference between contract value and fair value of fully benefit-responsive investment contracts
|
|
|
4,113
|
|
|
(6,531)
|
|
Loans deemed distributed
|
|
|
(340)
|
|
|
(471)
|
|
Net assets available for benefits per the Form 5500
|
|
$
|
6,230,125
|
|
$
|
5,103,918
|
The following is a reconciliation of net income per the financial statements to Form 5500 for the year ended December 31, 2019:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(Thousands)
|
|
|
2019
|
|
Net increase in net assets available for benefits per the financial statements
|
|
$
|
1,115,432
|
|
Adjustment for difference between contract value and fair value of fully benefit-responsive investment contracts
|
|
|
10,644
|
|
Change in deemed distributions of participant loans
|
|
|
131
|
|
Net income per the Form 5500
|
|
$
|
1,126,207
|
8. Related Parties and Parties-In-Interest Transactions
The Plan allows for transactions with, and certain investments in, certain parties that may perform services for, or have fiduciary responsibilities to, the Plan, including Wells Fargo Bank, N.A., the Trustee, and its affiliates as well as investment managers appointed by RSPIC. Transactions with these parties are considered party-in-interest transactions, but not considered prohibited transactions under ERISA. As noted in Supplemental Schedule H, Line 4i, the Plan held investments with parties-in-interest in Wells Fargo Bank, N.A. and its affiliates, Ameriprise Financial, Inc. and its affiliates, Fidelity Investment Management and its affiliates, J.P. Morgan Investment Management, Inc. and its affiliates, MetLife Inc. and its affiliates, Morgan Stanley and its affiliates, and Vanguard Fiduciary Trust as of both December 31, 2019 and 2018, and BlackRock Institutional Trust Company, N.A. and its affiliates and Principal Financial Group and its affiliates as of December 31, 2019. Notes Receivable from Participants, as discussed in Note 1 (Description of the Plan), are also considered party-in-interest transactions.
Berkshire Hathaway, Inc. and its affiliates are considered “parties-in-interest” due to ownership interests in the Company. The Plan holds certain securities in Berkshire Hathaway in accordance with investment strategies directed by its qualified professional asset managers.
Additionally, the Company is considered a party-in-interest as well as a related party. As of December 31, 2019 and 2018, the Plan held 5,427,964 shares of American Express Company common stock valued at $676 million and 5,706,139 shares valued at $544 million, respectively. During the 2019 plan year the Plan acquired 94,664 shares of American Express Company common stock valued at $11 million through dividend reinvestments and sold 234,642 shares valued at $28 million. The Plan reimburses the Company for direct expenses (salary and benefits costs) associated with a Company employee dedicated to servicing the Company’s qualified retirement plans for time spent providing services to the Plan.
SUPPLEMENTAL SCHEDULES
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
Money Market Funds
|
|
|
|
|
|
*
|
FIDELITY MM GOVT PORTFOLIO #57
|
|
68,916
|
|
68,916
|
|
|
|
|
|
|
|
|
|
Corporate Debt Instruments
|
|
|
|
|
|
|
ABBOTT LABORATORIES 4.900% 11/30/46
|
|
255
|
|
335
|
|
|
ABBVIE INC 3.200% 11/06/22
|
|
50
|
|
51
|
|
|
ABBVIE INC 4.400% 11/06/42
|
|
145
|
|
156
|
|
|
ABBVIE INC 4.500% 5/14/35
|
|
160
|
|
180
|
|
|
ACE INA HOLDINGS 2.700% 3/13/23
|
|
200
|
|
204
|
|
|
AEP TRANSMISSION CO 3.150% 9/15/49
|
|
120
|
|
116
|
|
|
AEP TRANSMISSION CO 4.000% 12/01/46
|
|
62
|
|
69
|
|
|
AERCAP IRELAND CAP/G 4.450% 4/03/26
|
|
150
|
|
161
|
|
|
AFLAC INC 3.250% 3/17/25
|
|
200
|
|
210
|
|
|
AIR LEASE CORP 3.250% 3/01/25
|
|
81
|
|
83
|
|
|
AIR LEASE CORP 3.250% 10/01/29
|
|
415
|
|
413
|
|
|
AIR LEASE CORP 3.750% 6/01/26
|
|
235
|
|
246
|
|
|
AIRCASTLE LTD 4.400% 9/25/23
|
|
130
|
|
137
|
|
|
ALABAMA POWER CO 5.700% 2/15/33
|
|
200
|
|
254
|
|
|
ALBEMARLE CORP 5.450% 12/01/44
|
|
50
|
|
57
|
|
|
ALBERTA ENERGY CO LT 7.375% 11/01/31
|
|
50
|
|
61
|
|
|
ALEXANDRIA REAL ESTA 3.800% 4/15/26
|
|
34
|
|
36
|
|
|
ALEXANDRIA REAL ESTA 4.000% 2/01/50
|
|
174
|
|
191
|
|
|
ALLERGAN INC 2.800% 3/15/23
|
|
620
|
|
625
|
|
|
AMAZON.COM INC 3.875% 8/22/37
|
|
110
|
|
125
|
|
|
AMER AIRLINE 16-2 AA 3.200% 6/15/28
|
|
171
|
|
176
|
|
|
AMER AIRLINE 16-3 AA 3.000% 10/15/28
|
|
204
|
|
208
|
|
|
AMER AIRLINE 17-1 AA 3.650% 2/15/29
|
|
60
|
|
64
|
|
|
AMER AIRLINE 17-2B 3.700% 10/15/25
|
|
168
|
|
170
|
|
|
AMER AIRLINE 19-1A 3.500% 8/15/33
|
|
390
|
|
400
|
|
|
AMER AIRLN 13-1 A PA 4.000% 7/15/25
|
|
58
|
|
61
|
|
|
AMER AIRLN 14-1 A PT 3.700% 10/01/26
|
|
109
|
|
115
|
|
|
AMERICA MOVIL SAB DE 3.625% 4/22/29
|
|
205
|
|
216
|
|
|
AMERICA MOVIL SAB DE 4.375% 4/22/49
|
|
200
|
|
230
|
|
|
AMERICAN CAMPUS COMM 3.625% 11/15/27
|
|
229
|
|
242
|
|
|
AMERICAN FINANCIAL 3.500% 8/15/26
|
|
150
|
|
155
|
|
|
AMERICAN HONDA FINAN 2.150% 3/13/20
|
|
100
|
|
100
|
|
|
AMERICAN HONDA FINAN 2.450% 9/24/20
|
|
99
|
|
99
|
|
|
AMERICAN INTL GROUP 3.875% 1/15/35
|
|
200
|
|
212
|
|
|
AMERICAN INTL GROUP 4.125% 2/15/24
|
|
200
|
|
215
|
|
|
|
|
|
|
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
17
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
AMERICAN INTL GROUP 4.200% 4/01/28
|
|
55
|
|
61
|
|
|
AMERICAN TOWER CORP 2.250% 1/15/22
|
|
100
|
|
100
|
|
|
AMERICAN TOWER CORP 3.375% 10/15/26
|
|
56
|
|
58
|
|
|
AMERICAN TOWER CORP 3.700% 10/15/49
|
|
220
|
|
219
|
|
|
AMERICAN TOWER CORP 4.000% 6/01/25
|
|
100
|
|
107
|
|
|
AMERICAN WATER CAPIT 3.400% 3/01/25
|
|
152
|
|
159
|
|
|
AMERN AIRLINE 16-2 3.650% 6/15/28
|
|
19
|
|
20
|
|
|
ANALOG DEVICES INC 3.125% 12/05/23
|
|
61
|
|
63
|
|
|
ANALOG DEVICES INC 4.500% 12/05/36
|
|
95
|
|
103
|
|
|
ANHEUSER-BUSCH COS 4.700% 2/01/36
|
|
788
|
|
913
|
|
|
ANHEUSER-BUSCH COS 4.900% 2/01/46
|
|
215
|
|
255
|
|
|
ANHEUSER-BUSCH INBEV 4.375% 4/15/38
|
|
190
|
|
213
|
|
|
ANHEUSER-BUSCH INBEV 4.439% 10/06/48
|
|
240
|
|
269
|
|
|
ANHEUSER-BUSCH INBEV 4.700% 2/01/36
|
|
120
|
|
139
|
|
|
ANHEUSER-BUSCH INBEV 4.750% 4/15/58
|
|
115
|
|
135
|
|
|
ANTHEM INC 3.350% 12/01/24
|
|
70
|
|
73
|
|
|
ANTHEM INC 4.101% 3/01/28
|
|
140
|
|
152
|
|
|
APACHE CORP 5.100% 9/01/40
|
|
145
|
|
148
|
|
|
APPLE INC 3.250% 2/23/26
|
|
80
|
|
85
|
|
|
APPLE INC 3.450% 2/09/45
|
|
85
|
|
90
|
|
|
APPLE INC 3.750% 9/12/47
|
|
180
|
|
201
|
|
|
APPLE INC 3.850% 5/04/43
|
|
450
|
|
505
|
|
|
APPLE INC 3.850% 8/04/46
|
|
129
|
|
145
|
|
|
ARROW ELECTRONICS IN 3.250% 9/08/24
|
|
66
|
|
68
|
|
|
ARROW ELECTRONICS IN 3.875% 1/12/28
|
|
55
|
|
56
|
|
|
ASSURANT INC 4.200% 9/27/23
|
|
105
|
|
110
|
|
|
ASTRAZENECA PLC 4.000% 9/18/42
|
|
60
|
|
66
|
|
|
ASTRAZENECA PLC 6.450% 9/15/37
|
|
70
|
|
99
|
|
|
AT&T INC 3.550% 6/01/24
|
|
75
|
|
79
|
|
|
AT&T INC 3.600% 7/15/25
|
|
25
|
|
26
|
|
|
AT&T INC 3.950% 1/15/25
|
|
196
|
|
210
|
|
|
AT&T INC 4.125% 2/17/26
|
|
434
|
|
470
|
|
|
AT&T INC 4.300% 2/15/30
|
|
172
|
|
191
|
|
|
AT&T INC 4.500% 3/09/48
|
|
86
|
|
95
|
|
|
AT&T INC 4.900% 8/15/37
|
|
324
|
|
373
|
|
|
AT&T INC 5.150% 11/15/46
|
|
200
|
|
239
|
|
|
AT&T INC 5.350% 9/01/40
|
|
151
|
|
182
|
|
|
ATMOS ENERGY CORP 5.500% 6/15/41
|
|
100
|
|
129
|
|
|
BAKER HUGHES A GE CO 5.125% 9/15/40
|
|
50
|
|
59
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
18
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
BALTIMORE GAS & ELEC 3.500% 8/15/46
|
|
70
|
|
71
|
|
|
BANK OF AMERICA CORP 3.419% 12/20/28
|
|
659
|
|
692
|
|
|
BANK OF AMERICA CORP 3.950% 4/21/25
|
|
300
|
|
320
|
|
|
BANK OF NOVA SCOTIA 4.500% 12/16/25
|
|
90
|
|
99
|
|
|
BANK OF NY MELLON CO 2.450% 11/27/20
|
|
78
|
|
78
|
|
|
BANK OF NY MELLON CO 2.500% 4/15/21
|
|
55
|
|
55
|
|
|
BAT CAPITAL CORP 4.390% 8/15/37
|
|
68
|
|
69
|
|
|
BAXALTA INC 3.600% 6/23/22
|
|
15
|
|
15
|
|
|
BAXALTA INC 5.250% 6/23/45
|
|
7
|
|
9
|
|
|
BB&T CORPORATION 2.625% 6/29/20
|
|
180
|
|
180
|
|
|
BHP FIN USA LTD 6.420% 3/01/26
|
|
300
|
|
366
|
|
*
|
BLACKROCK INC 3.250% 4/30/29
|
|
200
|
|
215
|
|
|
BOARDWALK PIPELINES 4.800% 5/03/29
|
|
105
|
|
113
|
|
|
BOEING CO 3.950% 8/01/59
|
|
180
|
|
192
|
|
|
BOSTON PROPERTIES LP 3.125% 9/01/23
|
|
30
|
|
31
|
|
|
BOSTON PROPERTIES LP 3.200% 1/15/25
|
|
76
|
|
79
|
|
|
BOSTON PROPERTIES LP 3.650% 2/01/26
|
|
74
|
|
78
|
|
|
BOSTON SCIENTIFIC CO 3.750% 3/01/26
|
|
135
|
|
145
|
|
|
BOSTON SCIENTIFIC CO 4.550% 3/01/39
|
|
220
|
|
259
|
|
|
BP CAP MARKETS AMERI 3.017% 1/16/27
|
|
135
|
|
140
|
|
|
BP CAPITAL MARKETS 3.279% 9/19/27
|
|
80
|
|
84
|
|
|
BP CAPITAL MARKETS 3.814% 2/10/24
|
|
200
|
|
214
|
|
|
BRIXMOR OPERATING PA 3.850% 2/01/25
|
|
120
|
|
126
|
|
|
BROOKFIELD FINANCE 3.900% 1/25/28
|
|
55
|
|
59
|
|
|
BROOKFIELD FINANCE 4.700% 9/20/47
|
|
64
|
|
74
|
|
|
BROOKFIELD FINANCE 4.850% 3/29/29
|
|
210
|
|
240
|
|
|
BUCKEYE PARTNERS LP 5.850% 11/15/43
|
|
195
|
|
176
|
|
|
BUNGE LTD FINANCE CO 3.500% 11/24/20
|
|
40
|
|
40
|
|
|
BURLINGTN NORTH SANT 3.550% 2/15/50
|
|
196
|
|
207
|
|
|
BURLINGTN NORTH SANT 4.375% 9/01/42
|
|
130
|
|
151
|
|
|
BURLINGTON NORTH SAN 6.150% 5/01/37
|
|
60
|
|
84
|
|
|
CAMPBELL SOUP CO 4.800% 3/15/48
|
|
70
|
|
81
|
|
|
CANADIAN NATL RESOUR 5.850% 2/01/35
|
|
200
|
|
246
|
|
|
CANADIAN PACIFIC RR 5.750% 3/15/33
|
|
70
|
|
87
|
|
|
CANADIAN PACIFIC RR 6.125% 9/15/15
|
|
10
|
|
15
|
|
|
CAPITAL ONE FINANCIA 3.750% 4/24/24
|
|
200
|
|
211
|
|
|
CAPITAL ONE FINANCIA 3.750% 7/28/26
|
|
88
|
|
93
|
|
|
CAPITAL ONE FINANCIA 4.200% 10/29/25
|
|
60
|
|
65
|
|
|
CATERPILLAR INC 6.050% 8/15/36
|
|
300
|
|
410
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
19
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
CBS CORP 4.000% 1/15/26
|
|
292
|
|
313
|
|
|
CELANESE US HOLDINGS 3.500% 5/08/24
|
|
218
|
|
225
|
|
|
CENOVUS ENERGY INC 3.800% 9/15/23
|
|
150
|
|
155
|
|
|
CENOVUS ENERGY INC 5.250% 6/15/37
|
|
47
|
|
52
|
|
|
CENOVUS ENERGY INC 6.750% 11/15/39
|
|
90
|
|
115
|
|
|
CENTERPOINT ENER HOU 3.000% 2/01/27
|
|
91
|
|
94
|
|
|
CHARLES SCHWAB CORP 3.200% 3/02/27
|
|
150
|
|
157
|
|
|
CHARTER COMM OPT LLC 4.800% 3/01/50
|
|
275
|
|
290
|
|
|
CHARTER COMM OPT LLC 5.375% 4/01/38
|
|
48
|
|
55
|
|
|
CHARTER COMM OPT LLC 6.384% 10/23/35
|
|
52
|
|
65
|
|
|
CHARTER COMM OPT LLC 6.834% 10/23/55
|
|
70
|
|
92
|
|
|
CHEVRON CORP 2.566% 5/16/23
|
|
210
|
|
214
|
|
|
CHUBB INA HOLDINGS 2.875% 11/03/22
|
|
47
|
|
48
|
|
|
CINCINNATI FINL CORP 6.920% 5/15/28
|
|
50
|
|
65
|
|
|
CITIBANK NA 3.650% 1/23/24
|
|
400
|
|
423
|
|
|
CITIGROUP INC 3.200% 10/21/26
|
|
65
|
|
67
|
|
|
CITIGROUP INC 4.400% 6/10/25
|
|
188
|
|
204
|
|
|
CITIGROUP INC 4.450% 9/29/27
|
|
21
|
|
23
|
|
|
CITIGROUP INC 4.650% 7/23/48
|
|
160
|
|
200
|
|
|
CITIGROUP INC 4.750% 5/18/46
|
|
100
|
|
120
|
|
|
CITIZENS BANK NA/RI 2.550% 5/13/21
|
|
250
|
|
252
|
|
|
CITIZENS FINANCIAL 2.375% 7/28/21
|
|
20
|
|
20
|
|
|
CITIZENS FINANCIAL 4.300% 12/03/25
|
|
47
|
|
51
|
|
|
CLEVELAND ELECTRIC 5.950% 12/15/36
|
|
40
|
|
50
|
|
|
CME GROUP INC 3.000% 3/15/25
|
|
200
|
|
208
|
|
|
CMS ENERGY CORP 2.950% 2/15/27
|
|
39
|
|
39
|
|
|
CMS ENERGY CORP 3.875% 3/01/24
|
|
180
|
|
190
|
|
|
COMCAST CORP 3.000% 2/01/24
|
|
58
|
|
60
|
|
|
COMCAST CORP 3.150% 3/01/26
|
|
168
|
|
176
|
|
|
COMCAST CORP 3.200% 7/15/36
|
|
200
|
|
205
|
|
|
COMCAST CORP 3.250% 11/01/39
|
|
170
|
|
173
|
|
|
COMCAST CORP 3.375% 2/15/25
|
|
138
|
|
146
|
|
|
COMCAST CORP 3.450% 2/01/50
|
|
150
|
|
154
|
|
|
COMCAST CORP 3.550% 5/01/28
|
|
97
|
|
104
|
|
|
COMCAST CORP 3.900% 3/01/38
|
|
55
|
|
61
|
|
|
COMCAST CORP 3.950% 10/15/25
|
|
157
|
|
171
|
|
|
COMCAST CORP 4.200% 8/15/34
|
|
100
|
|
114
|
|
|
COMCAST CORP 4.250% 1/15/33
|
|
150
|
|
174
|
|
|
COMCAST CORP 4.600% 10/15/38
|
|
190
|
|
227
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
20
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
COMCAST CORP 4.950% 10/15/58
|
|
240
|
|
313
|
|
|
COMCAST CORP 6.500% 11/15/35
|
|
123
|
|
174
|
|
|
COMMONWEALTH EDISON 3.650% 6/15/46
|
|
45
|
|
48
|
|
|
COMMONWEALTH EDISON 3.750% 8/15/47
|
|
70
|
|
76
|
|
|
CONAGRA BRANDS INC 4.600% 11/01/25
|
|
65
|
|
72
|
|
|
CONAGRA BRANDS INC 5.300% 11/01/38
|
|
50
|
|
59
|
|
|
CONNECTICUT LIGHT & 3.200% 3/15/27
|
|
50
|
|
53
|
|
|
CONNECTICUT LIGHT & 4.000% 4/01/48
|
|
53
|
|
61
|
|
|
CONSOLIDATED EDISON 4.125% 5/15/49
|
|
130
|
|
148
|
|
|
CONSTELLATION BRANDS 4.400% 11/15/25
|
|
75
|
|
82
|
|
|
CONSTELLATION BRANDS 5.250% 11/15/48
|
|
40
|
|
49
|
|
|
CONTL AIRLINES 2012- 4.000% 10/29/24
|
|
501
|
|
529
|
|
|
COOPERATIEVE RABOBAN 3.750% 7/21/26
|
|
250
|
|
260
|
|
|
CORNING INC 3.900% 11/15/49
|
|
276
|
|
280
|
|
|
CROWN CASTLE INTL CO 4.000% 3/01/27
|
|
24
|
|
26
|
|
|
CROWN CASTLE INTL CO 4.875% 4/15/22
|
|
112
|
|
119
|
|
|
CROWN CASTLE INTL CO 5.250% 1/15/23
|
|
70
|
|
76
|
|
|
CSX CORP 6.000% 10/01/36
|
|
175
|
|
228
|
|
|
CSX CORP 6.150% 5/01/37
|
|
135
|
|
179
|
|
|
CVS HEALTH CORP 3.250% 8/15/29
|
|
215
|
|
219
|
|
|
CVS HEALTH CORP 4.300% 3/25/28
|
|
179
|
|
196
|
|
|
CVS HEALTH CORP 4.780% 3/25/38
|
|
300
|
|
341
|
|
|
CVS HEALTH CORP 5.050% 3/25/48
|
|
178
|
|
211
|
|
|
CVS PASS-THROUGH TRU 6.036% 12/10/28
|
|
283
|
|
316
|
|
|
DDR CORP 3.625% 2/01/25
|
|
61
|
|
63
|
|
|
DELTA AIR LINES 6.821% 8/10/22
|
|
350
|
|
380
|
|
|
DELTA AIR LINES 2015 3.625% 7/30/27
|
|
1,157
|
|
1,228
|
|
|
DEUTSCHE BANK NY 3.300% 11/16/22
|
|
100
|
|
101
|
|
|
DEUTSCHE BANK NY 4.250% 10/14/21
|
|
184
|
|
189
|
|
|
DH EUROPE FINANCE II 3.250% 11/15/39
|
|
80
|
|
81
|
|
|
DIGITAL REALTY TRUST 3.700% 8/15/27
|
|
39
|
|
41
|
|
|
DISCOVER BANK 4.200% 8/08/23
|
|
250
|
|
266
|
|
|
DISCOVERY COMMUNICAT 3.450% 3/15/25
|
|
120
|
|
125
|
|
|
DISCOVERY COMMUNICAT 3.950% 3/20/28
|
|
53
|
|
57
|
|
|
DOLLAR GENERAL CORP 4.125% 5/01/28
|
|
70
|
|
76
|
|
|
DOMINION ENERGY GAS 3.900% 11/15/49
|
|
206
|
|
206
|
|
|
DOMINION ENERGY INC 1.500% 7/01/20
|
|
70
|
|
70
|
|
|
DOMINION GAS HLDGS 2.800% 11/15/20
|
|
112
|
|
113
|
|
|
DOMINION RESOURCES 2.750% 9/15/22
|
|
66
|
|
67
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
21
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
DOMINION RESOURCES 2.850% 8/15/26
|
|
76
|
|
77
|
|
|
DOW CHEMICAL CO/THE 3.500% 10/01/24
|
|
200
|
|
210
|
|
|
DOWDUPONT INC 4.493% 11/15/25
|
|
150
|
|
165
|
|
|
DOWDUPONT INC 5.319% 11/15/38
|
|
70
|
|
83
|
|
|
DR PEPPER SNAPPLE GR 3.130% 12/15/23
|
|
135
|
|
139
|
|
|
DR PEPPER SNAPPLE GR 3.430% 6/15/27
|
|
35
|
|
36
|
|
|
DR PEPPER SNAPPLE GR 4.420% 12/15/46
|
|
70
|
|
75
|
|
|
DUKE ENERGY CAROLINA 3.900% 6/15/21
|
|
100
|
|
102
|
|
|
DUKE ENERGY CORP 2.650% 9/01/26
|
|
43
|
|
43
|
|
|
DUKE ENERGY CORP 3.400% 6/15/29
|
|
86
|
|
90
|
|
|
DUKE ENERGY CORP 6.000% 12/01/28
|
|
80
|
|
100
|
|
|
DUKE ENERGY INDIANA 3.750% 5/15/46
|
|
80
|
|
86
|
|
|
DUKE ENERGY OHIO INC 3.700% 6/15/46
|
|
46
|
|
49
|
|
|
DUKE ENERGY OHIO INC 4.300% 2/01/49
|
|
60
|
|
70
|
|
|
DUKE ENERGY PROGRESS 3.250% 8/15/25
|
|
53
|
|
56
|
|
|
DUKE ENERGY PROGRESS 3.700% 10/15/46
|
|
54
|
|
58
|
|
|
DUKE ENERGY PROGRESS 4.200% 8/15/45
|
|
130
|
|
148
|
|
|
DUKE REALTY LP 3.250% 6/30/26
|
|
23
|
|
24
|
|
|
DXC TECHNOLOGY CO 4.250% 4/15/24
|
|
47
|
|
50
|
|
|
EATON CORP 4.000% 11/02/32
|
|
170
|
|
193
|
|
|
ECOLAB INC 3.250% 1/14/23
|
|
88
|
|
91
|
|
|
ECOPETROL SA 5.375% 6/26/26
|
|
104
|
|
116
|
|
|
ECOPETROL SA 5.875% 9/18/23
|
|
128
|
|
142
|
|
|
EDISON INTERNATIONAL 3.550% 11/15/24
|
|
366
|
|
375
|
|
|
ELI LILLY & CO 4.150% 3/15/59
|
|
115
|
|
136
|
|
|
EMERA US FINANCE LP 3.550% 6/15/26
|
|
70
|
|
73
|
|
|
EMERA US FINANCE LP 4.750% 6/15/46
|
|
150
|
|
174
|
|
|
ENABLE MIDSTREAM PAR 4.150% 9/15/29
|
|
141
|
|
134
|
|
|
ENABLE MIDSTREAM PAR 4.950% 5/15/28
|
|
55
|
|
56
|
|
|
ENBRIDGE INC 4.500% 6/10/44
|
|
50
|
|
55
|
|
|
ENCANA CORP 7.200% 11/01/31
|
|
140
|
|
171
|
|
|
ENERGY TRANSFER OPER 6.250% 4/15/49
|
|
209
|
|
252
|
|
|
ENERGY TRANSFER PART 4.750% 1/15/26
|
|
45
|
|
49
|
|
|
ENERGY TRANSFER PART 6.050% 6/01/41
|
|
183
|
|
206
|
|
|
ENLINK MIDSTREAM PAR 4.150% 6/01/25
|
|
100
|
|
94
|
|
|
ENLINK MIDSTREAM PAR 5.600% 4/01/44
|
|
50
|
|
40
|
|
|
ENTERGY ARKANSAS INC 3.500% 4/01/26
|
|
31
|
|
33
|
|
|
ENTERGY CORP 2.950% 9/01/26
|
|
31
|
|
31
|
|
|
ENTERGY LOUISIANA LL 2.400% 10/01/26
|
|
59
|
|
58
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
22
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
ENTERGY LOUISIANA LL 3.050% 6/01/31
|
|
57
|
|
59
|
|
|
ENTERGY LOUISIANA LL 3.120% 9/01/27
|
|
40
|
|
41
|
|
|
ENTERGY LOUISIANA LL 4.000% 3/15/33
|
|
45
|
|
51
|
|
|
ENTERGY MISSISSIPPI 2.850% 6/01/28
|
|
50
|
|
51
|
|
|
ENTERGY MISSISSIPPI 3.850% 6/01/49
|
|
190
|
|
207
|
|
|
ENTERPRISE PRODUCTS 3.900% 2/15/24
|
|
200
|
|
212
|
|
|
ENTERPRISE PRODUCTS 4.200% 1/31/50
|
|
225
|
|
242
|
|
|
EOG RESOURCES INC 4.150% 1/15/26
|
|
60
|
|
66
|
|
|
EQT CORP 3.900% 10/01/27
|
|
60
|
|
56
|
|
|
EQT MIDSTREAM PARTNE 4.125% 12/01/26
|
|
330
|
|
311
|
|
|
EVERGY INC 2.900% 9/15/29
|
|
235
|
|
234
|
|
|
EXELON CORP 3.400% 4/15/26
|
|
63
|
|
66
|
|
|
EXELON GENERATION CO 3.400% 3/15/22
|
|
96
|
|
98
|
|
|
EXELON GENERATION CO 4.250% 6/15/22
|
|
75
|
|
78
|
|
|
EXELON GENERATION CO 6.250% 10/01/39
|
|
180
|
|
217
|
|
|
EXXON MOBIL CORPORAT 4.114% 3/01/46
|
|
77
|
|
90
|
|
|
FIFTH THIRD BANCORP 3.950% 3/14/28
|
|
90
|
|
99
|
|
|
FIRSTENERGY CORP 4.850% 7/15/47
|
|
26
|
|
31
|
|
|
FISERV INC 3.200% 7/01/26
|
|
95
|
|
98
|
|
|
FISERV INC 4.400% 7/01/49
|
|
90
|
|
102
|
|
|
FLORIDA POWER & LIGH 3.125% 12/01/25
|
|
250
|
|
263
|
|
|
FORTIS INC 3.055% 10/04/26
|
|
155
|
|
158
|
|
|
GE CAPITAL INTL FUND 4.418% 11/15/35
|
|
1,649
|
|
1,764
|
|
|
GENERAL ELEC CAP COR 3.100% 1/09/23
|
|
115
|
|
118
|
|
|
GENERAL ELECTRIC CO 5.550% 1/05/26
|
|
287
|
|
329
|
|
|
GENERAL MILLS INC 4.000% 4/17/25
|
|
80
|
|
87
|
|
|
GENERAL MILLS INC 4.150% 2/15/43
|
|
110
|
|
118
|
|
|
GENERAL MOTORS CO 5.150% 4/01/38
|
|
50
|
|
51
|
|
|
GENERAL MOTORS FINL 3.450% 4/10/22
|
|
182
|
|
186
|
|
|
GENERAL MOTORS FINL 3.500% 11/07/24
|
|
100
|
|
103
|
|
|
GENERAL MOTORS FINL 3.950% 4/13/24
|
|
185
|
|
193
|
|
|
GENERAL MOTORS FINL 4.000% 1/15/25
|
|
110
|
|
116
|
|
|
GENERAL MOTORS FINL 4.300% 7/13/25
|
|
50
|
|
53
|
|
|
GENERAL MOTORS FINL 4.350% 1/17/27
|
|
87
|
|
91
|
|
|
GENERAL MOTORS FINL 4.350% 4/09/25
|
|
105
|
|
112
|
|
|
GILEAD SCIENCES INC 4.000% 9/01/36
|
|
40
|
|
44
|
|
|
GLOBAL PAYMENTS INC 4.150% 8/15/49
|
|
195
|
|
209
|
|
|
GOLDMAN SACHS GROUP 3.000% 4/26/22
|
|
335
|
|
339
|
|
|
GOLDMAN SACHS GROUP 3.500% 11/16/26
|
|
150
|
|
158
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
23
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
GOLDMAN SACHS GROUP 3.850% 1/26/27
|
|
224
|
|
238
|
|
|
GOLDMAN SACHS GROUP 4.800% 7/08/44
|
|
165
|
|
200
|
|
|
HALLIBURTON CO 3.800% 11/15/25
|
|
150
|
|
160
|
|
|
HALLIBURTON CO 4.850% 11/15/35
|
|
43
|
|
49
|
|
|
HALLIBURTON COMPANY 6.700% 9/15/38
|
|
50
|
|
66
|
|
|
HARRIS CORPORATION 3.832% 4/28/25
|
|
100
|
|
107
|
|
|
HARRIS CORPORATION 4.854% 4/27/35
|
|
40
|
|
47
|
|
|
HARTFORD FINL SVCS 4.300% 4/15/43
|
|
90
|
|
100
|
|
|
HCA INC 5.125% 6/15/39
|
|
175
|
|
193
|
|
|
HCA INC 5.250% 6/15/26
|
|
180
|
|
202
|
|
|
HCP INC 3.500% 7/15/29
|
|
185
|
|
193
|
|
|
HCP INC 4.200% 3/01/24
|
|
250
|
|
267
|
|
|
HONEYWELL INTERNATIO 2.500% 11/01/26
|
|
200
|
|
204
|
|
|
HSBC HOLDINGS PLC 4.250% 3/14/24
|
|
400
|
|
424
|
|
|
HSBC HOLDINGS PLC 7.350% 11/27/32
|
|
224
|
|
306
|
|
|
HUNTINGTON BANCSHARE 2.300% 1/14/22
|
|
115
|
|
116
|
|
|
HUSKY ENERGY INC 3.950% 4/15/22
|
|
200
|
|
207
|
|
|
IBM CORP 3.300% 5/15/26
|
|
380
|
|
401
|
|
|
IBM CORP 3.500% 5/15/29
|
|
705
|
|
759
|
|
|
ING GROEP NV 3.950% 3/29/27
|
|
200
|
|
216
|
|
|
ING GROEP NV 4.100% 10/02/23
|
|
300
|
|
319
|
|
|
INTERNATIONAL PAPER 3.000% 2/15/27
|
|
79
|
|
81
|
|
|
INTL FLAVOR & FRAGRA 4.450% 9/26/28
|
|
65
|
|
71
|
|
|
INTL FLAVOR & FRAGRA 5.000% 9/26/48
|
|
74
|
|
84
|
|
|
INTL LEASE FINANCE 5.875% 8/15/22
|
|
150
|
|
163
|
|
|
INTL LEASE FINANCE 8.625% 1/15/22
|
|
100
|
|
113
|
|
|
INTL PAPER CO 8.700% 6/15/38
|
|
40
|
|
59
|
|
|
INVESCO FINANCE PLC 3.750% 1/15/26
|
|
78
|
|
83
|
|
|
JB HUNT TRANSPRT SVC 3.850% 3/15/24
|
|
100
|
|
105
|
|
|
JB HUNT TRANSPRT SVC 3.875% 3/01/26
|
|
115
|
|
124
|
|
|
JERSEY CENTRAL PWR 6.150% 6/01/37
|
|
30
|
|
39
|
|
|
JOHN DEERE CAPITAL 2.250% 9/14/26
|
|
105
|
|
105
|
|
|
JOHN DEERE CAPITAL 2.800% 9/08/27
|
|
100
|
|
103
|
|
|
JOHNSON & JOHNSON 3.400% 1/15/38
|
|
123
|
|
132
|
|
|
JOHNSON & JOHNSON 4.375% 12/05/33
|
|
22
|
|
26
|
|
|
KANSAS CITY POWER & 4.200% 3/15/48
|
|
60
|
|
69
|
|
|
KELLOGG CO 3.400% 11/15/27
|
|
52
|
|
54
|
|
|
KEYCORP 2.900% 9/15/20
|
|
62
|
|
62
|
|
|
KEYCORP 4.150% 10/29/25
|
|
100
|
|
110
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
24
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
KIMBERLY-CLARK CORP 2.750% 2/15/26
|
|
50
|
|
52
|
|
|
KINDER MORGAN INC 4.300% 3/01/28
|
|
175
|
|
191
|
|
|
KINDER MORGAN INC 5.200% 3/01/48
|
|
40
|
|
46
|
|
|
KRAFT HEINZ FOODS CO 5.000% 7/15/35
|
|
395
|
|
439
|
|
|
LASMO USA INC DTD 7.300% 11/15/27
|
|
70
|
|
90
|
|
|
LIBERTY PROPERTY LP 3.250% 10/01/26
|
|
27
|
|
28
|
|
|
LIFE STORAGE LP 4.000% 6/15/29
|
|
214
|
|
229
|
|
|
LINCOLN NATIONAL COR 3.050% 1/15/30
|
|
160
|
|
161
|
|
|
LINCOLN NATIONAL COR 4.200% 3/15/22
|
|
300
|
|
313
|
|
|
LLOYDS BANKING GROUP 4.375% 3/22/28
|
|
200
|
|
221
|
|
|
LLOYDS BANKING GROUP 4.450% 5/08/25
|
|
200
|
|
219
|
|
|
LOCKHEED MARTIN CORP 3.100% 1/15/23
|
|
43
|
|
44
|
|
|
LOCKHEED MARTIN CORP 4.500% 5/15/36
|
|
50
|
|
59
|
|
|
LOUISVILLE GAS & ELE 3.300% 10/01/25
|
|
71
|
|
75
|
|
|
LOUISVILLE GAS & ELE 4.650% 11/15/43
|
|
100
|
|
118
|
|
|
LOWE'S COS INC 3.650% 4/05/29
|
|
178
|
|
190
|
|
|
LOWE'S COS INC 4.550% 4/05/49
|
|
153
|
|
181
|
|
|
MAGELLAN HEALTH SRVC 4.400% 9/22/24
|
|
21
|
|
22
|
|
|
MAGELLAN MIDSTREAM 4.250% 2/01/21
|
|
250
|
|
256
|
|
|
MARKEL CORP 3.500% 11/01/27
|
|
135
|
|
140
|
|
|
MARTIN MARIETTA MATE 3.450% 6/01/27
|
|
73
|
|
75
|
|
|
MARTIN MARIETTA MATE 3.500% 12/15/27
|
|
220
|
|
228
|
|
|
MASCO CORP 6.500% 8/15/32
|
|
110
|
|
135
|
|
|
MCCORMICK & CO 3.150% 8/15/24
|
|
75
|
|
78
|
|
|
MCDONALD'S CORP 4.700% 12/09/35
|
|
101
|
|
120
|
|
|
MCDONALD'S CORP 6.300% 10/15/37
|
|
38
|
|
52
|
|
|
MEAD JOHNSON NUTRITI 4.125% 11/15/25
|
|
120
|
|
131
|
|
|
MEAD JOHNSON NUTRITI 4.600% 6/01/44
|
|
35
|
|
42
|
|
|
MEMORIAL HEALTH SERV 3.447% 11/01/49
|
|
310
|
|
305
|
|
*
|
METLIFE INC 4.368% 9/15/23
|
|
300
|
|
325
|
|
|
MICROSOFT CORP 3.950% 8/08/56
|
|
55
|
|
65
|
|
|
MICROSOFT CORP 4.000% 2/12/55
|
|
180
|
|
213
|
|
|
MICROSOFT CORP 4.100% 2/06/37
|
|
136
|
|
161
|
|
|
MICROSOFT CORP 4.200% 11/03/35
|
|
77
|
|
92
|
|
|
MITSUBISHI UFJ FIN 3.407% 3/07/24
|
|
295
|
|
308
|
|
|
MITSUBISHI UFJ FIN 3.751% 7/18/39
|
|
240
|
|
263
|
|
|
MITSUBISHI UFJ FIN 3.761% 7/26/23
|
|
200
|
|
211
|
|
*
|
MORGAN STANLEY 3.625% 1/20/27
|
|
137
|
|
146
|
|
*
|
MORGAN STANLEY 3.750% 2/25/23
|
|
757
|
|
793
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
25
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
*
|
MORGAN STANLEY 3.875% 1/27/26
|
|
108
|
|
116
|
|
*
|
MORGAN STANLEY 4.100% 5/22/23
|
|
500
|
|
528
|
|
*
|
MORGAN STANLEY 4.300% 1/27/45
|
|
140
|
|
165
|
|
|
MOSAIC CO 5.625% 11/15/43
|
|
150
|
|
176
|
|
|
MPLX LP 4.125% 3/01/27
|
|
78
|
|
82
|
|
|
MPLX LP 4.500% 4/15/38
|
|
80
|
|
81
|
|
|
MPLX LP 4.800% 2/15/29
|
|
139
|
|
153
|
|
|
MPLX LP 5.200% 3/01/47
|
|
40
|
|
43
|
|
|
MYLAN INC 5.400% 11/29/43
|
|
50
|
|
55
|
|
|
NATIONAL AUSTRALIA 3.375% 1/14/26
|
|
250
|
|
263
|
|
|
NATIONAL RETAIL PROP 3.600% 12/15/26
|
|
62
|
|
65
|
|
|
NATIONAL RETAIL PROP 4.000% 11/15/25
|
|
218
|
|
234
|
|
|
NATIONAL RURAL UTIL 2.950% 2/07/24
|
|
31
|
|
32
|
|
|
NATIONAL RURAL UTIL 3.900% 11/01/28
|
|
140
|
|
154
|
|
|
NEWMONT GOLDCORP COR 2.800% 10/01/29
|
|
125
|
|
124
|
|
|
NISOURCE FINANCE COR 6.250% 12/15/40
|
|
180
|
|
238
|
|
|
NISOURCE INC 2.950% 9/01/29
|
|
125
|
|
125
|
|
|
NOBLE ENERGY INC 3.250% 10/15/29
|
|
140
|
|
142
|
|
|
NOBLE ENERGY INC 5.050% 11/15/44
|
|
60
|
|
67
|
|
|
NOBLE ENERGY INC 6.000% 3/01/41
|
|
100
|
|
120
|
|
|
NORFOLK SOUTHERN COR 3.850% 1/15/24
|
|
88
|
|
93
|
|
|
NORFOLK SOUTHERN COR 3.942% 11/01/47
|
|
51
|
|
55
|
|
|
NORTHERN STATE PWR 6.250% 6/01/36
|
|
30
|
|
42
|
|
|
NORTHERN STATE PWR- 6.200% 7/01/37
|
|
50
|
|
70
|
|
|
NORTHERN STATES PWR- 2.900% 3/01/50
|
|
170
|
|
162
|
|
|
NORTHROP GRUMMAN COR 3.200% 2/01/27
|
|
80
|
|
83
|
|
|
NORTHROP GRUMMAN COR 3.250% 1/15/28
|
|
50
|
|
52
|
|
|
NOVARTIS CAPITAL COR 4.400% 5/06/44
|
|
100
|
|
122
|
|
|
NUCOR CORP 6.400% 12/01/37
|
|
50
|
|
68
|
|
|
NUTRIEN LTD 4.125% 3/15/35
|
|
100
|
|
105
|
|
|
NUTRIEN LTD 4.200% 4/01/29
|
|
35
|
|
39
|
|
|
NUTRIEN LTD 5.000% 4/01/49
|
|
55
|
|
66
|
|
|
NVENT FINANCE SARL 4.550% 4/15/28
|
|
98
|
|
102
|
|
|
OCCIDENTAL PETROLEUM 3.500% 8/15/29
|
|
290
|
|
296
|
|
|
OCCIDENTAL PETROLEUM 4.200% 3/15/48
|
|
70
|
|
70
|
|
|
OCCIDENTAL PETROLEUM 7.875% 9/15/31
|
|
200
|
|
268
|
|
|
ONEBEACON US HOLDING 4.600% 11/09/22
|
|
150
|
|
158
|
|
|
ONEOK INC 3.400% 9/01/29
|
|
60
|
|
61
|
|
|
ONEOK INC 5.200% 7/15/48
|
|
200
|
|
227
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
26
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
ONEOK INC 7.500% 9/01/23
|
|
300
|
|
350
|
|
|
ONEOK PARTNERS LP 3.375% 10/01/22
|
|
31
|
|
32
|
|
|
ONEOK PARTNERS LP 5.000% 9/15/23
|
|
69
|
|
75
|
|
|
ORACLE CORP 2.950% 5/15/25
|
|
200
|
|
208
|
|
|
ORACLE CORP 2.950% 11/15/24
|
|
130
|
|
135
|
|
|
ORACLE CORP 3.850% 7/15/36
|
|
267
|
|
293
|
|
|
ORACLE CORP 3.900% 5/15/35
|
|
233
|
|
260
|
|
|
ORACLE CORP 4.300% 7/08/34
|
|
200
|
|
234
|
|
|
O'REILLY AUTOMOTIVE 3.600% 9/01/27
|
|
62
|
|
66
|
|
|
ORIX CORP 2.900% 7/18/22
|
|
55
|
|
56
|
|
|
ORIX CORP 3.700% 7/18/27
|
|
100
|
|
106
|
|
|
PACCAR FINANCIAL COR 2.250% 2/25/21
|
|
60
|
|
60
|
|
|
PACKAGING CORP OF AM 4.050% 12/15/49
|
|
195
|
|
203
|
|
|
PEMEX PROJ FDG MASTE 6.625% 6/15/35
|
|
400
|
|
410
|
|
|
PETRO-CANADA 5.350% 7/15/33
|
|
100
|
|
123
|
|
|
PETRO-CANADA 5.950% 5/15/35
|
|
80
|
|
104
|
|
|
PETRO-CANADA 6.800% 5/15/38
|
|
80
|
|
114
|
|
|
PETROLEOS MEXICANOS 5.350% 2/12/28
|
|
71
|
|
71
|
|
|
PETROLEOS MEXICANOS 6.500% 3/13/27
|
|
200
|
|
212
|
|
|
PETROLEOS MEXICANOS 6.750% 9/21/47
|
|
104
|
|
104
|
|
|
PFIZER INC 3.900% 3/15/39
|
|
210
|
|
237
|
|
|
PHILLIPS 66 PARTNERS 3.150% 12/15/29
|
|
105
|
|
105
|
|
|
PHILLIPS 66 PARTNERS 3.550% 10/01/26
|
|
15
|
|
16
|
|
|
PHILLIPS 66 PARTNERS 3.605% 2/15/25
|
|
160
|
|
168
|
|
|
PHILLIPS 66 PARTNERS 4.900% 10/01/46
|
|
40
|
|
45
|
|
|
PLAINS ALL AMER PIPE 4.650% 10/15/25
|
|
150
|
|
161
|
|
|
PLAINS ALL AMER PIPE 4.700% 6/15/44
|
|
110
|
|
107
|
|
|
PNC FINANCIAL SERVIC 3.450% 4/23/29
|
|
200
|
|
213
|
|
|
PRECISION CASTPARTS 3.250% 6/15/25
|
|
53
|
|
56
|
|
|
PRECISION CASTPARTS 4.375% 6/15/45
|
|
80
|
|
93
|
|
|
PRICELINE GROUP INC/ 3.550% 3/15/28
|
|
200
|
|
213
|
|
*
|
PRINCIPAL FINANCIAL 3.700% 5/15/29
|
|
105
|
|
115
|
|
|
PROGRESS ENERGY INC 7.000% 10/30/31
|
|
50
|
|
68
|
|
|
PROV ST JOSEPH HLTH 2.746% 10/01/26
|
|
28
|
|
28
|
|
|
PSI ENERGY INC 6.120% 10/15/35
|
|
50
|
|
66
|
|
|
PUBLIC SERVICE COLOR 3.550% 6/15/46
|
|
27
|
|
28
|
|
|
PUBLIC SERVICE ELECT 2.250% 9/15/26
|
|
70
|
|
69
|
|
|
PUBLIC STORAGE 3.385% 5/01/29
|
|
100
|
|
106
|
|
|
RABOBANK NEDERLAND 4.625% 12/01/23
|
|
250
|
|
271
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
27
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
REALTY INCOME CORP 3.875% 4/15/25
|
|
75
|
|
81
|
|
|
REALTY INCOME CORP 3.875% 7/15/24
|
|
250
|
|
267
|
|
|
REGENCY CENTERS LP 2.950% 9/15/29
|
|
180
|
|
180
|
|
|
REGIONS FINANCIAL CO 2.750% 8/14/22
|
|
38
|
|
39
|
|
|
REGIONS FINANCIAL CO 3.800% 8/14/23
|
|
107
|
|
113
|
|
|
REYNOLDS AMERICAN IN 5.700% 8/15/35
|
|
100
|
|
116
|
|
|
ROCKWELL COLLINS INC 3.200% 3/15/24
|
|
37
|
|
39
|
|
|
ROCKWELL COLLINS INC 4.350% 4/15/47
|
|
17
|
|
20
|
|
|
ROGERS COMMUNICATION 4.350% 5/01/49
|
|
140
|
|
157
|
|
|
ROPER TECHNOLOGIES 3.000% 12/15/20
|
|
25
|
|
25
|
|
|
ROYAL BANK OF CANADA 3.700% 10/05/23
|
|
400
|
|
423
|
|
|
RYDER SYSTEM INC 2.650% 3/02/20
|
|
150
|
|
150
|
|
|
RYDER SYSTEM INC 2.875% 9/01/20
|
|
57
|
|
57
|
|
|
SAN DIEGO G & E 6.125% 9/15/37
|
|
80
|
|
101
|
|
|
SANTANDER UK GROUP 3.571% 1/10/23
|
|
200
|
|
205
|
|
|
SELECT INCOME REIT 3.600% 2/01/20
|
|
160
|
|
160
|
|
|
SELECT INCOME REIT 4.150% 2/01/22
|
|
550
|
|
563
|
|
|
SENIOR HOUSING PROPE 4.750% 2/15/28
|
|
100
|
|
101
|
|
|
SHELL INTERNATIONAL 2.250% 11/10/20
|
|
89
|
|
89
|
|
|
SHERWIN-WILLIAMS CO 3.125% 6/01/24
|
|
41
|
|
42
|
|
|
SHIRE ACQ INV IRELAN 2.875% 9/23/23
|
|
83
|
|
85
|
|
|
SHIRE ACQ INV IRELAN 3.200% 9/23/26
|
|
360
|
|
371
|
|
|
SOUTHERN CAL EDISON 3.650% 3/01/28
|
|
100
|
|
107
|
|
|
SOUTHERN CAL EDISON 4.050% 3/15/42
|
|
150
|
|
155
|
|
|
SOUTHERN CAL EDISON 4.125% 3/01/48
|
|
140
|
|
150
|
|
|
SOUTHERN CALIF EDISO 5.550% 1/15/36
|
|
100
|
|
120
|
|
|
SOUTHERN CALIF GAS 3.200% 6/15/25
|
|
150
|
|
157
|
|
|
SOUTHERN CO GAS CAPI 3.950% 10/01/46
|
|
26
|
|
27
|
|
|
SOUTHERN POWER CO 5.150% 9/15/41
|
|
70
|
|
79
|
|
|
SOUTHWEST GAS CORP 3.800% 9/29/46
|
|
49
|
|
50
|
|
|
SOUTHWESTERN ELEC PO 2.750% 10/01/26
|
|
200
|
|
200
|
|
|
SOUTHWESTERN ELEC PO 3.550% 2/15/22
|
|
50
|
|
51
|
|
|
SOUTHWESTERN PUBLIC 4.500% 8/15/41
|
|
30
|
|
35
|
|
|
SPIRIT AIR 2017-1 PT 3.375% 2/15/30
|
|
71
|
|
73
|
|
|
STEEL DYNAMICS INC 3.450% 4/15/30
|
|
225
|
|
228
|
|
|
SUMITOMO MITSUI FINL 2.442% 10/19/21
|
|
53
|
|
53
|
|
|
SUMITOMO MITSUI FINL 2.778% 10/18/22
|
|
99
|
|
101
|
|
|
SUMITOMO MITSUI FINL 3.040% 7/16/29
|
|
480
|
|
490
|
|
|
SUMITOMO MITSUI FINL 3.102% 1/17/23
|
|
138
|
|
142
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
28
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
SUMITOMO MITSUI FINL 3.936% 10/16/23
|
|
430
|
|
456
|
|
|
SUNCOR ENERGY INC 5.950% 12/01/34
|
|
50
|
|
65
|
|
|
SUNTRUST BANK 3.300% 5/15/26
|
|
200
|
|
208
|
|
|
SUNTRUST BANKS INC 2.900% 3/03/21
|
|
59
|
|
60
|
|
|
SVENSKA HANDELSBANKE 2.400% 10/01/20
|
|
250
|
|
251
|
|
|
SYNCHRONY FINANCIAL 3.700% 8/04/26
|
|
110
|
|
114
|
|
|
TAKEDA PHARMACEUTICA 5.000% 11/26/28
|
|
200
|
|
233
|
|
|
TAMPA ELECTRIC CO 4.450% 6/15/49
|
|
225
|
|
267
|
|
|
TC PIPELINES LP 3.900% 5/25/27
|
|
39
|
|
41
|
|
|
TELEFONICA EMISIONES 4.665% 3/06/38
|
|
150
|
|
168
|
|
|
THERMO FISHER SCIENT 2.950% 9/19/26
|
|
42
|
|
43
|
|
|
THERMO FISHER SCIENT 3.000% 4/15/23
|
|
45
|
|
46
|
|
|
TIME WARNER CABLE IN 5.500% 9/01/41
|
|
100
|
|
112
|
|
|
TOLEDO EDISON COMPAN 6.150% 5/15/37
|
|
50
|
|
69
|
|
|
TORONTO-DOMINION BAN 3.250% 3/11/24
|
|
150
|
|
157
|
|
|
TRANS-CANADA PIPELIN 4.875% 1/15/26
|
|
139
|
|
156
|
|
|
TRANS-CANADA PIPELIN 6.200% 10/15/37
|
|
60
|
|
78
|
|
|
TRI-STATE GENERATION 4.250% 6/01/46
|
|
37
|
|
40
|
|
|
TUCSON ELECTRIC POWE 4.850% 12/01/48
|
|
125
|
|
153
|
|
|
TYSON FOODS INC 4.875% 8/15/34
|
|
50
|
|
60
|
|
|
UDR INC 2.950% 9/01/26
|
|
32
|
|
33
|
|
|
UDR INC 3.000% 8/15/31
|
|
30
|
|
30
|
|
|
UDR INC 3.200% 1/15/30
|
|
190
|
|
194
|
|
|
UNION CARBIDE CORP 7.750% 10/01/96
|
|
110
|
|
157
|
|
|
UNION ELECTRIC CO 2.950% 6/15/27
|
|
50
|
|
52
|
|
|
UNITED AIR 2013-1 A 4.300% 8/15/25
|
|
188
|
|
202
|
|
|
UNITED AIR 2016-1 A 3.450% 7/07/28
|
|
75
|
|
77
|
|
|
UNITED AIR 2016-1 AA 3.100% 7/07/28
|
|
179
|
|
183
|
|
|
UNITED AIR 2016-1 B 3.650% 1/07/26
|
|
71
|
|
73
|
|
|
UNITED AIR 2018-1 A 3.700% 3/01/30
|
|
108
|
|
111
|
|
|
UNITED AIR 2018-1 AA 3.500% 3/01/30
|
|
183
|
|
188
|
|
|
UNITED AIR 2018-1 B 4.600% 3/01/26
|
|
47
|
|
48
|
|
|
UNITED AIR 2019-1 A 4.550% 8/25/31
|
|
272
|
|
294
|
|
|
UNITED AIR 2019-1 AA 4.150% 8/25/31
|
|
254
|
|
274
|
|
|
UNITED TECHNOLOGIES 3.750% 11/01/46
|
|
105
|
|
114
|
|
|
UNITED TECHNOLOGIES 3.950% 8/16/25
|
|
465
|
|
507
|
|
|
UNITED TECHNOLOGIES 4.450% 11/16/38
|
|
60
|
|
71
|
|
|
UNITED TECHNOLOGIES 4.500% 6/01/42
|
|
555
|
|
665
|
|
|
UNITEDHEALTH GROUP 3.100% 3/15/26
|
|
100
|
|
105
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
29
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
UNITEDHEALTH GROUP 4.625% 7/15/35
|
|
124
|
|
151
|
|
|
VALERO ENERGY CORP 7.500% 4/15/32
|
|
21
|
|
29
|
|
|
VENTAS REALTY LP 3.750% 5/01/24
|
|
200
|
|
210
|
|
|
VENTAS REALTY LP 3.850% 4/01/27
|
|
31
|
|
33
|
|
|
VENTAS REALTY LP 4.125% 1/15/26
|
|
34
|
|
36
|
|
|
VERIZON COMMUNICATIO 4.272% 1/15/36
|
|
50
|
|
57
|
|
|
VERIZON COMMUNICATIO 4.400% 11/01/34
|
|
70
|
|
81
|
|
|
VERIZON COMMUNICATIO 4.500% 8/10/33
|
|
432
|
|
504
|
|
|
VERIZON COMMUNICATIO 4.672% 3/15/55
|
|
480
|
|
593
|
|
|
VERIZON COMMUNICATIO 4.862% 8/21/46
|
|
228
|
|
283
|
|
|
VERIZON COMMUNICATIO 5.250% 3/16/37
|
|
101
|
|
127
|
|
|
VIRGINIA ELEC & POWE 3.500% 3/15/27
|
|
100
|
|
107
|
|
|
VIRGINIA ELEC & POWE 3.800% 4/01/28
|
|
60
|
|
65
|
|
|
VIRGINIA ELEC & POWE 3.800% 9/15/47
|
|
50
|
|
54
|
|
|
VMWARE INC 2.950% 8/21/22
|
|
140
|
|
143
|
|
|
VODAFONE GROUP PLC 3.750% 1/16/24
|
|
170
|
|
180
|
|
|
VODAFONE GROUP PLC 4.875% 6/19/49
|
|
310
|
|
360
|
|
|
VORNADO REALTY LP 3.500% 1/15/25
|
|
70
|
|
73
|
|
|
VR BANK OF AMERICA 3.093% 10/01/25
|
|
55
|
|
57
|
|
|
VR BANK OF AMERICA 3.366% 1/23/26
|
|
100
|
|
105
|
|
|
VR BANK OF AMERICA 3.550% 3/05/24
|
|
450
|
|
467
|
|
|
VR BANK OF AMERICA 3.559% 4/23/27
|
|
700
|
|
740
|
|
|
VR BANK OF AMERICA 3.705% 4/24/28
|
|
350
|
|
374
|
|
|
VR BANK OF AMERICA 3.970% 3/05/29
|
|
300
|
|
327
|
|
|
VR BANK OF AMERICA 4.078% 4/23/40
|
|
170
|
|
193
|
|
|
VR BANK OF AMERICA 4.330% 3/15/50
|
|
170
|
|
205
|
|
|
VR BANK OF MONTREAL 3.803% 12/15/32
|
|
67
|
|
70
|
|
|
VR BARCLAYS PLC 4.338% 5/16/24
|
|
200
|
|
211
|
|
|
VR BARCLAYS PLC 4.610% 2/15/23
|
|
220
|
|
230
|
|
|
VR CITIGROUP INC 3.142% 1/24/23
|
|
102
|
|
104
|
|
|
VR CITIGROUP INC 3.352% 4/24/25
|
|
355
|
|
369
|
|
|
VR CITIGROUP INC 3.668% 7/24/28
|
|
290
|
|
309
|
|
|
VR CITIGROUP INC 3.878% 1/24/39
|
|
50
|
|
55
|
|
|
VR CITIGROUP INC 3.980% 3/20/30
|
|
300
|
|
328
|
|
|
VR ENBRIDGE INC 6.250% 3/01/78
|
|
70
|
|
76
|
|
|
VR EXELON CORP 3.497% 6/01/22
|
|
80
|
|
82
|
|
|
VR GOLDMAN SACHS 4.223% 5/01/29
|
|
500
|
|
551
|
|
|
VR GOLDMAN SACHS GRO 2.908% 6/05/23
|
|
834
|
|
848
|
|
|
VR GOLDMAN SACHS GRO 3.272% 9/29/25
|
|
210
|
|
217
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
30
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
VR GOLDMAN SACHS GRO 3.691% 6/05/28
|
|
279
|
|
297
|
|
|
VR GOLDMAN SACHS GRO 4.411% 4/23/39
|
|
210
|
|
239
|
|
|
VR MAGELLAN MIDSTREA 6.400% 5/01/37
|
|
70
|
|
89
|
|
|
VR MANULIFE FINANCIA 4.061% 2/24/32
|
|
140
|
|
145
|
|
|
VR MIZUHO FINANCIAL 2.869% 9/13/30
|
|
280
|
|
280
|
|
*
|
VR MORGAN STANLEY 3.772% 1/24/29
|
|
333
|
|
358
|
|
*
|
VR MORGAN STANLEY 4.457% 4/22/39
|
|
135
|
|
159
|
|
|
VR NORTHERN TRUST CO 3.375% 5/08/32
|
|
38
|
|
39
|
|
|
VR PROGRESSIVE COR 5.375% 9/15/66
|
|
65
|
|
68
|
|
|
VR ROYAL BK SCOTLND 3.754% 11/01/29
|
|
236
|
|
241
|
|
|
VR ROYAL BK SCOTLND 4.269% 3/22/25
|
|
200
|
|
212
|
|
|
VR ROYAL BK SCOTLND 4.445% 5/08/30
|
|
235
|
|
260
|
|
*
|
VR WELLS FARGO & COM 3.196% 6/17/27
|
|
335
|
|
348
|
|
|
VR WESTPAC BANKING 4.322% 11/23/31
|
|
120
|
|
127
|
|
|
WALT DISNEY COMPANY/ 7.625% 11/30/28
|
|
200
|
|
277
|
|
|
WASTE MANAGEMENT INC 3.450% 6/15/29
|
|
100
|
|
107
|
|
*
|
WELLS FARGO & COMPAN 3.300% 9/09/24
|
|
200
|
|
210
|
|
*
|
WELLS FARGO & COMPAN 3.550% 9/29/25
|
|
500
|
|
529
|
|
*
|
WELLS FARGO & COMPAN 4.100% 6/03/26
|
|
36
|
|
39
|
|
*
|
WELLS FARGO & COMPAN 4.300% 7/22/27
|
|
148
|
|
162
|
|
*
|
WELLS FARGO & COMPAN 4.400% 6/14/46
|
|
149
|
|
170
|
|
*
|
WELLS FARGO & COMPAN 4.750% 12/07/46
|
|
161
|
|
193
|
|
*
|
WELLS FARGO & COMPAN 4.900% 11/17/45
|
|
67
|
|
82
|
|
|
WELLTOWER INC 2.700% 2/15/27
|
|
18
|
|
18
|
|
|
WELLTOWER INC 3.100% 1/15/30
|
|
115
|
|
116
|
|
|
WELLTOWER INC 4.250% 4/01/26
|
|
100
|
|
109
|
|
|
WESTERN UNION CO/THE 3.600% 3/15/22
|
|
100
|
|
103
|
|
|
WESTLAKE CHEMICAL CO 3.600% 7/15/22
|
|
100
|
|
102
|
|
|
WESTPAC BANKING CORP 2.850% 5/13/26
|
|
110
|
|
113
|
|
|
WESTPAC BANKING CORP 4.421% 7/24/39
|
|
140
|
|
154
|
|
|
WILLIAMS PARTNERS LP 3.900% 1/15/25
|
|
59
|
|
62
|
|
|
WILLIAMS PARTNERS LP 4.850% 3/01/48
|
|
64
|
|
70
|
|
|
WISCONSIN ENERGY COR 3.550% 6/15/25
|
|
238
|
|
253
|
|
|
WP CAREY INC 4.000% 2/01/25
|
|
450
|
|
472
|
|
|
WRKCO INC 3.900% 6/01/28
|
|
90
|
|
96
|
|
|
WW GRAINGER INC 4.600% 6/15/45
|
|
91
|
|
109
|
|
|
XCEL ENERGY INC 2.400% 3/15/21
|
|
25
|
|
25
|
|
|
ZIMMER BIOMET HOLDIN 3.700% 3/19/23
|
|
34
|
|
35
|
|
|
Total Corporate Debt Instruments
|
|
|
|
93,564
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
31
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
|
|
|
|
|
|
|
Common Stocks
|
|
|
|
|
|
|
2U INC
|
|
20
|
|
485
|
|
|
ABBVIE INC
|
|
45
|
|
3,949
|
|
|
ABIOMED INC
|
|
22
|
|
3,719
|
|
|
ACCELERON PHARMA INC
|
|
14
|
|
763
|
|
|
ACCO BRANDS CORP
|
|
150
|
|
1,408
|
|
|
ACI WORLDWIDE INC
|
|
34
|
|
1,281
|
|
|
ACTIVISION BLIZZARD INC
|
|
113
|
|
6,720
|
|
|
ADAPTIVE BIOTECHNOLOGIES CORP
|
|
19
|
|
562
|
|
|
ADOBE INC
|
|
98
|
|
32,268
|
|
|
AERCAP HOLDINGS NV
|
|
83
|
|
5,065
|
|
|
AES CORP
|
|
130
|
|
2,583
|
|
|
AFLAC INC
|
|
51
|
|
2,703
|
|
|
AIR PRODS & CHEMS INC COM
|
|
16
|
|
3,713
|
|
|
ALBANY INTL CORP NEW CL A
|
|
16
|
|
1,259
|
|
|
ALBEMARLE CORP COM
|
|
25
|
|
1,793
|
|
|
ALEXANDER & BALDWIN INC
|
|
73
|
|
1,540
|
|
|
ALEXANDRIA REAL ESTATE EQUITIES
|
|
22
|
|
3,506
|
|
|
ALEXION PHARMACEUTICALS INC
|
|
12
|
|
1,319
|
|
|
ALIBABA GROUP HOLDING LTD ADR
|
|
85
|
|
18,007
|
|
|
ALIGN TECHNOLOGY INC
|
|
45
|
|
12,557
|
|
|
ALLEGHANY CORP DEL NEW
|
|
4
|
|
2,862
|
|
|
ALLIANT ENERGY CORPORATION
|
|
37
|
|
2,019
|
|
|
ALLSCRIPTS HEALTHCARE SOLUTIONS INC
|
|
128
|
|
1,253
|
|
|
ALLSTATE CORP
|
|
32
|
|
3,598
|
|
|
ALLY FINANCIAL INC
|
|
94
|
|
2,873
|
|
|
ALPHABET INC CL A
|
|
16
|
|
21,631
|
|
|
ALPHABET INC CL C
|
|
6
|
|
8,145
|
|
|
AMAZON COM INC COM
|
|
22
|
|
39,211
|
|
|
AMDOCS LIMITED COM
|
|
57
|
|
4,082
|
|
|
AMEDISYS INC
|
|
7
|
|
1,093
|
|
|
AMERICAN AIRLS GROUP INC
|
|
249
|
|
7,167
|
|
*
|
AMERICAN EXPRESS CO
|
|
5,428
|
|
675,727
|
|
|
AMERICAN FINL GROUP INC OHIO COM
|
|
12
|
|
1,294
|
|
|
AMERICAN TOWER CORP
|
|
34
|
|
7,699
|
|
|
AMERICAN WOODMARK CORP COM
|
|
21
|
|
2,143
|
|
|
AMERICOLD REALTY TRUST
|
|
51
|
|
1,775
|
|
*
|
AMERIPRISE FINL INC
|
|
16
|
|
2,665
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
32
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
AMETEK INC COM
|
|
33
|
|
3,311
|
|
|
AMGEN INC
|
|
17
|
|
4,195
|
|
|
AMN HEALTHCARE SERVICES INC
|
|
16
|
|
986
|
|
|
ANNALY CAPITAL MANAGEMENT INC.
|
|
437
|
|
4,115
|
|
|
ANTHEM INC
|
|
11
|
|
3,232
|
|
|
APOLLO GLOBAL MANAGEMENT INC
|
|
21
|
|
988
|
|
|
APTARGROUP INC COM
|
|
15
|
|
1,743
|
|
|
ARAMARK
|
|
49
|
|
2,121
|
|
|
ARES CAP CORP
|
|
36
|
|
673
|
|
|
ARGO GROUP INTL HLDGS LTD
|
|
5
|
|
340
|
|
|
ASSURANT INC
|
|
16
|
|
2,054
|
|
|
ASSURED GUARANTY LTD USD 1.0
|
|
26
|
|
1,255
|
|
|
ASTRAZENECA PLC ADR
|
|
56
|
|
2,812
|
|
|
ASTRONICS CORP COM
|
|
34
|
|
954
|
|
|
AT & T INC
|
|
327
|
|
12,752
|
|
|
ATLANTIC UNION BANKSHARES CORP
|
|
35
|
|
1,326
|
|
|
ATLASSIAN CORP PLC-CLASS A
|
|
40
|
|
4,874
|
|
|
AUTOZONE INC
|
|
1
|
|
1,430
|
|
|
AVALARA INC
|
|
31
|
|
2,243
|
|
|
BANC OF CALIFORNIA INC
|
|
91
|
|
1,557
|
|
|
BANCO SANTANDER CEN-SPON - ADR
|
|
675
|
|
2,795
|
|
|
BANK OF AMERICA CORP
|
|
349
|
|
12,302
|
|
|
BELDEN INC
|
|
37
|
|
2,017
|
|
*
|
BERKSHIRE HATHAWAY INC.
|
|
41
|
|
9,195
|
|
|
BIO RAD LABS INC CL A
|
|
3
|
|
1,106
|
|
|
BIOGEN INC
|
|
16
|
|
4,599
|
|
|
BIOMARIN PHARMACEUTICAL INC
|
|
21
|
|
1,750
|
|
|
BJ'S WHOLESALE CLUB HOLDINGS
|
|
100
|
|
2,275
|
|
|
BLACK KNIGHT INC
|
|
24
|
|
1,562
|
|
|
BLOOMIN' BRANDS INC
|
|
47
|
|
1,038
|
|
|
BLUEBIRD BIO INC
|
|
5
|
|
456
|
|
|
BLUEPRINT MEDICINES CORP
|
|
12
|
|
1,001
|
|
|
BOOZ ALLEN HAMILTON HOLDING CO
|
|
60
|
|
4,291
|
|
|
BOSTON BEER COMPANY INC-CL A
|
|
3
|
|
1,134
|
|
|
BOSTON SCIENTIFIC CORP COM
|
|
55
|
|
2,469
|
|
|
BP PLC - ADR
|
|
261
|
|
9,866
|
|
|
BRANDYWINE RLTY TR BD
|
|
215
|
|
3,397
|
|
|
BRIGHT HORIZONS FAMILY SOLUTIO
|
|
22
|
|
3,278
|
|
|
BRIGHTVIEW HOLDINGS INC
|
|
46
|
|
783
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
33
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
BRINKS CO
|
|
12
|
|
1,096
|
|
|
BRISTOL MYERS SQUIBB CO
|
|
56
|
|
3,575
|
|
|
BROADRIDGE FINANCIAL SOLUTIONS
|
|
15
|
|
1,841
|
|
|
BROWN FORMAN CORP CL B
|
|
45
|
|
3,015
|
|
|
BRUNSWICK CORP
|
|
12
|
|
726
|
|
|
BURLINGTON STORES INC
|
|
7
|
|
1,520
|
|
|
BWX TECHNOLOGIES INC
|
|
19
|
|
1,180
|
|
|
CABLE ONE INC
|
|
1
|
|
811
|
|
|
CACI INTL INC FORMERLY CACI INC TO
|
|
7
|
|
1,819
|
|
|
CACTUS INC
|
|
13
|
|
432
|
|
|
CAMPBELL SOUP CO
|
|
68
|
|
3,366
|
|
|
CANADIAN NAT RES LTD
|
|
323
|
|
10,452
|
|
|
CAPITAL ONE FINANCIAL CORP
|
|
32
|
|
3,314
|
|
|
CARLISLE COS INC
|
|
9
|
|
1,408
|
|
|
CARTER HOLDINGS
|
|
14
|
|
1,499
|
|
|
CARVANA CO
|
|
7
|
|
601
|
|
|
CASELLA WASTE SYS INC CL A
|
|
29
|
|
1,348
|
|
|
CATALENT INC
|
|
37
|
|
2,102
|
|
|
CATO CORP NEW CL A
|
|
29
|
|
497
|
|
|
CBIZ INC
|
|
18
|
|
477
|
|
|
CDK GLOBAL INC
|
|
27
|
|
1,477
|
|
|
CENTURYLINK, INC
|
|
299
|
|
3,950
|
|
|
CF INDS HLDGS INC
|
|
27
|
|
1,294
|
|
|
CHARLES RIVER LABORATORIES
|
|
10
|
|
1,497
|
|
|
CHARTER COMMUNICATIONS INC-A
|
|
9
|
|
4,269
|
|
|
CHEGG INC
|
|
19
|
|
735
|
|
|
CHEMED CORP NEW
|
|
1
|
|
483
|
|
|
CHEVRON CORP
|
|
39
|
|
4,736
|
|
|
CHEWY INC
|
|
35
|
|
1,033
|
|
|
CHIPOTLE MEXICAN GRILL INC
|
|
1
|
|
1,205
|
|
|
CHUBB LTD
|
|
18
|
|
2,827
|
|
|
CINCINNATI FINANCIAL CORP
|
|
25
|
|
2,650
|
|
|
CINEMARK HOLDINGS INC
|
|
77
|
|
2,610
|
|
|
CISCO SYSTEMS INC
|
|
37
|
|
1,784
|
|
|
CISION LTD
|
|
47
|
|
469
|
|
|
CITIGROUP INC.
|
|
218
|
|
17,393
|
|
|
CLEAN HARBORS INC
|
|
32
|
|
2,758
|
|
|
CLOROX CO
|
|
18
|
|
2,702
|
|
|
COGNEX CORP
|
|
8
|
|
476
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
34
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
COHERENT INC
|
|
6
|
|
968
|
|
|
COMCAST CORP CLASS A
|
|
81
|
|
3,652
|
|
|
CONOCOPHILLIPS
|
|
116
|
|
7,498
|
|
|
COOPER COS INC COM NEW
|
|
4
|
|
1,125
|
|
|
COOPER TIRE & RUBR CO
|
|
30
|
|
858
|
|
|
CORNING INC
|
|
127
|
|
3,697
|
|
|
CORPORATE OFFICE PROPERTIES COM
|
|
57
|
|
1,679
|
|
|
CORTEVA INC
|
|
121
|
|
3,588
|
|
|
COSTAR GROUP, INC
|
|
30
|
|
17,752
|
|
|
COSTCO WHOLESALE CORP
|
|
11
|
|
3,150
|
|
|
COUPA SOFTWARE INC
|
|
8
|
|
1,126
|
|
|
CROWN HLDGS INC
|
|
72
|
|
5,223
|
|
|
CTS CORP
|
|
37
|
|
1,096
|
|
|
CUBESMART
|
|
4
|
|
120
|
|
|
CURTISS WRIGHT CORP COM
|
|
9
|
|
1,300
|
|
|
CUSHMAN & WAKEFIELD PLC
|
|
90
|
|
1,840
|
|
|
CVS HEALTH CORPORATION
|
|
73
|
|
5,423
|
|
|
D R HORTON INC COM
|
|
66
|
|
3,492
|
|
|
DATADOG INC
|
|
10
|
|
385
|
|
|
DECIPHERA PHARMACEUTICALS INC
|
|
13
|
|
814
|
|
|
DELTA AIR LINES INC
|
|
53
|
|
3,099
|
|
|
DESIGNER BRANDS INC
|
|
27
|
|
428
|
|
|
DEVON ENERGY CORPORATION
|
|
137
|
|
3,553
|
|
|
DEXCOM INC
|
|
9
|
|
2,012
|
|
|
DIAMONDROCK HOSPITALITY CO
|
|
73
|
|
811
|
|
|
DISCOVER FINANCIAL SERVICES
|
|
42
|
|
3,537
|
|
|
DISCOVERY COMMUNICATIONS-A
|
|
93
|
|
3,038
|
|
|
DISH NETWORK CORP
|
|
84
|
|
2,969
|
|
|
DOMINOS PIZZA INC
|
|
5
|
|
1,381
|
|
|
DORIAN LPG LTD
|
|
68
|
|
1,049
|
|
|
DOW INC
|
|
17
|
|
940
|
|
|
DUPONT DE NEMOURS INC
|
|
17
|
|
1,103
|
|
|
DXC TECHNOLOGY CO
|
|
21
|
|
786
|
|
|
E*TRADE GROUP
|
|
41
|
|
1,865
|
|
|
EAGLE MATLS INC
|
|
19
|
|
1,746
|
|
|
EASTMAN CHEM CO COM
|
|
41
|
|
3,275
|
|
|
EBAY INC
|
|
114
|
|
4,099
|
|
|
EDWARDS LIFESCIENCES CORP
|
|
65
|
|
15,218
|
|
|
ELANCO ANIMAL HEALTH INC
|
|
29
|
|
860
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
35
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
ELASTIC NV
|
|
22
|
|
1,455
|
|
|
EMCOR GROUP INC COM
|
|
10
|
|
837
|
|
|
ENCOMPASS HEALTH CORP
|
|
25
|
|
1,711
|
|
|
ENTEGRIS INC
|
|
24
|
|
1,212
|
|
|
ENVESTNET INC
|
|
35
|
|
2,401
|
|
|
EPAM SYSTEMS INC
|
|
7
|
|
1,583
|
|
|
EQUINIX INC
|
|
7
|
|
4,109
|
|
|
ERA GROUP INC
|
|
38
|
|
388
|
|
|
ESCO TECHNOLOGIES INC
|
|
17
|
|
1,581
|
|
|
ETSY INC
|
|
19
|
|
850
|
|
|
EURONET WORLDWIDE INC.
|
|
10
|
|
1,520
|
|
|
EVERCORE INC
|
|
16
|
|
1,159
|
|
|
EVEREST RE GROUP LTD
|
|
4
|
|
1,049
|
|
|
EVO PAYMENTS INC
|
|
26
|
|
687
|
|
|
EXACT SCIENCES CORP
|
|
18
|
|
1,618
|
|
|
FACEBOOK INC
|
|
140
|
|
28,718
|
|
|
FAIR ISSAC, INC
|
|
3
|
|
1,143
|
|
|
FASTENAL CO
|
|
78
|
|
2,867
|
|
|
FIDELITY NATL INFORMATION SVCS INC
|
|
24
|
|
3,338
|
|
|
FIFTH THIRD BANCORP
|
|
97
|
|
2,991
|
|
|
FIRST HAWAIIAN INC
|
|
75
|
|
2,167
|
|
|
FIRST MIDWEST BANCORP INC DEL
|
|
66
|
|
1,520
|
|
|
FIRST SOURCE CORP
|
|
19
|
|
992
|
|
|
FIVE BELOW INC
|
|
18
|
|
2,396
|
|
|
FLIR SYS INC COM
|
|
16
|
|
845
|
|
|
FLOOR & DECOR HOLDINGS INC
|
|
190
|
|
9,649
|
|
|
FORD MOTOR COMPANY
|
|
212
|
|
1,971
|
|
|
FORRESTER RESEARCH INC COM
|
|
26
|
|
1,099
|
|
|
FORTIVE CORP
|
|
41
|
|
3,155
|
|
|
FORWARD AIR CORP
|
|
19
|
|
1,336
|
|
|
FRANKLIN RESOURCES INC
|
|
87
|
|
2,250
|
|
|
FREEPORT-MCMORAN INC.
|
|
413
|
|
5,424
|
|
|
GAMING AND LEISURE PROPE-W/I
|
|
56
|
|
2,394
|
|
|
GARTNER INC
|
|
2
|
|
277
|
|
|
GATX CORP
|
|
17
|
|
1,428
|
|
|
GENERAL MOTORS CO
|
|
256
|
|
9,379
|
|
|
GENPACT LTD
|
|
23
|
|
956
|
|
|
GENTHERM INC
|
|
27
|
|
1,208
|
|
|
GILEAD SCIENCES INC
|
|
35
|
|
2,248
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
36
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
GLOBAL BLOOD THERAPEUTICS INC
|
|
6
|
|
509
|
|
|
GRAND CANYON EDUCATION INC
|
|
10
|
|
910
|
|
|
GREAT WESTERN BANCORP INC
|
|
40
|
|
1,388
|
|
|
HAEMONETICS CORP MASS
|
|
10
|
|
1,121
|
|
|
HALLIBURTON CO
|
|
248
|
|
6,071
|
|
|
HAMILTON LANE INC
|
|
16
|
|
924
|
|
|
HANCOCK WHITNEY CORP
|
|
39
|
|
1,726
|
|
|
HCA HOLDINGS INC
|
|
22
|
|
3,296
|
|
|
HEALTHEQUITY INC
|
|
30
|
|
2,202
|
|
|
HELEN OF TROY LIMITED
|
|
5
|
|
867
|
|
|
HENRY JACK & ASSOC INC COM
|
|
12
|
|
1,821
|
|
|
HEWLETT PACKARD ENTERPRISE CO
|
|
176
|
|
2,793
|
|
|
HEXCEL CORP NEW COM
|
|
12
|
|
843
|
|
|
HILLTOP HOLDINGS INC
|
|
34
|
|
837
|
|
|
HILTON GRAND VACATIONS INC
|
|
21
|
|
736
|
|
|
HOLLYFRONTIER CORP
|
|
71
|
|
3,621
|
|
|
HOME DEPOT INC
|
|
16
|
|
3,563
|
|
|
HORIZON THERAPEUTICS PLC
|
|
61
|
|
2,202
|
|
|
HORMEL FOODS CORP COM
|
|
84
|
|
3,789
|
|
|
HOST HOTELS & RESORTS, INC.
|
|
167
|
|
3,094
|
|
|
HOULIHAN LOKEY INC
|
|
34
|
|
1,651
|
|
|
HUBBELL INCORPORATED
|
|
12
|
|
1,843
|
|
|
HUDSON PACIFIC PROPERTIES INC
|
|
44
|
|
1,655
|
|
|
HUNTINGTON BANCSHARES INC
|
|
201
|
|
3,025
|
|
|
HUNTINGTON INGALLS INDUSTRIES
|
|
5
|
|
1,224
|
|
|
HUNTSMAN CORP
|
|
186
|
|
4,491
|
|
|
HURON CONSULTING GROUP INC
|
|
31
|
|
2,143
|
|
|
IAA INC
|
|
67
|
|
3,193
|
|
|
ICF INTERNATIONAL INC
|
|
14
|
|
1,285
|
|
|
ICU MED INC COM
|
|
5
|
|
872
|
|
|
IDACORP INC
|
|
20
|
|
2,113
|
|
|
IHS MARKIT LTD
|
|
86
|
|
6,473
|
|
|
ILLUMINA INC
|
|
50
|
|
16,569
|
|
|
IMAX CORP COM
|
|
19
|
|
388
|
|
|
IMMUNOMEDICS INC
|
|
31
|
|
653
|
|
|
INGEVITY CORP
|
|
12
|
|
1,009
|
|
|
INGREDION INC
|
|
56
|
|
5,187
|
|
|
INSTALLED BUILDING PRODUCTS IN
|
|
13
|
|
922
|
|
|
INSULET CORP
|
|
8
|
|
1,370
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
37
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
INTEGRA LIFESCIENCES HOLDING
|
|
14
|
|
830
|
|
|
INTERCONTINENTAL EXCHANGE, INC
|
|
27
|
|
2,490
|
|
|
INTERNATIONAL BANCSHARES CRP
|
|
42
|
|
1,796
|
|
|
INTUIT COM
|
|
74
|
|
19,304
|
|
|
IPG PHOTONICS CORP
|
|
24
|
|
3,464
|
|
|
IRHYTHM TECHNOLOGIES INC
|
|
23
|
|
1,536
|
|
|
ITT INC
|
|
9
|
|
665
|
|
|
J & J SNACK FOODS CORP
|
|
4
|
|
774
|
|
|
J2 GLOBAL INC
|
|
14
|
|
1,293
|
|
|
JAZZ PHARMACEUTICALS PLC
|
|
40
|
|
5,965
|
|
|
JOHNSON & JOHNSON
|
|
36
|
|
5,280
|
|
|
JOHNSON CONTROLS INTERNATION
|
|
70
|
|
2,850
|
|
*
|
JPMORGAN CHASE & CO
|
|
33
|
|
4,623
|
|
|
KAR AUCTION SERVICES INC
|
|
38
|
|
817
|
|
|
KEMPER CORP
|
|
19
|
|
1,478
|
|
|
KEYCORP NEW
|
|
156
|
|
3,159
|
|
|
KNIGHT-SWIFT TRANSPORTATION
|
|
21
|
|
738
|
|
|
KOHLS CORP
|
|
38
|
|
1,926
|
|
|
KONTOOR BRANDS INC
|
|
30
|
|
1,258
|
|
|
KOSMOS ENERGY LTD
|
|
240
|
|
1,366
|
|
|
KROGER CO
|
|
97
|
|
2,809
|
|
|
L3HARRIS TECHNOLOGIES INC
|
|
14
|
|
2,810
|
|
|
LAMB WESTON HOLDINGS INC
|
|
26
|
|
2,287
|
|
|
LATTICE SEMICONDUCTOR CORP
|
|
51
|
|
984
|
|
|
LEAR CORP
|
|
24
|
|
3,224
|
|
|
LHC GROUP INC
|
|
4
|
|
496
|
|
|
LINCOLN ELECTRIC HOLDINGS COM
|
|
7
|
|
638
|
|
|
LITTELFUSE INC COM
|
|
8
|
|
1,473
|
|
|
LKQ CORP
|
|
30
|
|
1,081
|
|
|
LOUISIANA PAC CORP
|
|
9
|
|
281
|
|
|
LUXFER HOLDINGS PLC
|
|
78
|
|
1,453
|
|
|
LYONDELLBASELL INDU-CL A
|
|
36
|
|
3,449
|
|
|
MACY'S INC
|
|
91
|
|
1,547
|
|
|
MAGNA INTL INC CL A
|
|
77
|
|
4,240
|
|
|
MAGNOLIA OIL GAS CORP CL A
|
|
85
|
|
1,064
|
|
|
MARATHON OIL CORP
|
|
241
|
|
3,270
|
|
|
MARATHON PETROLEUM CORP
|
|
62
|
|
3,748
|
|
|
MARVELL TECHNOLOGY GROUP
|
|
232
|
|
6,164
|
|
|
MASTERCARD INC
|
|
18
|
|
5,262
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
38
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
MATADOR RESOURCES CO
|
|
30
|
|
539
|
|
|
MATCH GROUP INC
|
|
283
|
|
23,245
|
|
|
MATTHEWS INTL CORP
|
|
24
|
|
920
|
|
|
MCDONALDS CORP
|
|
15
|
|
3,043
|
|
|
MEDTRONIC PLC
|
|
50
|
|
5,638
|
|
|
MERCADOLIBRE INC
|
|
2
|
|
1,370
|
|
|
MERCK & CO INC NEW
|
|
52
|
|
4,757
|
|
|
MERCURY GEN CORP NEW
|
|
31
|
|
1,493
|
|
|
MERCURY SYSTEMS INC
|
|
17
|
|
1,150
|
|
*
|
METLIFE INC
|
|
60
|
|
3,033
|
|
|
MGIC INVT CORP WI
|
|
58
|
|
815
|
|
|
MICRON TECHNOLOGY INC
|
|
81
|
|
4,340
|
|
|
MICROSOFT CORP
|
|
103
|
|
16,227
|
|
|
MIDDLEBY CORP
|
|
9
|
|
964
|
|
|
MIRATI THERAPEUTICS INC
|
|
41
|
|
5,245
|
|
|
MKS INSTRS INC
|
|
8
|
|
913
|
|
|
MOHAWK INDS INC COM
|
|
32
|
|
4,364
|
|
|
MOLSON COORS BEVERAGE CO - B
|
|
110
|
|
5,951
|
|
|
MONGODB INC
|
|
9
|
|
1,195
|
|
|
MONOLITHIC PWR SYS INC
|
|
11
|
|
2,039
|
|
|
MONRO INC
|
|
10
|
|
790
|
|
|
MONSTER BEVERAGE CORP
|
|
178
|
|
11,282
|
|
*
|
MORGAN STANLEY
|
|
56
|
|
2,852
|
|
|
MORPHOSYS AG ADR
|
|
22
|
|
785
|
|
|
MOTOROLA SOLUTIONS, INC.
|
|
6
|
|
1,025
|
|
|
MSA SAFETY INC
|
|
10
|
|
1,266
|
|
|
MUELLER INDS INC
|
|
68
|
|
2,167
|
|
|
MYLAN N V
|
|
240
|
|
4,821
|
|
|
NATERA INC
|
|
12
|
|
398
|
|
|
NATIONAL VISION HOLDINGS INC
|
|
38
|
|
1,232
|
|
|
NATUS MEDICAL INC
|
|
17
|
|
554
|
|
|
NCR CORPORATION COM
|
|
29
|
|
1,018
|
|
|
NEENAH, INC
|
|
21
|
|
1,510
|
|
|
NETFLIX INC
|
|
60
|
|
19,285
|
|
|
NEW JERSEY RES CORP
|
|
15
|
|
656
|
|
|
NEW YORK CMNTY BANCORP INC
|
|
90
|
|
1,079
|
|
|
NEWMONT CORP
|
|
140
|
|
6,070
|
|
|
NICE LTD - SPON ADR
|
|
4
|
|
683
|
|
|
NOMAD FOODS LTD
|
|
57
|
|
1,278
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
39
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
NORDSON CORP
|
|
2
|
|
342
|
|
|
NORFOLK SOUTHERN CORP
|
|
20
|
|
3,941
|
|
|
NORTHWEST BANCSHARES INC/MD
|
|
88
|
|
1,469
|
|
|
NORWEGIAN CRUISE LINE HOLDING
|
|
60
|
|
3,481
|
|
|
NOVANTA INC
|
|
13
|
|
1,129
|
|
|
NOVOCURE LTD
|
|
6
|
|
531
|
|
|
NUVASIVE INC
|
|
5
|
|
379
|
|
|
NVENT ELECTRIC PLC-W/I
|
|
62
|
|
1,576
|
|
|
NVIDIA CORP
|
|
34
|
|
7,976
|
|
|
OKTA INC
|
|
9
|
|
1,075
|
|
|
ONTO INNOVATION INC
|
|
46
|
|
1,669
|
|
|
ORACLE CORPORATION
|
|
27
|
|
1,430
|
|
|
ORION ENGINEERED CARBONS SA
|
|
92
|
|
1,780
|
|
|
OXFORD INDS INC
|
|
11
|
|
857
|
|
|
PAPA JOHNS INTL INC COM
|
|
15
|
|
938
|
|
|
PARSLEY ENERGY INC-CLASS A
|
|
49
|
|
919
|
|
|
PAYLOCITY HOLDING CORP
|
|
17
|
|
2,078
|
|
|
PAYPAL HOLDINGS INC
|
|
47
|
|
5,089
|
|
|
PENN VA CORP NEW
|
|
28
|
|
855
|
|
|
PENTAIR PLC
|
|
22
|
|
995
|
|
|
PERFORMANCE FOOD GROUP CO
|
|
23
|
|
1,184
|
|
|
PERKINELMER, INC
|
|
14
|
|
1,401
|
|
|
PFIZER INC
|
|
236
|
|
9,231
|
|
|
PHILLIPS 66
|
|
29
|
|
3,220
|
|
|
PHYSICIANS REALTY TRUST
|
|
217
|
|
4,106
|
|
|
PLURALSIGHT INC
|
|
25
|
|
430
|
|
|
POST HOLDINGS INC
|
|
10
|
|
1,075
|
|
|
POTLATCHDELTIC CORP
|
|
32
|
|
1,405
|
|
|
PPG INDUSTRIES INC
|
|
23
|
|
3,017
|
|
|
PRA HEALTH SCIENCES INC
|
|
9
|
|
1,000
|
|
|
PRIMORIS SERVIES CORPORATION
|
|
38
|
|
848
|
|
*
|
PRINCIPAL FINANCIAL GROUP
|
|
49
|
|
2,690
|
|
|
PROCTER & GAMBLE CO
|
|
36
|
|
4,471
|
|
|
PROTO LABS INC
|
|
10
|
|
1,036
|
|
|
PRUDENTIAL FINL INC
|
|
29
|
|
2,747
|
|
|
PTC THERAPEUTICS INC
|
|
9
|
|
447
|
|
|
PULTE GRP INC
|
|
202
|
|
7,822
|
|
|
Q2 HOLDINGS INC
|
|
14
|
|
1,103
|
|
|
QUALCOMM INC
|
|
19
|
|
1,641
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
40
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
REALREAL INC/THE
|
|
9
|
|
177
|
|
|
REALTY INCOME CORP COM
|
|
47
|
|
3,446
|
|
|
REGIONS FINL CORP NEW
|
|
203
|
|
3,487
|
|
|
REINSURANCE GROUP AMER CLASS A NEW
|
|
23
|
|
3,773
|
|
|
REPUBLIC SERVICES INC CL A COMM
|
|
43
|
|
3,827
|
|
|
RETAIL PROPERTIES OF AME-A
|
|
69
|
|
922
|
|
|
ROGERS CORP COM
|
|
13
|
|
1,537
|
|
|
ROYAL DUTCH SHELL PLC ADR
|
|
58
|
|
3,454
|
|
|
RPM INTERNATIONAL INC
|
|
29
|
|
2,209
|
|
|
RPT REALTY
|
|
133
|
|
2,007
|
|
|
S&P GLOBAL INC
|
|
11
|
|
2,993
|
|
|
SAGE THERAPEUTICS INC
|
|
6
|
|
433
|
|
|
SAIA INC
|
|
22
|
|
2,103
|
|
|
SAILPOINT TECHNOLOGIES HOLDING
|
|
28
|
|
673
|
|
|
SALESFORCE COM INC
|
|
148
|
|
24,108
|
|
|
SAREPTA THERAPEUTICS INC
|
|
56
|
|
7,202
|
|
|
SCHLUMBERGER LTD
|
|
193
|
|
7,775
|
|
|
SCHWAB CHARLES CORP NEW
|
|
69
|
|
3,286
|
|
|
SCORPIO TANKERS INC
|
|
35
|
|
1,385
|
|
|
SEA LTD-ADR
|
|
57
|
|
2,280
|
|
|
SEACOR HOLDINGS INC
|
|
20
|
|
865
|
|
|
SEACOR MARINE HOLDINGS INC
|
|
32
|
|
437
|
|
|
SEALED AIR CORP COM
|
|
40
|
|
1,601
|
|
|
SELECT MEDICAL HOLDINGS CORPORATION
|
|
19
|
|
453
|
|
|
SENSIENT TECHNOLOGIES CORP
|
|
17
|
|
1,130
|
|
|
SERVICENOW INC
|
|
134
|
|
37,656
|
|
|
SIGNATURE BANK
|
|
4
|
|
560
|
|
|
SILK ROAD MEDICAL INC
|
|
33
|
|
1,344
|
|
|
SITEONE LANDSCAPE SUPPLY INC
|
|
11
|
|
975
|
|
|
SLM CORP
|
|
215
|
|
1,919
|
|
|
SMARTSHEET INC
|
|
15
|
|
683
|
|
|
SOLAR CAPITAL LTD
|
|
36
|
|
734
|
|
|
SOUTH JERSEY INDS INC COM
|
|
25
|
|
826
|
|
|
SOUTHERN CO
|
|
48
|
|
3,045
|
|
|
SPECTRUM BRANDS HLDGS INC NEW
|
|
29
|
|
1,877
|
|
|
SPIRE INC
|
|
10
|
|
862
|
|
|
SPLUNK INC
|
|
25
|
|
3,798
|
|
|
STAG INDUSTRIAL INC
|
|
58
|
|
1,839
|
|
|
STEELCASE INC CL A
|
|
59
|
|
1,215
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
41
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
STEPAN CO COM
|
|
13
|
|
1,308
|
|
|
STERIS PLC
|
|
8
|
|
1,196
|
|
|
STRATEGIC EDUCATION INC
|
|
5
|
|
810
|
|
|
SUMMIT HOTEL PROPERTIES INC
|
|
72
|
|
888
|
|
|
SUMMIT MATERIALS INC
|
|
51
|
|
1,230
|
|
|
SUN CMNTYS INC COM
|
|
22
|
|
3,287
|
|
|
SYNCHRONY FINANCIAL
|
|
93
|
|
3,363
|
|
|
SYNOVUS FINANCIAL CORP
|
|
31
|
|
1,225
|
|
|
TAKE-TWO INTERACTIVE SOFTWARE
|
|
10
|
|
1,245
|
|
|
TANDEM DIABETES CARE INC
|
|
18
|
|
1,085
|
|
|
TCF FINANCIAL CORP
|
|
39
|
|
1,835
|
|
|
TELEDYNE TECHNOLOGIES INC
|
|
3
|
|
1,019
|
|
|
TETRA TECH INC NEW
|
|
15
|
|
1,301
|
|
|
TEXAS INSTRUMENTS INC
|
|
79
|
|
10,161
|
|
|
THE CHILDREN'S PLACE INC
|
|
15
|
|
924
|
|
|
THE HERSHEY COMPANY
|
|
24
|
|
3,557
|
|
|
THE SCOTTS MIRACLE-GRO COMPANY CL A
|
|
10
|
|
1,051
|
|
|
THERMON GROUP HOLDINGS INC
|
|
61
|
|
1,639
|
|
|
TRADE DESK INC/THE
|
|
8
|
|
2,037
|
|
|
TRANSUNION
|
|
78
|
|
6,661
|
|
|
TREX COMPANY INC
|
|
9
|
|
798
|
|
|
TRI POINTE HOMES INC
|
|
104
|
|
1,624
|
|
|
TRIMAS CORP
|
|
79
|
|
2,494
|
|
|
TRINET GROUP INC
|
|
18
|
|
991
|
|
|
TURNING POINT THERAPEUTICS INC
|
|
10
|
|
617
|
|
|
TWILIO INC
|
|
54
|
|
5,286
|
|
|
TWIST BIOSCIENCE CORP
|
|
16
|
|
346
|
|
|
TWO HARBORS INVESTMENT CORP
|
|
175
|
|
2,563
|
|
|
TYLER TECHNOLOGIES INC
|
|
6
|
|
1,800
|
|
|
TYSON FOODS INC CL A DEL
|
|
57
|
|
5,207
|
|
|
UGI CORP NEW COM
|
|
41
|
|
1,858
|
|
|
ULTA BEAUTY, INC
|
|
11
|
|
2,795
|
|
|
UNITED AIRLINES HOLDINGS, INC.
|
|
31
|
|
2,748
|
|
|
US BANCORP
|
|
52
|
|
3,095
|
|
|
US FOODS HOLDING CORP
|
|
25
|
|
1,059
|
|
|
VAIL RESORTS INC COM
|
|
6
|
|
1,343
|
|
|
VALMONT INDS INC
|
|
11
|
|
1,647
|
|
|
VEEVA SYSTEMS INC
|
|
8
|
|
1,070
|
|
|
VIAVI SOLUTIONS INC
|
|
55
|
|
826
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
42
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
VISA INC-CLASS A SHRS
|
|
247
|
|
46,397
|
|
|
VOYA FINANCIAL INC
|
|
52
|
|
3,153
|
|
|
WALGREENS BOOTS ALLIANCE INC
|
|
46
|
|
2,694
|
|
|
WALT DISNEY CO
|
|
24
|
|
3,543
|
|
|
WASHINGTON FEDERAL INC
|
|
45
|
|
1,633
|
|
|
WASTE CONNECTIONS INC
|
|
19
|
|
1,731
|
|
|
WASTE MANAGEMENT INC
|
|
31
|
|
3,578
|
|
|
WEBSTER FINL CORP WATERBURY CONN
|
|
24
|
|
1,304
|
|
*
|
WELLS FARGO & CO
|
|
62
|
|
3,309
|
|
|
WESTERN ALLIANCE BANCORPORATION
|
|
30
|
|
1,687
|
|
|
WESTERN DIGITAL CORP
|
|
65
|
|
4,126
|
|
|
WEX INC
|
|
19
|
|
3,800
|
|
|
WHITE MTNS INS GROUP
|
|
4
|
|
4,261
|
|
|
WILLIAMS SCOTSMAN CORP
|
|
72
|
|
1,328
|
|
|
WILLIAMS SONOMA INC
|
|
14
|
|
1,004
|
|
|
WISDOMTREE INVESTMENTS INC
|
|
75
|
|
363
|
|
|
WNS HOLDINGS LTD ADR
|
|
78
|
|
5,142
|
|
|
WOODWARD INC.
|
|
26
|
|
3,101
|
|
|
WORKDAY INC
|
|
39
|
|
6,463
|
|
|
WORLD WRESTLING ENTERTAINMENT INC
|
|
16
|
|
1,020
|
|
|
WPX ENERGY INC
|
|
165
|
|
2,267
|
|
|
XYLEM INC/NY
|
|
40
|
|
3,144
|
|
|
YUM BRANDS INC
|
|
26
|
|
2,579
|
|
|
ZAI LAB LTD-ADR
|
|
12
|
|
500
|
|
|
ZENDESK INC
|
|
32
|
|
2,439
|
|
|
ZIMMER BIOMET HOLDINGS, INC
|
|
22
|
|
3,256
|
|
|
ZIONS BANCORP NA
|
|
41
|
|
2,145
|
|
|
ZOETIS INC
|
|
144
|
|
19,124
|
|
|
ZYNGA INC
|
|
186
|
|
1,138
|
|
|
Total Common Stocks
|
|
|
|
2,131,365
|
|
|
|
|
|
|
|
|
|
U.S. Government and Agency Obligations
|
|
|
|
|
|
|
FHLMC POOL #Q42018 3.500% 7/01/46
|
|
432
|
|
449
|
|
|
FNMA POOL #465787 3.880% 8/01/20
|
|
844
|
|
845
|
|
|
FNMA POOL #467757 4.330% 4/01/21
|
|
260
|
|
265
|
|
|
FNMA POOL #468066 4.295% 6/01/21
|
|
1,171
|
|
1,205
|
|
|
FNMA POOL #468542 4.500% 8/01/21
|
|
500
|
|
515
|
|
|
FNMA POOL #AM6602 2.630% 9/01/21
|
|
1,500
|
|
1,510
|
|
|
FNMA POOL #AM7514 3.070% 2/01/25
|
|
2,900
|
|
3,020
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
43
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FNMA POOL #AM7619 2.940% 1/01/23
|
|
1,845
|
|
1,886
|
|
|
FNMA POOL #AM7901 3.360% 2/01/30
|
|
92
|
|
98
|
|
|
FNMA POOL #AM8141 2.780% 3/01/27
|
|
902
|
|
927
|
|
|
FNMA POOL #AM8572 2.750% 4/01/25
|
|
3,643
|
|
3,742
|
|
|
FNMA POOL #AM8856 2.920% 6/01/30
|
|
4,680
|
|
4,816
|
|
|
FNMA POOL #AM9014 3.200% 6/01/30
|
|
4,960
|
|
5,224
|
|
|
FNMA POOL #AM9169 3.080% 6/01/27
|
|
2,017
|
|
2,113
|
|
|
FNMA POOL #AM9320 3.300% 7/01/30
|
|
2,579
|
|
2,746
|
|
|
FNMA POOL #AM9432 3.120% 12/01/22
|
|
1,867
|
|
1,917
|
|
|
FNMA POOL #AM9491 3.550% 8/01/30
|
|
126
|
|
136
|
|
|
FNMA POOL #AM9567 2.970% 7/01/24
|
|
1,412
|
|
1,457
|
|
|
FNMA POOL #AM9615 2.680% 9/01/22
|
|
3,304
|
|
3,361
|
|
|
FNMA POOL #AM9658 2.820% 1/01/22
|
|
1,401
|
|
1,420
|
|
|
FNMA POOL #AN0193 3.000% 8/01/24
|
|
564
|
|
582
|
|
|
FNMA POOL #AN4172 3.370% 2/01/32
|
|
688
|
|
738
|
|
|
FNMA POOL #AN4975 3.210% 3/01/29
|
|
1,500
|
|
1,587
|
|
|
FNMA POOL #AN5935 3.130% 7/01/27
|
|
963
|
|
1,006
|
|
|
FNMA POOL #AN6026 2.980% 6/01/27
|
|
770
|
|
798
|
|
|
FNMA POOL #AN6271 3.100% 8/01/29
|
|
85
|
|
90
|
|
|
FNMA POOL #AN6850 3.220% 9/01/32
|
|
1,000
|
|
1,033
|
|
|
FNMA POOL #AN7596 3.160% 6/01/30
|
|
1,357
|
|
1,422
|
|
|
FNMA POOL #BK8753 4.500% 6/01/49
|
|
1,467
|
|
1,574
|
|
|
FNMA POOL #BL0907 3.880% 12/01/28
|
|
1,350
|
|
1,487
|
|
|
FNMA POOL #BL0985 3.890% 12/01/28
|
|
1,133
|
|
1,246
|
|
|
FNMA POOL #BL0995 3.940% 1/01/29
|
|
1,037
|
|
1,141
|
|
|
FNMA POOL #BL2086 3.450% 5/01/29
|
|
1,750
|
|
1,874
|
|
|
FNMA POOL #BL3212 3.090% 7/01/31
|
|
1,586
|
|
1,656
|
|
|
FNMA POOL #BL3217 3.330% 7/01/34
|
|
2,311
|
|
2,474
|
|
|
FNMA POOL #BL4333 2.520% 11/01/29
|
|
1,500
|
|
1,513
|
|
|
FNMA POOL #BL4791 2.710% 11/01/29
|
|
1,000
|
|
1,024
|
|
|
FNMA POOL #BM3375 4.000% 1/01/48
|
|
1,329
|
|
1,422
|
|
|
FNMA POOL #BM3499 4.000% 3/01/48
|
|
3,543
|
|
3,778
|
|
|
FNMA POOL #FM2096 3.500% 11/01/49
|
|
2,400
|
|
2,523
|
|
|
GNMA POOL #784044 4.990% 11/20/37
|
|
1,774
|
|
1,899
|
|
|
GNMA POOL #784045 4.500% 7/20/45
|
|
1,181
|
|
1,247
|
|
|
GNMA POOL #784602 4.000% 5/20/38
|
|
1,677
|
|
1,736
|
|
|
GNMA POOL #BA7567 4.500% 5/20/48
|
|
816
|
|
862
|
|
|
GNMA POOL #BI0416 4.500% 11/20/48
|
|
923
|
|
977
|
|
|
GNMA POOL #BJ1318 5.000% 5/20/49
|
|
1,289
|
|
1,397
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
44
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
GNMA POOL #BK7169 5.000% 12/20/48
|
|
858
|
|
918
|
|
|
GNMA POOL #BL7729 5.000% 5/20/49
|
|
1,180
|
|
1,281
|
|
|
GNMA POOL #BM9692 4.500% 7/20/49
|
|
1,789
|
|
1,920
|
|
|
RFCSP STRIP PRINCIPAL 1/15/30
|
|
500
|
|
393
|
|
|
TENN VAL AUTH CPN STRIP 3/15/32
|
|
300
|
|
219
|
|
|
TENN VALLEY AUTH 4.250% 9/15/65
|
|
124
|
|
161
|
|
|
TENN VALLEY AUTH 4.625% 9/15/60
|
|
70
|
|
96
|
|
|
TVA PRIN STRIP 6/15/35
|
|
500
|
|
321
|
|
|
U S TREASURY SEC STRIPPED 2/15/20
|
|
2,300
|
|
2,295
|
|
|
U S TREASURY SEC STRIPPED 2/15/22
|
|
1,200
|
|
1,159
|
|
|
U S TREASURY SEC STRIPPED 2/15/30
|
|
1,300
|
|
1,054
|
|
|
U S TREASURY SEC STRIPPED 5/15/20
|
|
2,450
|
|
2,435
|
|
|
U S TREASURY SEC STRIPPED 5/15/23
|
|
2,195
|
|
2,073
|
|
|
U S TREASURY SEC STRIPPED 5/15/30
|
|
850
|
|
686
|
|
|
U S TREASURY SEC STRIPPED 8/15/20
|
|
800
|
|
792
|
|
|
U S TREASURY SEC STRIPPED 8/15/21
|
|
1,000
|
|
975
|
|
|
U S TREASURY SEC STRIPPED 8/15/23
|
|
205
|
|
193
|
|
|
US TREAS SEC STRIPPED
|
|
300
|
|
229
|
|
|
US TREAS SEC STRIPPED 5/15/33
|
|
900
|
|
669
|
|
|
US TREAS SEC STRIPPED 11/15/32
|
|
1,000
|
|
753
|
|
|
US TREAS SEC STRIPPED 11/15/33
|
|
900
|
|
659
|
|
|
US TREASURY BOND 2.250% 8/15/46
|
|
3,631
|
|
3,537
|
|
|
US TREASURY BOND 2.250% 8/15/49
|
|
60
|
|
58
|
|
|
US TREASURY BOND 2.500% 2/15/45
|
|
6,600
|
|
6,750
|
|
|
US TREASURY BOND 2.750% 8/15/42
|
|
2,500
|
|
2,676
|
|
|
US TREASURY BOND 2.750% 11/15/42
|
|
240
|
|
257
|
|
|
US TREASURY BOND 3.000% 2/15/48
|
|
80
|
|
90
|
|
|
US TREASURY BOND 3.125% 2/15/43
|
|
2,000
|
|
2,273
|
|
|
US TREASURY BOND 3.125% 11/15/41
|
|
1,500
|
|
1,705
|
|
|
US TREASURY BOND 3.375% 5/15/44
|
|
3,459
|
|
4,102
|
|
|
US TREASURY BOND 3.625% 2/15/44
|
|
1,000
|
|
1,231
|
|
|
US TREASURY BOND 3.625% 8/15/43
|
|
2,700
|
|
3,318
|
|
|
US TREASURY BOND 3.750% 11/15/43
|
|
7,037
|
|
8,818
|
|
|
US TREASURY BOND 4.375% 2/15/38
|
|
200
|
|
266
|
|
|
US TREASURY BOND 4.375% 5/15/41
|
|
3,380
|
|
4,564
|
|
|
US TREASURY BOND 4.500% 2/15/36
|
|
777
|
|
1,032
|
|
|
US TREASURY NOTE 2/15/20
|
|
2,450
|
|
2,445
|
|
|
US TREASURY NOTE 1.125% 2/28/21
|
|
11,700
|
|
11,631
|
|
|
US TREASURY NOTE 1.375% 4/30/20
|
|
36
|
|
36
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
45
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
US TREASURY NOTE 1.375% 8/31/23
|
|
4,500
|
|
4,459
|
|
|
US TREASURY NOTE 1.500% 2/28/23
|
|
16,500
|
|
16,443
|
|
|
US TREASURY NOTE 1.750% 9/30/22
|
|
1,500
|
|
1,506
|
|
|
US TREASURY NOTE 1.750% 11/30/21
|
|
400
|
|
401
|
|
|
US TREASURY NOTE 2.000% 4/30/24
|
|
7,000
|
|
7,096
|
|
|
US TREASURY NOTE 2.000% 6/30/24
|
|
81
|
|
82
|
|
|
US TREASURY NOTE 2.000% 11/15/26
|
|
2,140
|
|
2,165
|
|
|
US TREASURY NOTE 2.125% 1/31/21
|
|
2,400
|
|
2,413
|
|
|
US TREASURY NOTE 2.125% 2/29/24
|
|
1,080
|
|
1,100
|
|
|
US TREASURY NOTE 2.250% 2/15/27
|
|
67
|
|
69
|
|
|
US TREASURY NOTE 2.250% 11/15/24
|
|
52
|
|
53
|
|
|
US TREASURY NOTE 2.250% 11/15/25
|
|
46
|
|
47
|
|
|
US TREASURY NOTE 2.500% 5/15/24
|
|
74
|
|
77
|
|
|
US TREASURY NOTE 2.500% 8/15/23
|
|
1,600
|
|
1,648
|
|
|
US TREASURY NOTE 2.625% 5/15/21
|
|
5,917
|
|
5,998
|
|
|
US TREASURY NOTE 2.625% 8/15/20
|
|
700
|
|
704
|
|
|
US TREASURY NOTE 2.625% 11/15/20
|
|
2,500
|
|
2,521
|
|
|
US TREASURY NOTE 2.750% 5/31/23
|
|
194
|
|
201
|
|
|
US TREASURY NOTE 2.875% 4/30/25
|
|
115
|
|
122
|
|
|
US TREASURY NOTE 2.875% 5/31/25
|
|
170
|
|
180
|
|
|
US TREASURY NOTE 2.875% 10/31/20
|
|
1,000
|
|
1,010
|
|
|
US TREASURY NOTE 3.500% 5/15/20
|
|
3,500
|
|
3,523
|
|
|
US TREASURY SEC STRIPPED
|
|
7,325
|
|
5,610
|
|
|
VR FNMA POOL #AL7395 5.564% 9/01/55
|
|
2,200
|
|
2,456
|
|
|
Total U.S. Government and Agency Obligations
|
|
|
|
208,692
|
|
|
|
|
|
|
|
|
|
Common/Collective Trusts
|
|
|
|
|
|
*
|
AMEX R/VANGUARD FIDUCIARY EXT MKT
|
|
3,820
|
|
398,193
|
|
*
|
AMEX R/VANGUARD FIDUCIARY INTL STK
|
|
933
|
|
100,658
|
|
*
|
AMEX R/VANGUARD FIDUCIARY TOT BD
|
|
859
|
|
94,193
|
|
*
|
BLACKROCK INSTL/MSCI EAFE SMALL CAP
|
|
3,266
|
|
83,966
|
|
*
|
COLUMBIA TRUST GOV MONEY MKT FUND
|
|
49,434
|
|
49,434
|
|
*
|
FIAM GRP TR FOR/CORE PLUS COMMINGLE
|
|
4,574
|
|
102,907
|
|
|
LOOMIS SAYLES CORE PLUS FULL DISC TR
|
|
4,602
|
|
102,998
|
|
*
|
MSIM/INTERNATIONAL EQUITY II TRUST
|
|
8,056
|
|
287,588
|
|
|
NEUBERGER BERMA/EMERGING MKTS EQUIT
|
|
4,812
|
|
65,824
|
|
*
|
VANGUARD EMPLOYEE BENEFIT INDEX #528
|
|
2,583
|
|
1,000,132
|
|
|
Total Common/Collective Trusts
|
|
|
|
2,285,893
|
|
|
|
|
|
|
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
46
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
Mutual Funds
|
|
|
|
|
|
|
AMER FNDS EUROPAC GROW-R6 #2616
|
|
5,994
|
|
332,959
|
|
|
DFA EMERGING MARKETS VALUE FD #5095
|
|
2,020
|
|
57,956
|
|
|
Total Mutual Funds
|
|
|
|
390,915
|
|
|
|
|
|
|
|
|
|
Self-Directed Brokerage Accounts
|
|
|
|
|
|
|
CASH EQUIVALENTS
|
|
|
|
15,357
|
|
|
COMMON STOCK
|
|
|
|
7,347
|
|
|
MUTUAL FUNDS
|
|
|
|
115,660
|
|
|
Total Self-Directed Brokerage Accounts
|
|
|
|
138,364
|
|
|
|
|
|
|
|
|
|
Other Investments
|
|
|
|
|
|
|
Asset-Backed Securities
|
|
|
|
|
|
|
ALLY AUTO RECEIVABLE 2.930% 11/15/23
|
|
313
|
|
315
|
|
|
AMERICAN CREDIT ACCE 2.690% 12/12/25
|
|
485
|
|
485
|
|
|
AMERICAN CREDIT ACCE 2.760% 9/12/25
|
|
895
|
|
898
|
|
|
AMERICAN CREDIT ACCE 2.860% 6/12/23
|
|
101
|
|
101
|
|
|
AMERICAN CREDIT ACCE 2.910% 2/13/23
|
|
5
|
|
5
|
|
|
AMERICAN CREDIT ACCE 3.550% 4/10/24
|
|
486
|
|
488
|
|
|
AMERICAN CREDIT ACCE 3.700% 7/10/24
|
|
959
|
|
965
|
|
|
AMERICAN CREDIT ACCE 6.090% 5/12/22
|
|
79
|
|
79
|
|
|
AMERICAN HOMES 4 REN 3.467% 4/17/52
|
|
366
|
|
377
|
|
|
AMERICAN HOMES 4 REN 3.678% 12/17/36
|
|
683
|
|
709
|
|
|
AMERICAN HOMES 4 REN 3.786% 10/17/36
|
|
456
|
|
477
|
|
|
AMERICAN HOMES 4 REN 4.407% 4/17/52
|
|
720
|
|
752
|
|
|
AMERICAN HOMES 4 REN 5.639% 4/17/52
|
|
150
|
|
161
|
|
|
AMERICAN HOMES 4 REN 6.070% 10/17/45
|
|
142
|
|
156
|
|
|
AMERICREDIT AUTOMOBI 1.870% 8/18/21
|
|
7
|
|
7
|
|
|
AMERICREDIT AUTOMOBI 2.690% 6/19/23
|
|
341
|
|
344
|
|
|
AMERICREDIT AUTOMOBI 2.710% 8/18/22
|
|
154
|
|
155
|
|
|
AMERICREDIT AUTOMOBI 2.970% 3/20/23
|
|
871
|
|
880
|
|
|
AMERICREDIT AUTOMOBI 3.080% 12/18/23
|
|
1,699
|
|
1,726
|
|
|
AMERICREDIT AUTOMOBI 3.130% 1/18/23
|
|
347
|
|
351
|
|
|
ASCENTIUM EQUIPMENT 2.290% 6/10/21
|
|
108
|
|
108
|
|
|
ASCENTIUM EQUIPMENT 2.850% 10/10/21
|
|
550
|
|
554
|
|
|
B2R MORTGAGE TRUST 3.336% 11/15/48
|
|
92
|
|
93
|
|
|
BB-UBS TRUST 3.430% 11/05/36
|
|
1,350
|
|
1,401
|
|
|
BUSINESS JET SECURIT 4.212% 7/15/34
|
|
630
|
|
646
|
|
|
BUSINESS JET SECURIT 4.335% 2/15/33
|
|
448
|
|
453
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
47
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
BUSINESS JET SECURIT 4.447% 6/15/33
|
|
452
|
|
459
|
|
|
CABELA'S MASTER CRED 2.250% 7/17/23
|
|
185
|
|
185
|
|
|
CAMILLO 2016-SFR1 5.000% 12/05/23
|
|
365
|
|
364
|
|
|
CAPITAL AUTO RECEIVA 3.150% 2/20/25
|
|
427
|
|
432
|
|
|
CARMAX AUTO OWNER TR 2.200% 6/15/22
|
|
500
|
|
500
|
|
|
CARMAX AUTO OWNER TR 2.600% 2/15/23
|
|
211
|
|
212
|
|
|
CARMAX AUTO OWNER TR 2.700% 10/16/23
|
|
171
|
|
173
|
|
|
CARMAX AUTO OWNER TR 3.370% 7/15/24
|
|
298
|
|
303
|
|
|
CARMAX AUTO OWNER TR 3.390% 10/16/23
|
|
300
|
|
303
|
|
|
CARNOW AUTO RECEIVAB 2.920% 9/15/22
|
|
8
|
|
8
|
|
|
CARVANA AUTO RECEIVA 3.000% 6/17/24
|
|
1,300
|
|
1,303
|
|
|
CIG AUTO RECEIVABLES 2.710% 5/15/23
|
|
32
|
|
32
|
|
|
COLONY AMERICAN FINA 2.544% 6/15/48
|
|
103
|
|
103
|
|
|
COLONY AMERICAN FINA 2.554% 11/15/48
|
|
120
|
|
120
|
|
|
COLONY AMERICAN FINA 2.896% 10/15/47
|
|
54
|
|
54
|
|
|
COMM MORTGAGE TRUST 3.759% 8/10/48
|
|
313
|
|
334
|
|
|
CPS AUTO TRUST 2.860% 6/15/23
|
|
342
|
|
342
|
|
|
CPS AUTO TRUST 2.920% 2/15/22
|
|
218
|
|
218
|
|
|
CPS AUTO TRUST 3.010% 10/17/22
|
|
554
|
|
555
|
|
|
CPS AUTO TRUST 3.050% 12/15/23
|
|
169
|
|
170
|
|
|
CPS AUTO TRUST 3.790% 6/15/23
|
|
396
|
|
402
|
|
|
CPS AUTO TRUST 4.400% 6/17/24
|
|
118
|
|
122
|
|
|
CREDIT ACCEPTANCE AU 2.560% 10/15/25
|
|
11
|
|
11
|
|
|
CREDIT ACCEPTANCE AU 3.060% 3/15/29
|
|
1,600
|
|
1,598
|
|
|
CREDIT ACCEPTANCE AU 3.350% 6/15/26
|
|
354
|
|
357
|
|
|
CREDIT ACCEPTANCE AU 3.480% 2/17/26
|
|
318
|
|
319
|
|
|
CREDIT ACCEPTANCE AU 3.480% 10/15/26
|
|
682
|
|
692
|
|
|
CREDIT ACCEPTANCE AU 3.600% 4/15/27
|
|
990
|
|
1,007
|
|
|
CREDIT ACCEPTANCE AU 4.160% 9/15/27
|
|
395
|
|
408
|
|
|
DBWF 2015-LCM M/MTG 1.000% 6/10/34
|
|
255
|
|
256
|
|
|
DELL EQUIPMENT FINAN 2.730% 10/24/22
|
|
336
|
|
337
|
|
|
DELL EQUIPMENT FINAN 2.950% 4/22/22
|
|
229
|
|
229
|
|
|
DRIVE AUTO RECEIVABL 2.750% 9/15/23
|
|
26
|
|
26
|
|
|
DRIVE AUTO RECEIVABL 2.800% 7/15/22
|
|
69
|
|
69
|
|
|
DRIVE AUTO RECEIVABL 2.840% 4/15/22
|
|
19
|
|
19
|
|
|
DRIVE AUTO RECEIVABL 2.980% 1/18/22
|
|
18
|
|
18
|
|
|
DRIVE AUTO RECEIVABL 3.690% 8/17/26
|
|
185
|
|
189
|
|
|
DRIVE AUTO RECEIVABL 4.140% 8/15/24
|
|
1,140
|
|
1,163
|
|
|
DRIVE AUTO RECEIVABL 4.180% 3/15/24
|
|
208
|
|
211
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
48
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
DRIVE AUTO RECEIVABL 4.300% 9/16/24
|
|
408
|
|
418
|
|
|
DT AUTO OWNER TRUST 2.860% 7/17/23
|
|
24
|
|
24
|
|
|
DT AUTO OWNER TRUST 3.470% 7/17/23
|
|
630
|
|
634
|
|
|
DT AUTO OWNER TRUST 3.550% 11/15/22
|
|
148
|
|
149
|
|
|
DT AUTO OWNER TRUST 3.580% 5/15/23
|
|
345
|
|
347
|
|
|
DT AUTO OWNER TRUST 3.670% 3/15/24
|
|
561
|
|
566
|
|
|
ENGS COMMERCIAL FINA 2.470% 2/22/22
|
|
28
|
|
28
|
|
|
EXETER AUTOMOBILE RE 2.820% 5/16/22
|
|
314
|
|
315
|
|
|
EXETER AUTOMOBILE RE 2.840% 8/16/21
|
|
2
|
|
2
|
|
|
EXETER AUTOMOBILE RE 3.000% 12/15/21
|
|
27
|
|
27
|
|
|
EXETER AUTOMOBILE RE 3.110% 8/15/25
|
|
765
|
|
771
|
|
|
EXETER AUTOMOBILE RE 3.300% 3/15/24
|
|
2,000
|
|
2,030
|
|
|
EXETER AUTOMOBILE RE 3.530% 11/15/23
|
|
290
|
|
294
|
|
|
EXETER AUTOMOBILE RE 3.680% 7/17/23
|
|
548
|
|
556
|
|
|
EXETER AUTOMOBILE RE 3.710% 6/15/23
|
|
595
|
|
603
|
|
|
FANNIEMAE-ACES 2.980% 9/25/24
|
|
733
|
|
763
|
|
|
FED HOME LN MTG CORP 2.770% 5/25/25
|
|
1,500
|
|
1,543
|
|
|
FED HOME LN MTG CORP 3.350% 9/25/28
|
|
976
|
|
1,028
|
|
|
FED HOME LN MTG CORP 3.500% 3/15/35
|
|
1,517
|
|
1,614
|
|
|
FED HOME LN MTG CORP 3.500% 6/15/26
|
|
493
|
|
509
|
|
|
FED HOME LN MTG CORP 4.500% 4/15/39
|
|
109
|
|
114
|
|
|
FED HOME LN MTG CORP 6.000% 11/15/23
|
|
25
|
|
27
|
|
|
FED HOME LN MTG CORP 6.250% 10/15/23
|
|
114
|
|
120
|
|
|
FED HOME LN MTG CORP 7.000% 5/15/37
|
|
636
|
|
816
|
|
|
FED HOME LN MTG CORP 7.000% 12/15/36
|
|
120
|
|
141
|
|
|
FED NATL MTG ASSN 2.500% 8/25/42
|
|
177
|
|
173
|
|
|
FED NATL MTG ASSN 3.000% 1/25/46
|
|
437
|
|
449
|
|
|
FED NATL MTG ASSN 3.500% 5/25/49
|
|
2,923
|
|
3,009
|
|
|
FED NATL MTG ASSN 4.500% 12/25/40
|
|
829
|
|
943
|
|
|
FED NATL MTG ASSN 5.500% 6/25/35
|
|
218
|
|
244
|
|
|
FED NATL MTG ASSN 6.000% 3/25/36
|
|
69
|
|
79
|
|
|
FHLMC MULTIFAMILY ST 2.597% 9/25/20
|
|
16
|
|
16
|
|
|
FHLMC MULTIFAMILY ST 2.811% 9/25/24
|
|
591
|
|
605
|
|
|
FHLMC MULTIFAMILY ST 2.982% 11/25/25
|
|
700
|
|
726
|
|
|
FHLMC-GNMA 8.000% 12/25/22
|
|
11
|
|
11
|
|
|
FIRST INVESTORS AUTO 2.210% 7/15/22
|
|
235
|
|
235
|
|
|
FIRST INVESTORS AUTO 2.650% 11/15/22
|
|
300
|
|
301
|
|
|
FIRST INVESTORS AUTO 3.000% 1/16/24
|
|
400
|
|
403
|
|
|
FIRST INVESTORS AUTO 3.000% 8/15/23
|
|
600
|
|
602
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
49
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FIRST INVESTORS AUTO 3.440% 3/15/24
|
|
439
|
|
444
|
|
|
FIRST INVESTORS AUTO 3.600% 4/17/23
|
|
278
|
|
282
|
|
|
FIRST INVESTORS AUTO 3.690% 6/17/24
|
|
292
|
|
297
|
|
|
FLAGSHIP CREDIT AUTO 2.410% 10/15/21
|
|
40
|
|
40
|
|
|
FLAGSHIP CREDIT AUTO 2.480% 8/15/24
|
|
445
|
|
445
|
|
|
FLAGSHIP CREDIT AUTO 2.710% 11/15/22
|
|
170
|
|
170
|
|
|
FLAGSHIP CREDIT AUTO 2.740% 10/15/25
|
|
1,100
|
|
1,099
|
|
|
FLAGSHIP CREDIT AUTO 2.770% 12/15/25
|
|
620
|
|
619
|
|
|
FLAGSHIP CREDIT AUTO 2.910% 9/15/23
|
|
384
|
|
386
|
|
|
FLAGSHIP CREDIT AUTO 2.920% 11/15/23
|
|
227
|
|
229
|
|
|
FLAGSHIP CREDIT AUTO 2.960% 7/15/23
|
|
420
|
|
423
|
|
|
FLAGSHIP CREDIT AUTO 3.390% 1/16/24
|
|
700
|
|
710
|
|
|
FLAGSHIP CREDIT AUTO 3.580% 1/15/24
|
|
130
|
|
132
|
|
|
FLAGSHIP CREDIT AUTO 3.840% 9/15/22
|
|
36
|
|
36
|
|
|
FLAGSHIP CREDIT AUTO 6.220% 6/15/22
|
|
350
|
|
359
|
|
|
FLAGSHIP CREDIT AUTO 6.220% 9/15/22
|
|
200
|
|
205
|
|
|
FREDDIE MAC - SCRT 3.500% 7/25/58
|
|
647
|
|
681
|
|
|
FREDDIE MAC - SCRT 3.500% 11/25/57
|
|
1,745
|
|
1,808
|
|
|
FREDDIE MAC - SCRT 4.000% 3/25/59
|
|
1,919
|
|
2,020
|
|
|
FREEDOM FINANCIAL 2.620% 11/18/26
|
|
549
|
|
549
|
|
|
FREEDOM FINANCIAL 3.420% 6/18/26
|
|
391
|
|
392
|
|
|
FREEDOM FINANCIAL 3.610% 7/18/24
|
|
203
|
|
203
|
|
|
GLS AUTO RECEIVABLES 3.710% 3/15/23
|
|
535
|
|
541
|
|
|
GLS AUTO RECEIVABLES 6.900% 10/15/21
|
|
111
|
|
112
|
|
|
GOODGREEN TRUST 3.260% 10/15/53
|
|
566
|
|
574
|
|
|
GOODGREEN TRUST 3.740% 10/15/52
|
|
177
|
|
183
|
|
|
GOVT NATL MTG ASSN 3.500% 3/20/49
|
|
184
|
|
189
|
|
|
GOVT NATL MTG ASSN 3.500% 8/20/47
|
|
549
|
|
585
|
|
|
GOVT NATL MTG ASSN 4.500% 10/16/39
|
|
1,375
|
|
1,502
|
|
|
GOVT NATL MTG ASSN 5.000% 8/20/39
|
|
300
|
|
329
|
|
|
GOVT NATL MTG ASSN 5.000% 10/20/39
|
|
925
|
|
1,018
|
|
|
HERO FUNDING TRUST 3.080% 9/20/42
|
|
531
|
|
534
|
|
|
HERO FUNDING TRUST 3.950% 9/20/48
|
|
647
|
|
661
|
|
|
HERO FUNDING TRUST 4.070% 9/20/48
|
|
118
|
|
121
|
|
|
HERO FUNDING TRUST 4.460% 9/20/47
|
|
567
|
|
592
|
|
|
HERO FUNDING TRUST 4.670% 9/20/48
|
|
1,094
|
|
1,139
|
|
|
HERTZ VEHICLE FINANC 1.000% 6/27/22
|
|
744
|
|
758
|
|
|
HERTZ VEHICLE FINANC 3.290% 2/25/24
|
|
386
|
|
395
|
|
|
HILTON GRAND VACATIO 2.660% 12/27/28
|
|
157
|
|
158
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
50
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
INDEPENDENCE PLAZA 3.763% 7/10/35
|
|
1,200
|
|
1,253
|
|
|
KABBAGE FUNDING LLC 3.825% 3/15/24
|
|
1,400
|
|
1,415
|
|
|
LENDMARK FUNDING TRU 5.030% 12/21/26
|
|
100
|
|
102
|
|
|
MARINER FINANCE ISSU 3.510% 7/20/32
|
|
965
|
|
967
|
|
|
MARLETTE FUNDING TRU 3.060% 7/17/28
|
|
65
|
|
65
|
|
|
MARLETTE FUNDING TRU 3.190% 3/15/28
|
|
668
|
|
668
|
|
|
MRCD MORTGAGE TRUS 2.71752% 12/15/36
|
|
1,846
|
|
1,781
|
|
|
NEXTGEAR FLOORPLAN 2.540% 4/18/22
|
|
462
|
|
462
|
|
|
ONEMAIN DIRECT AUTO 3.420% 10/15/24
|
|
301
|
|
303
|
|
|
OPORTUN FUNDING LLC 3.220% 10/10/23
|
|
387
|
|
388
|
|
|
OPORTUN FUNDING LLC 3.610% 3/08/24
|
|
387
|
|
390
|
|
|
PROGRESS RESIDENTIAL 2.768% 8/17/34
|
|
199
|
|
200
|
|
|
PROGRESS RESIDENTIAL 3.067% 11/12/32
|
|
1,043
|
|
1,042
|
|
|
PROGRESS RESIDENTIAL 3.196% 12/17/34
|
|
526
|
|
525
|
|
|
PROGRESS RESIDENTIAL 3.595% 12/17/34
|
|
137
|
|
137
|
|
|
PROGRESS RESIDENTIAL 4.040% 8/17/35
|
|
410
|
|
423
|
|
|
PROGRESS RESIDENTIAL 4.261% 8/17/34
|
|
453
|
|
462
|
|
|
PROGRESS RESIDENTIAL 4.656% 8/17/35
|
|
335
|
|
342
|
|
|
PROGRESS RESIDENTIAL 4.673% 11/12/32
|
|
100
|
|
100
|
|
|
PROGRESS RESIDENTIAL 4.873% 10/17/35
|
|
524
|
|
540
|
|
|
PROSPER MARKETPLACE 3.190% 7/15/25
|
|
765
|
|
768
|
|
|
PROSPER MARKETPLACE 3.200% 9/15/25
|
|
388
|
|
389
|
|
|
RENEW 2017-1 1.67064% 9/28/52
|
|
233
|
|
239
|
|
|
RENEW FINANCIAL 3.220% 9/22/53
|
|
219
|
|
226
|
|
|
RICE PARK FINANCING 4.625% 10/31/41
|
|
314
|
|
321
|
|
|
SANTANDER DRIVE AUTO 2.580% 5/16/22
|
|
170
|
|
170
|
|
|
SANTANDER DRIVE AUTO 2.790% 8/15/22
|
|
597
|
|
598
|
|
|
SANTANDER DRIVE AUTO 2.930% 12/15/22
|
|
295
|
|
296
|
|
|
SANTANDER DRIVE AUTO 3.170% 4/17/23
|
|
596
|
|
601
|
|
|
SANTANDER DRIVE AUTO 3.320% 3/15/24
|
|
629
|
|
636
|
|
|
SANTANDER RETAIL AUT 3.060% 4/20/22
|
|
300
|
|
302
|
|
|
SANTANDER RETAIL AUT 3.490% 4/20/22
|
|
430
|
|
433
|
|
|
TIDEWATER AUTO RECEI 3.120% 7/15/22
|
|
96
|
|
96
|
|
|
TIDEWATER AUTO RECEI 4.300% 11/15/24
|
|
165
|
|
168
|
|
|
VENDEE MORTGAGE TRUS 5.000% 5/15/33
|
|
503
|
|
549
|
|
|
VNO MORTGAGE TRUST 3.808% 12/13/29
|
|
500
|
|
505
|
|
|
VR 20 TSQ GROUNDCO 3.20323% 5/15/35
|
|
1,400
|
|
1,383
|
|
|
VR FANNIEMAE-ACES 2.565% 12/25/26
|
|
915
|
|
926
|
|
|
VR FANNIEMAE-ACES 2.752% 11/25/22
|
|
154
|
|
154
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
51
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
VR FANNIEMAE-ACES 2.885% 5/25/29
|
|
1,175
|
|
1,211
|
|
|
VR FANNIEMAE-ACES 2.939% 1/25/26
|
|
2,752
|
|
2,845
|
|
|
VR FANNIEMAE-ACES 3.061% 5/25/27
|
|
1,480
|
|
1,544
|
|
|
VR FANNIEMAE-ACES 3.092% 4/25/27
|
|
3,577
|
|
3,728
|
|
|
VR FANNIEMAE-ACES 3.181% 6/25/27
|
|
822
|
|
861
|
|
|
VR FANNIEMAE-ACES 3.673% 9/25/28
|
|
690
|
|
746
|
|
|
VR FED HOME LN MTG 2.089% 2/15/43
|
|
236
|
|
233
|
|
|
VR FED HOME LN MTG 2.159% 9/15/36
|
|
46
|
|
46
|
|
|
VR FED NATL MTG AS 4.23699% 4/25/44
|
|
83
|
|
87
|
|
|
VR FED NATL MTG ASSN 2.342% 9/25/41
|
|
127
|
|
127
|
|
|
VR FHLMC MULTIFAMI 2.47704% 9/25/22
|
|
97
|
|
97
|
|
|
VR FHLMC MULTIFAMILY 3.284% 6/25/25
|
|
1,000
|
|
1,055
|
|
|
VR FHLMC MULTIFAMILY 3.364% 12/25/27
|
|
680
|
|
724
|
|
|
VR FREMF MORTGAGE 3.8069% 1/25/48
|
|
1,200
|
|
1,233
|
|
|
VR FREMF MORTGAGE 4.2092% 11/25/47
|
|
191
|
|
199
|
|
|
VR FREMF MORTGAGE 3.66746% 6/25/45
|
|
800
|
|
822
|
|
|
VR FREMF MORTGAGE 3.69576% 11/25/49
|
|
180
|
|
182
|
|
|
VR FREMF MORTGAGE 3.97468% 7/25/49
|
|
220
|
|
227
|
|
|
VR GMAT TRUST 6.96694% 11/25/43
|
|
3
|
|
3
|
|
|
VR GOODGREEN TRUS 22.81949% 10/15/53
|
|
569
|
|
594
|
|
|
VR GOVT NATL MTG 2.214% 6/20/65
|
|
792
|
|
789
|
|
|
VR GOVT NATL MTG 2.214% 7/20/65
|
|
832
|
|
829
|
|
|
VR GOVT NATL MTG 2.374% 11/20/65
|
|
1,534
|
|
1,537
|
|
|
VR GOVT NATL MTG 4.775% 10/20/43
|
|
802
|
|
889
|
|
|
VR GOVT NATL MTG 5.248% 5/20/40
|
|
875
|
|
976
|
|
|
VR GOVT NATL MTG 5.494% 1/20/38
|
|
639
|
|
726
|
|
|
VR GOVT NATL MTG 5.551% 10/20/40
|
|
1,150
|
|
1,289
|
|
|
VR GOVT NATL MTG AS 2.214% 6/20/65
|
|
774
|
|
770
|
|
|
VR GOVT NATL MTG AS 2.224% 2/20/61
|
|
931
|
|
928
|
|
|
VR GOVT NATL MTG AS 2.274% 6/20/67
|
|
578
|
|
577
|
|
|
VR GOVT NATL MTG AS 2.294% 9/20/65
|
|
1,130
|
|
1,129
|
|
|
VR GOVT NATL MTG AS 2.294% 10/20/65
|
|
780
|
|
779
|
|
|
VR GOVT NATL MTG AS 2.334% 3/20/67
|
|
645
|
|
645
|
|
|
VR GOVT NATL MTG AS 2.354% 5/20/66
|
|
474
|
|
474
|
|
|
VR GOVT NATL MTG AS 2.434% 12/20/65
|
|
465
|
|
467
|
|
|
VR GOVT NATL MTG AS 2.604% 8/20/66
|
|
498
|
|
502
|
|
|
VR GOVT NATL MTG AS 2.774% 12/20/66
|
|
215
|
|
218
|
|
|
VR HEADLANDS RESIDEN 3.967% 6/25/24
|
|
950
|
|
954
|
|
|
VR VERICREST OPPORT 3.4255% 12/26/49
|
|
2,300
|
|
2,299
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
52
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
VR VERICREST OPPORT 4.3357% 1/25/49
|
|
582
|
|
586
|
|
*
|
WELLS FARGO COMMERCI 2.819% 8/15/50
|
|
13
|
|
13
|
|
|
WESTGATE RESORTS 3.050% 12/20/30
|
|
142
|
|
143
|
|
|
WESTGATE RESORTS 3.580% 12/20/31
|
|
401
|
|
405
|
|
|
WESTLAKE AUTOMOBILE 2.590% 12/15/22
|
|
412
|
|
413
|
|
|
WESTLAKE AUTOMOBILE 2.700% 10/17/22
|
|
53
|
|
53
|
|
|
WESTLAKE AUTOMOBILE 3.460% 10/17/22
|
|
325
|
|
327
|
|
|
WESTLAKE AUTOMOBILE 3.610% 10/16/23
|
|
764
|
|
775
|
|
|
WORLD OMNI AUTOMOBIL 2.320% 8/15/22
|
|
74
|
|
74
|
|
|
WORLD OMNI AUTOMOBIL 2.480% 8/15/22
|
|
412
|
|
412
|
|
|
Total Asset-Backed Securities
|
|
|
|
125,311
|
|
|
|
|
|
|
|
|
|
Foreign Sovereign Debt
|
|
|
|
|
|
|
REPUBLIC OF COLOMBIA 4.500% 1/28/26
|
|
200
|
|
218
|
|
|
REPUBLIC OF PANAMA 3.870% 7/23/60
|
|
270
|
|
291
|
|
|
UNITED MEXICAN STATE 3.750% 1/11/28
|
|
392
|
|
407
|
|
|
UNITED MEXICAN STATE 4.125% 1/21/26
|
|
270
|
|
288
|
|
|
UNITED MEXICAN STATE 4.350% 1/15/47
|
|
35
|
|
37
|
|
|
Total Foreign Sovereign Debt
|
|
|
|
1,241
|
|
|
|
|
|
|
|
|
|
Municipal Bonds
|
|
|
|
|
|
|
OHIO ST UNIV 4.048% 12/01/56
|
|
81
|
|
94
|
|
|
OHIO UNIV GEN RECPTS 5.590% 12/01/14
|
|
195
|
|
251
|
|
|
Total Municipal Bonds
|
|
|
|
345
|
|
|
|
|
|
|
|
|
|
Private Placement Bonds
|
|
|
|
|
|
|
P/P ABBVIE INC 3.200% 11/21/29
|
|
349
|
|
355
|
|
|
P/P ABBVIE INC 4.050% 11/21/39
|
|
345
|
|
363
|
|
|
P/P ABN AMRO BANK NV 4.750% 7/28/25
|
|
250
|
|
272
|
|
|
P/P AIA GROUP LTD 3.200% 3/11/25
|
|
200
|
|
205
|
|
|
P/P AIA GROUP LTD 3.600% 4/09/29
|
|
200
|
|
210
|
|
|
P/P AIB GROUP PLC 4.750% 10/12/23
|
|
290
|
|
312
|
|
|
P/P AIR CANADA 2013- 4.125% 11/15/26
|
|
692
|
|
736
|
|
|
P/P AIR CANADA 2015- 3.600% 3/15/27
|
|
1,214
|
|
1,267
|
|
|
P/P AIR CANADA 2017- 3.300% 1/15/30
|
|
71
|
|
73
|
|
|
P/P AIR CANADA 2017- 3.550% 1/15/30
|
|
243
|
|
246
|
|
|
P/P AIRBUS SE 3.150% 4/10/27
|
|
164
|
|
170
|
|
|
P/P AMERICAN TOWER 3.652% 3/23/28
|
|
230
|
|
240
|
|
|
P/P ANGLO AMERICAN 4.000% 9/11/27
|
|
200
|
|
210
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
53
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
P/P ANZ NEW ZEALAND 2.750% 1/22/21
|
|
300
|
|
302
|
|
|
P/P ANZ NEW ZEALAND 2.850% 8/06/20
|
|
250
|
|
251
|
|
|
P/P APT PIPELINES LT 4.200% 3/23/25
|
|
170
|
|
181
|
|
|
P/P APT PIPELINES LT 4.250% 7/15/27
|
|
102
|
|
110
|
|
|
P/P ASB BANK LIMITED 3.125% 5/23/24
|
|
325
|
|
336
|
|
|
P/P ATHENE GLOBAL FU 2.750% 4/20/20
|
|
127
|
|
127
|
|
|
P/P ATHENE GLOBAL FU 2.750% 6/25/24
|
|
140
|
|
141
|
|
|
P/P ATHENE GLOBAL FU 2.950% 11/12/26
|
|
595
|
|
594
|
|
|
P/P AUSGRID FINANCE 3.850% 5/01/23
|
|
200
|
|
208
|
|
|
P/P AVIATION CAPITAL 3.500% 11/01/27
|
|
60
|
|
60
|
|
|
P/P AVOLON HOLDINGS 4.375% 5/01/26
|
|
315
|
|
333
|
|
|
P/P BAE SYSTEMS HOLD 3.800% 10/07/24
|
|
130
|
|
138
|
|
|
P/P BMW US CAPITAL 2.250% 9/15/23
|
|
72
|
|
72
|
|
|
P/P BNP PARIBAS 3.500% 3/01/23
|
|
220
|
|
228
|
|
|
P/P BOC AVIATION LTD 2.375% 9/15/21
|
|
200
|
|
199
|
|
|
P/P BOC AVIATION LTD 2.750% 9/18/22
|
|
200
|
|
201
|
|
|
P/P BPCE SA 4.625% 7/11/24
|
|
200
|
|
215
|
|
|
P/P BRISTOL-MYERS SQ 3.200% 6/15/26
|
|
183
|
|
192
|
|
|
P/P BRISTOL-MYERS SQ 3.400% 7/26/29
|
|
196
|
|
210
|
|
|
P/P BRISTOL-MYERS SQ 3.900% 2/20/28
|
|
140
|
|
154
|
|
|
P/P BRISTOL-MYERS SQ 4.125% 6/15/39
|
|
122
|
|
141
|
|
|
P/P BRISTOL-MYERS SQ 5.000% 8/15/45
|
|
225
|
|
289
|
|
|
P/P BRISTOL-MYERS SQ 5.700% 10/15/40
|
|
91
|
|
121
|
|
|
P/P BRITISH AIR 18-1 3.800% 9/20/31
|
|
112
|
|
118
|
|
|
P/P BRITISH AIR 18-1 4.125% 9/20/31
|
|
290
|
|
304
|
|
|
P/P BRITISH AIR 19-1 3.300% 12/15/32
|
|
200
|
|
207
|
|
|
P/P BROADCOM INC 4.750% 4/15/29
|
|
650
|
|
711
|
|
|
P/P BROOKLYN UNION 4.273% 3/15/48
|
|
100
|
|
112
|
|
|
P/P CADILLAC FAIRVIE 3.875% 3/20/27
|
|
201
|
|
215
|
|
|
P/P CAMERON LNG LLC 3.701% 1/15/39
|
|
238
|
|
243
|
|
|
P/P CARGILL INC 3.250% 3/01/23
|
|
25
|
|
26
|
|
|
P/P CIM 2014 LOAN TR 4.500% 2/25/26
|
|
108
|
|
119
|
|
|
P/P CK HUTCHISON INT 1.875% 10/03/21
|
|
200
|
|
198
|
|
|
P/P CK HUTCHISON INT 3.625% 4/11/29
|
|
200
|
|
211
|
|
|
P/P CLEVELAND ELECTR 3.500% 4/01/28
|
|
95
|
|
99
|
|
|
P/P COMMONWEALTH BAN 2.500% 9/18/22
|
|
140
|
|
142
|
|
|
P/P COMMONWEALTH BAN 2.850% 5/18/26
|
|
110
|
|
112
|
|
|
P/P COMMONWEALTH BAN 3.450% 3/16/23
|
|
110
|
|
115
|
|
|
P/P COMMONWEALTH BAN 4.500% 12/09/25
|
|
200
|
|
216
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
54
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
P/P COOPERATIEVE RAB 3.875% 9/26/23
|
|
250
|
|
264
|
|
|
P/P CREDIT AGRICOLE 3.250% 10/04/24
|
|
250
|
|
259
|
|
|
P/P CREDIT SUISSE GR 3.574% 1/09/23
|
|
598
|
|
615
|
|
|
P/P CRH AMERICA FINA 3.400% 5/09/27
|
|
200
|
|
208
|
|
|
P/P CVS PASS-THROUGH 4.163% 8/10/36
|
|
250
|
|
256
|
|
|
P/P CVS PASS-THROUGH 4.704% 1/10/36
|
|
107
|
|
114
|
|
|
P/P CVS PASS-THROUGH 5.773% 1/10/33
|
|
74
|
|
83
|
|
|
P/P CVS PASS-THROUGH 5.926% 1/10/34
|
|
78
|
|
91
|
|
|
P/P DAIWA SECURITIES 3.129% 4/19/22
|
|
64
|
|
65
|
|
|
P/P DIAMOND 1 FIN/DI 6.020% 6/15/26
|
|
200
|
|
230
|
|
|
P/P DUQUESNE LIGHT 3.616% 8/01/27
|
|
230
|
|
233
|
|
|
P/P ENEL FINANCE INT 3.625% 5/25/27
|
|
220
|
|
228
|
|
|
P/P ENEL FINANCE INT 4.625% 9/14/25
|
|
200
|
|
218
|
|
|
P/P ENI SPA 4.000% 9/12/23
|
|
200
|
|
211
|
|
|
P/P ERAC USA FINANCE 2.600% 12/01/21
|
|
100
|
|
101
|
|
|
P/P ERAC USA FINANCE 3.850% 11/15/24
|
|
150
|
|
159
|
|
|
P/P FOX CORP 4.709% 1/25/29
|
|
85
|
|
97
|
|
|
P/P GAIF BOND ISSUER 3.400% 9/30/26
|
|
95
|
|
96
|
|
|
P/P GLENCORE FUNDING 4.625% 4/29/24
|
|
70
|
|
74
|
|
|
P/P GOODMAN US FIN 3.700% 3/15/28
|
|
86
|
|
88
|
|
|
P/P GREAT-WEST LIFEC 4.581% 5/17/48
|
|
130
|
|
150
|
|
|
P/P GTP ACQUISITION 3.482% 6/16/25
|
|
190
|
|
195
|
|
|
P/P JACKSON NATL LIF 3.050% 4/29/26
|
|
55
|
|
57
|
|
|
P/P JACKSON NATL LIF 3.875% 6/11/25
|
|
324
|
|
348
|
|
|
P/P JERSEY CENTRAL 4.300% 1/15/26
|
|
50
|
|
55
|
|
|
P/P KEYSPAN GAS EAST 2.742% 8/15/26
|
|
200
|
|
200
|
|
|
P/P LIBERTY MUTUAL 3.951% 10/15/50
|
|
180
|
|
187
|
|
|
P/P MACQUARIE BANK 4.000% 7/29/25
|
|
300
|
|
321
|
|
|
P/P MACQUARIE GROUP 6.000% 1/14/20
|
|
130
|
|
130
|
|
|
P/P MASS MUTUAL LIFE 4.900% 4/01/77
|
|
225
|
|
272
|
|
*
|
P/P MET LIFE GLOB FU 3.000% 9/19/27
|
|
180
|
|
187
|
|
|
P/P MEXICO CITY ARPT 5.500% 7/31/47
|
|
207
|
|
213
|
|
|
P/P MID-ATLANTIC INT 4.100% 5/15/28
|
|
50
|
|
55
|
|
|
P/P MITSUBISHI UFJ 2.652% 9/19/22
|
|
200
|
|
201
|
|
|
P/P MITSUI FUDOSAN 2.950% 1/23/23
|
|
450
|
|
456
|
|
|
P/P MIZUHO FINANCIAL 2.632% 4/12/21
|
|
200
|
|
202
|
|
|
P/P MPLX LP 5.250% 1/15/25
|
|
64
|
|
67
|
|
|
P/P MYLAN INC 3.125% 1/15/23
|
|
100
|
|
102
|
|
|
P/P NATWEST MARKETS 3.625% 9/29/22
|
|
215
|
|
223
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
55
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
P/P NEW ENGLAND POWE 3.800% 12/05/47
|
|
50
|
|
53
|
|
|
P/P NEW YORK LIFE GL 2.000% 4/13/21
|
|
35
|
|
35
|
|
|
P/P NEW YORK LIFE GL 2.350% 7/14/26
|
|
111
|
|
111
|
|
|
P/P NEW YORK LIFE GL 3.000% 1/10/28
|
|
81
|
|
84
|
|
|
P/P NEW YORK LIFE IN 4.450% 5/15/69
|
|
90
|
|
103
|
|
|
P/P NISSAN MOTOR ACC 2.550% 3/08/21
|
|
100
|
|
100
|
|
|
P/P NORDEA BANK AB 4.875% 1/27/20
|
|
100
|
|
100
|
|
|
P/P NRG ENERGY INC 4.450% 6/15/29
|
|
155
|
|
162
|
|
|
P/P NY STATE ELECTRI 3.250% 12/01/26
|
|
87
|
|
90
|
|
|
P/P PARK AEROSPACE 4.500% 3/15/23
|
|
180
|
|
188
|
|
|
P/P PARKER-HANNIFIN 4.100% 3/01/47
|
|
42
|
|
46
|
|
|
P/P PENNSYLVANIA ELE 3.250% 3/15/28
|
|
26
|
|
27
|
|
|
P/P PENSKE TRUCK LEA 4.125% 8/01/23
|
|
350
|
|
369
|
|
|
P/P PRICOA GLOBAL FU 2.550% 11/24/20
|
|
150
|
|
151
|
|
*
|
P/P PRINCIPAL LFE GL 2.625% 11/19/20
|
|
114
|
|
115
|
|
|
P/P PROTECTIVE LIFE 2.700% 11/25/20
|
|
200
|
|
201
|
|
|
P/P PRUDENTIAL INSUR 8.300% 7/01/25
|
|
300
|
|
385
|
|
|
P/P RELIANCE STAND 2.500% 1/15/20
|
|
40
|
|
40
|
|
|
P/P RELIANCE STAND 3.850% 9/19/23
|
|
230
|
|
241
|
|
|
P/P SANTANDER UK GRO 4.750% 9/15/25
|
|
200
|
|
215
|
|
|
P/P SCENTRE GROUP TR 3.250% 10/28/25
|
|
230
|
|
235
|
|
|
P/P SCENTRE GROUP TR 3.500% 2/12/25
|
|
200
|
|
208
|
|
|
P/P SCHLUMBERGER HLD 3.900% 5/17/28
|
|
216
|
|
230
|
|
|
P/P SES SA 3.600% 4/04/23
|
|
50
|
|
51
|
|
|
P/P SIEMENS FINANCIE 2.900% 5/27/22
|
|
250
|
|
256
|
|
|
P/P SKANDINAVISKA EN 3.050% 3/25/22
|
|
200
|
|
204
|
|
|
P/P SMITHFIELD FOODS 5.200% 4/01/29
|
|
220
|
|
244
|
|
|
P/P SOCIETE GENERALE 3.875% 3/28/24
|
|
425
|
|
447
|
|
|
P/P SOUTHERN NATURAL 4.800% 3/15/47
|
|
35
|
|
40
|
|
|
P/P SWEDBANK AB 2.200% 3/04/20
|
|
200
|
|
200
|
|
|
P/P TEACHERS INSUR 4.270% 5/15/47
|
|
70
|
|
80
|
|
|
P/P TEACHERS INSUR 4.900% 9/15/44
|
|
40
|
|
49
|
|
|
P/P TEXAS EASTERN TR 3.500% 1/15/28
|
|
33
|
|
34
|
|
|
P/P UBS GROUP FUNDIN 3.491% 5/23/23
|
|
200
|
|
206
|
|
|
P/P UBS GROUP FUNDIN 4.125% 9/24/25
|
|
200
|
|
218
|
|
|
P/P UNITED OVERSEAS 3.200% 4/23/21
|
|
200
|
|
203
|
|
|
VR P/P CREDIT SUISSE 2.593% 9/11/25
|
|
250
|
|
251
|
|
|
VR P/P CREDIT SUISSE 4.207% 6/12/24
|
|
250
|
|
264
|
|
|
VR P/P DIA-ICHI LIFE 4.000% 12/29/49
|
|
200
|
|
208
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
56
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
VR P/P MACQUARIE GRO 3.763% 11/28/28
|
|
175
|
|
183
|
|
|
VR P/P MACQUARIE GRO 5.033% 1/15/30
|
|
200
|
|
228
|
|
|
VR P/P NATIONAL AUST 3.933% 8/02/34
|
|
250
|
|
260
|
|
|
VR P/P PACIFIC LIFE 4.300% 10/24/67
|
|
177
|
|
189
|
|
|
VR P/P STANDARD CHAR 2.744% 9/10/22
|
|
250
|
|
252
|
|
|
VR P/P STANDARD CHAR 4.247% 1/20/23
|
|
200
|
|
207
|
|
|
VR P/P STANDARD CHAR 4.305% 5/21/30
|
|
200
|
|
218
|
|
|
VR P/P SWISS RE FINA 5.000% 4/02/49
|
|
200
|
|
223
|
|
|
Total Private Placement Bonds
|
|
|
|
28,125
|
|
|
|
|
|
|
|
|
|
Total Other Investments
|
|
|
|
155,022
|
|
|
|
|
|
|
|
|
|
Total Investments, at Fair Value
|
|
|
|
5,472,731
|
|
|
|
|
|
|
|
|
|
Fully Benefit Responsive Investment Contracts
|
|
|
|
|
|
|
U.S. Government and Agency Obligations
|
|
|
|
|
|
|
FEDERAL HOME LOAN BANKS 2.625% 10/01/2020
|
|
30,600
|
|
30,806
|
|
|
FFCB 1.23% 9/25/2020
|
|
6,700
|
|
6,697
|
|
|
FGOLD 15YR 3.5% 10/01/2020
|
|
1
|
|
1
|
|
|
FGOLD 15YR 3.5% 10/01/2025
|
|
23
|
|
23
|
|
|
FGOLD 15YR 3.5% 9/01/2025
|
|
100
|
|
104
|
|
|
FGOLD 15YR 4% 2/01/2025
|
|
127
|
|
133
|
|
|
FGOLD 15YR 4% 7/01/2025
|
|
524
|
|
547
|
|
|
FGOLD 15YR 4% 8/01/2025
|
|
203
|
|
212
|
|
|
FGOLD 15YR 3% 1/01/2027
|
|
1,741
|
|
1,788
|
|
|
FGOLD 15YR 3% 1/01/2032
|
|
711
|
|
730
|
|
|
FGOLD 15YR 3% 1/01/2033
|
|
660
|
|
678
|
|
|
FGOLD 15YR 3% 11/01/2025
|
|
367
|
|
378
|
|
|
FGOLD 15YR 3% 11/01/2026
|
|
313
|
|
321
|
|
|
FGOLD 15YR 3% 3/01/2027
|
|
1,527
|
|
1,567
|
|
|
FGOLD 15YR 3% 3/01/2033
|
|
1,271
|
|
1,308
|
|
|
FGOLD 15YR 3.5% 1/01/2021
|
|
76
|
|
79
|
|
|
FGOLD 15YR 3.5% 1/01/2034
|
|
1,865
|
|
1,937
|
|
|
FGOLD 15YR 3.5% 10/01/2021
|
|
8
|
|
8
|
|
|
FGOLD 15YR 3.5% 10/01/2025
|
|
1,151
|
|
1,194
|
|
|
FGOLD 15YR 3.5% 11/01/2025
|
|
54
|
|
56
|
|
|
FGOLD 15YR 3.5% 12/01/2025
|
|
828
|
|
856
|
|
|
FGOLD 15YR 3.5% 2/01/2026
|
|
48
|
|
49
|
|
|
FGOLD 15YR 3.5% 3/01/2026
|
|
59
|
|
61
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
57
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FGOLD 15YR 3.5% 4/01/2021
|
|
19
|
|
20
|
|
|
FGOLD 15YR 3.5% 5/01/2026
|
|
36
|
|
37
|
|
|
FGOLD 15YR 3.5% 5/01/2032
|
|
1,988
|
|
2,068
|
|
|
FGOLD 15YR 3.5% 6/01/2026
|
|
668
|
|
692
|
|
|
FGOLD 15YR 3.5% 7/01/2026
|
|
821
|
|
851
|
|
|
FGOLD 15YR 3.5% 8/01/2026
|
|
624
|
|
647
|
|
|
FGOLD 15YR 3.5% 9/01/2026
|
|
66
|
|
68
|
|
|
FGOLD 15YR 4% 10/01/2025
|
|
16
|
|
17
|
|
|
FGOLD 15YR 4% 3/01/2026
|
|
55
|
|
58
|
|
|
FGOLD 15YR 4% 5/01/2026
|
|
387
|
|
405
|
|
|
FGOLD 15YR 4% 6/01/2024
|
|
98
|
|
102
|
|
|
FGOLD 15YR 4% 6/01/2025
|
|
32
|
|
34
|
|
|
FGOLD 15YR 4% 6/01/2026
|
|
1,317
|
|
1,378
|
|
|
FGOLD 15YR GIANT 3% 1/01/2027
|
|
453
|
|
465
|
|
|
FGOLD 15YR GIANT 3% 3/01/2031
|
|
1,171
|
|
1,206
|
|
|
FGOLD 15YR GIANT 3% 3/01/2032
|
|
1,459
|
|
1,505
|
|
|
FGOLD 15YR GIANT 3% 6/01/2027
|
|
444
|
|
456
|
|
|
FGOLD 15YR GIANT 3% 9/01/2030
|
|
690
|
|
711
|
|
|
FGOLD 15YR GIANT 3% 9/01/2031
|
|
650
|
|
671
|
|
|
FGOLD 15YR GIANT 3.5% 1/01/2027
|
|
617
|
|
640
|
|
|
FGOLD 15YR GIANT 3.5% 1/01/2030
|
|
324
|
|
338
|
|
|
FGOLD 15YR GIANT 3.5% 10/01/2029
|
|
32
|
|
33
|
|
|
FGOLD 15YR GIANT 3.5% 11/01/2025
|
|
146
|
|
151
|
|
|
FGOLD 15YR GIANT 3.5% 11/01/2029
|
|
466
|
|
486
|
|
|
FGOLD 15YR GIANT 3.5% 11/01/2033
|
|
699
|
|
726
|
|
|
FGOLD 15YR GIANT 3.5% 12/01/2033
|
|
809
|
|
839
|
|
|
FGOLD 15YR GIANT 3.5% 3/01/2030
|
|
253
|
|
264
|
|
|
FGOLD 15YR GIANT 3.5% 4/01/2026
|
|
150
|
|
156
|
|
|
FGOLD 15YR GIANT 3.5% 4/01/2029
|
|
180
|
|
187
|
|
|
FGOLD 15YR GIANT 3.5% 4/01/2030
|
|
509
|
|
530
|
|
|
FGOLD 15YR GIANT 3.5% 5/01/2033
|
|
3,226
|
|
3,362
|
|
|
FGOLD 15YR GIANT 3.5% 6/01/2029
|
|
343
|
|
358
|
|
|
FGOLD 15YR GIANT 3.5% 7/01/2021
|
|
2
|
|
2
|
|
|
FGOLD 15YR GIANT 3.5% 7/01/2026
|
|
38
|
|
39
|
|
|
FGOLD 15YR GIANT 3.5% 7/01/2029
|
|
862
|
|
898
|
|
|
FGOLD 15YR GIANT 3.5% 8/01/2026
|
|
133
|
|
138
|
|
|
FGOLD 15YR GIANT 3.5% 8/01/2029
|
|
1,143
|
|
1,190
|
|
|
FGOLD 15YR GIANT 3.5% 8/01/2032
|
|
2,314
|
|
2,410
|
|
|
FGOLD 15YR GIANT 3.5% 9/01/2025
|
|
168
|
|
174
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
58
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FGOLD 15YR GIANT 4% 10/01/2025
|
|
48
|
|
50
|
|
|
FGOLD 15YR GIANT 4% 11/01/2033
|
|
1,632
|
|
1,703
|
|
|
FGOLD 15YR GIANT 4% 12/01/2025
|
|
14
|
|
14
|
|
|
FGOLD 15YR GIANT 4% 4/01/2033
|
|
263
|
|
275
|
|
|
FGOLD 15YR GIANT 4% 5/01/2026
|
|
244
|
|
255
|
|
|
FGOLD 15YR GIANT 4% 6/01/2026
|
|
439
|
|
458
|
|
|
FHLB 1.375% 9/28/2020
|
|
25,100
|
|
25,054
|
|
|
FHLB 2.25% 6/11/2021
|
|
12,800
|
|
12,915
|
|
|
FHLMC 1.625% 9/29/2020
|
|
11,100
|
|
11,099
|
|
|
FHLMC 15YR UMBS MIRROR 3% 4/01/2034
|
|
1,973
|
|
2,023
|
|
|
FHLMC 15YR UMBS SUPER 2.5% 8/01/2034
|
|
4,978
|
|
5,024
|
|
|
FHLMC 15YR UMBS SUPER 3% 1/01/2034
|
|
1,146
|
|
1,175
|
|
|
FHLMC 5/1 HYBRID ARM 3.686% 12/01/2036
|
|
123
|
|
129
|
|
|
FHLMC REFERENCE BOND 1.5% 1/17/2020
|
|
20,125
|
|
20,124
|
|
|
FHLMC REFERENCE NOTES 1.375% 5/01/2020
|
|
33,275
|
|
33,243
|
|
|
FHLMC_K006 4.251% 1/25/2020
|
|
10
|
|
10
|
|
|
FHLMC_K007 4.224% 3/25/2020
|
|
749
|
|
749
|
|
|
FHLMC_K008 3.531% 6/25/2020
|
|
4,541
|
|
4,550
|
|
|
FHLMC_K009 3.808% 8/25/2020
|
|
2,570
|
|
2,583
|
|
|
FHLMC_K010 4.333% 10/25/2020
|
|
1,902
|
|
1,924
|
|
|
FHLMC_K014 3.871% 4/25/2021
|
|
3,751
|
|
3,809
|
|
|
FHLMC_K015 3.23% 7/25/2021
|
|
298
|
|
302
|
|
|
FHLMC_K016 2.9676% 10/25/2021
|
|
1,364
|
|
1,380
|
|
|
FHLMC_K018 2.789% 1/25/2022
|
|
2,196
|
|
2,220
|
|
|
FHLMC_K019 2.272% 3/25/2022
|
|
1,495
|
|
1,503
|
|
|
FHLMC_K025 2.682% 10/25/2022
|
|
2,020
|
|
2,054
|
|
|
FHLMC_K027 2.637% 1/25/2023
|
|
475
|
|
483
|
|
|
FHLMC_K714 3.034% 10/25/2020
|
|
2,900
|
|
2,907
|
|
|
FHLMC_K715 2.856% 1/25/2021
|
|
3,758
|
|
3,775
|
|
|
FHLMC_K716 3.13% 6/25/2021
|
|
3,905
|
|
3,945
|
|
|
FHLMC_K720 2.716% 6/25/2022
|
|
1,425
|
|
1,443
|
|
|
FHLMC_K727 2.632% 10/25/2023
|
|
852
|
|
861
|
|
|
FNMA 15YR 3.5% 1/01/2026
|
|
507
|
|
526
|
|
|
FNMA 15YR 3.5% 10/01/2025
|
|
267
|
|
276
|
|
|
FNMA 15YR 3.5% 11/01/2025
|
|
1,566
|
|
1,622
|
|
|
FNMA 15YR 3.5% 12/01/2025
|
|
262
|
|
271
|
|
|
FNMA 15YR 3.5% 12/01/2026
|
|
10
|
|
10
|
|
|
FNMA 15YR 3.5% 2/01/2026
|
|
506
|
|
524
|
|
|
FNMA 15YR 3.5% 3/01/2026
|
|
137
|
|
142
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
59
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FNMA 15YR 3.5% 8/01/2026
|
|
170
|
|
176
|
|
|
FNMA 15YR 3.5% 9/01/2025
|
|
34
|
|
35
|
|
|
FNMA 15YR 3.5% 9/01/2026
|
|
6
|
|
6
|
|
|
FNMA 15YR 4% 1/01/2025
|
|
21
|
|
22
|
|
|
FNMA 15YR 4% 2/01/2025
|
|
1
|
|
1
|
|
|
FNMA 15YR 4% 4/01/2025
|
|
351
|
|
366
|
|
|
FNMA 15YR 4% 5/01/2025
|
|
215
|
|
225
|
|
|
FNMA 15YR 4% 6/01/2025
|
|
37
|
|
39
|
|
|
FNMA 15YR 4% 9/01/2024
|
|
230
|
|
240
|
|
|
FNMA 15YR 4% 9/01/2025
|
|
10
|
|
11
|
|
|
FNMA 15YR 4.5% 3/01/2023
|
|
17
|
|
18
|
|
|
FNMA 15YR 4.5% 4/01/2025
|
|
36
|
|
38
|
|
|
FNMA 15YR 4.5% 7/01/2023
|
|
13
|
|
13
|
|
|
FNMA 15YR 5% 10/01/2021
|
|
8
|
|
8
|
|
|
FNMA 15YR 5% 10/01/2024
|
|
67
|
|
69
|
|
|
FNMA 15YR 5% 2/01/2023
|
|
51
|
|
52
|
|
|
FNMA 15YR 5% 3/01/2023
|
|
15
|
|
16
|
|
|
FNMA 15YR 5.5% 8/01/2023
|
|
17
|
|
18
|
|
|
FNMA 15YR 6% 4/01/2023
|
|
74
|
|
76
|
|
|
FNMA 10/1 HYBRID ARM 3.715% 12/01/2033
|
|
5
|
|
5
|
|
|
FNMA 10/1 HYBRID ARM 3.749% 10/01/2034
|
|
12
|
|
12
|
|
|
FNMA 15YR 3% 1/01/2032
|
|
1,234
|
|
1,268
|
|
|
FNMA 15YR 3% 1/01/2033
|
|
3,516
|
|
3,625
|
|
|
FNMA 15YR 3% 1/01/2034
|
|
4,269
|
|
4,374
|
|
|
FNMA 15YR 3% 10/01/2030
|
|
5,771
|
|
5,941
|
|
|
FNMA 15YR 3% 10/01/2033
|
|
4,174
|
|
4,289
|
|
|
FNMA 15YR 3% 11/01/2030
|
|
1,290
|
|
1,325
|
|
|
FNMA 15YR 3% 11/01/2031
|
|
1,736
|
|
1,787
|
|
|
FNMA 15YR 3% 11/01/2033
|
|
2,988
|
|
3,064
|
|
|
FNMA 15YR 3% 2/01/2030
|
|
1,137
|
|
1,170
|
|
|
FNMA 15YR 3% 2/01/2031
|
|
5,035
|
|
5,181
|
|
|
FNMA 15YR 3% 2/01/2032
|
|
1,266
|
|
1,301
|
|
|
FNMA 15YR 3% 2/01/2034
|
|
2,689
|
|
2,756
|
|
|
FNMA 15YR 3% 3/01/2031
|
|
872
|
|
898
|
|
|
FNMA 15YR 3% 3/01/2032
|
|
645
|
|
663
|
|
|
FNMA 15YR 3% 3/01/2033
|
|
1,011
|
|
1,039
|
|
|
FNMA 15YR 3% 4/01/2031
|
|
777
|
|
800
|
|
|
FNMA 15YR 3% 4/01/2032
|
|
5,595
|
|
5,755
|
|
|
FNMA 15YR 3% 5/01/2031
|
|
2,209
|
|
2,275
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
60
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FNMA 15YR 3% 6/01/2034
|
|
1,367
|
|
1,401
|
|
|
FNMA 15YR 3% 7/01/2027
|
|
218
|
|
224
|
|
|
FNMA 15YR 3% 7/01/2030
|
|
341
|
|
352
|
|
|
FNMA 15YR 3% 7/01/2032
|
|
1,864
|
|
1,919
|
|
|
FNMA 15YR 3% 8/01/2031
|
|
846
|
|
871
|
|
|
FNMA 15YR 3% 9/01/2029
|
|
1,228
|
|
1,264
|
|
|
FNMA 15YR 3% 9/01/2031
|
|
1,542
|
|
1,588
|
|
|
FNMA 15YR 3% 9/01/2032
|
|
1,664
|
|
1,715
|
|
|
FNMA 15YR 3% 9/01/2033
|
|
2,024
|
|
2,076
|
|
|
FNMA 15YR 3.5% 1/01/2026
|
|
329
|
|
341
|
|
|
FNMA 15YR 3.5% 1/01/2027
|
|
1,073
|
|
1,112
|
|
|
FNMA 15YR 3.5% 1/01/2029
|
|
43
|
|
45
|
|
|
FNMA 15YR 3.5% 1/01/2030
|
|
1,451
|
|
1,506
|
|
|
FNMA 15YR 3.5% 1/01/2034
|
|
1,831
|
|
1,896
|
|
|
FNMA 15YR 3.5% 10/01/2026
|
|
1,597
|
|
1,658
|
|
|
FNMA 15YR 3.5% 10/01/2028
|
|
424
|
|
441
|
|
|
FNMA 15YR 3.5% 10/01/2029
|
|
84
|
|
87
|
|
|
FNMA 15YR 3.5% 11/01/2026
|
|
5
|
|
5
|
|
|
FNMA 15YR 3.5% 11/01/2027
|
|
24
|
|
25
|
|
|
FNMA 15YR 3.5% 11/01/2028
|
|
391
|
|
407
|
|
|
FNMA 15YR 3.5% 11/01/2029
|
|
335
|
|
348
|
|
|
FNMA 15YR 3.5% 11/01/2033
|
|
5,227
|
|
5,421
|
|
|
FNMA 15YR 3.5% 12/01/2025
|
|
426
|
|
441
|
|
|
FNMA 15YR 3.5% 12/01/2026
|
|
335
|
|
347
|
|
|
FNMA 15YR 3.5% 12/01/2028
|
|
268
|
|
279
|
|
|
FNMA 15YR 3.5% 12/01/2029
|
|
1,528
|
|
1,585
|
|
|
FNMA 15YR 3.5% 12/01/2032
|
|
1,587
|
|
1,644
|
|
|
FNMA 15YR 3.5% 2/01/2026
|
|
355
|
|
367
|
|
|
FNMA 15YR 3.5% 2/01/2027
|
|
62
|
|
65
|
|
|
FNMA 15YR 3.5% 2/01/2028
|
|
6
|
|
6
|
|
|
FNMA 15YR 3.5% 2/01/2029
|
|
1,129
|
|
1,175
|
|
|
FNMA 15YR 3.5% 2/01/2031
|
|
1,162
|
|
1,209
|
|
|
FNMA 15YR 3.5% 2/01/2032
|
|
2,781
|
|
2,894
|
|
|
FNMA 15YR 3.5% 2/01/2033
|
|
736
|
|
766
|
|
|
FNMA 15YR 3.5% 2/01/2034
|
|
1,909
|
|
1,977
|
|
|
FNMA 15YR 3.5% 3/01/2032
|
|
2,631
|
|
2,736
|
|
|
FNMA 15YR 3.5% 3/01/2033
|
|
2,074
|
|
2,155
|
|
|
FNMA 15YR 3.5% 4/01/2026
|
|
585
|
|
605
|
|
|
FNMA 15YR 3.5% 4/01/2027
|
|
125
|
|
129
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
61
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FNMA 15YR 3.5% 4/01/2030
|
|
562
|
|
585
|
|
|
FNMA 15YR 3.5% 4/01/2033
|
|
674
|
|
700
|
|
|
FNMA 15YR 3.5% 4/01/2034
|
|
3,978
|
|
4,121
|
|
|
FNMA 15YR 3.5% 5/01/2027
|
|
197
|
|
205
|
|
|
FNMA 15YR 3.5% 5/01/2029
|
|
258
|
|
268
|
|
|
FNMA 15YR 3.5% 5/01/2033
|
|
142
|
|
148
|
|
|
FNMA 15YR 3.5% 6/01/2027
|
|
1,207
|
|
1,250
|
|
|
FNMA 15YR 3.5% 6/01/2029
|
|
440
|
|
457
|
|
|
FNMA 15YR 3.5% 6/01/2030
|
|
628
|
|
655
|
|
|
FNMA 15YR 3.5% 6/01/2032
|
|
1,122
|
|
1,167
|
|
|
FNMA 15YR 3.5% 6/01/2033
|
|
7,715
|
|
8,008
|
|
|
FNMA 15YR 3.5% 7/01/2029
|
|
1,942
|
|
2,018
|
|
|
FNMA 15YR 3.5% 7/01/2032
|
|
1,010
|
|
1,049
|
|
|
FNMA 15YR 3.5% 8/01/2026
|
|
183
|
|
191
|
|
|
FNMA 15YR 3.5% 8/01/2027
|
|
255
|
|
264
|
|
|
FNMA 15YR 3.5% 8/01/2029
|
|
1,232
|
|
1,280
|
|
|
FNMA 15YR 3.5% 8/01/2032
|
|
2,571
|
|
2,673
|
|
|
FNMA 15YR 3.5% 8/01/2033
|
|
1,794
|
|
1,862
|
|
|
FNMA 15YR 3.5% 9/01/2026
|
|
1,515
|
|
1,570
|
|
|
FNMA 15YR 3.5% 9/01/2028
|
|
941
|
|
974
|
|
|
FNMA 15YR 3.5% 9/01/2029
|
|
1,769
|
|
1,841
|
|
|
FNMA 15YR 3.5% 9/01/2033
|
|
1,871
|
|
1,940
|
|
|
FNMA 15YR 4% 1/01/2029
|
|
804
|
|
844
|
|
|
FNMA 15YR 4% 11/01/2026
|
|
225
|
|
234
|
|
|
FNMA 15YR 4% 5/01/2027
|
|
10
|
|
10
|
|
|
FNMA 15YR 4% 7/01/2025
|
|
49
|
|
51
|
|
|
FNMA 15YR 4% 8/01/2026
|
|
50
|
|
52
|
|
|
FNMA 15YR 4% 9/01/2025
|
|
17
|
|
18
|
|
|
FNMA 15YR 4.5% 5/01/2024
|
|
100
|
|
104
|
|
|
FNMA 15YR 4.5% 6/01/2026
|
|
73
|
|
77
|
|
|
FNMA 15YR 5% 2/01/2023
|
|
41
|
|
42
|
|
|
FNMA 15YR 5% 3/01/2023
|
|
2
|
|
2
|
|
|
FNMA 15YR 5% 4/01/2024
|
|
29
|
|
30
|
|
|
FNMA 15YR 5.5% 4/01/2021
|
|
17
|
|
17
|
|
|
FNMA 15YR UMBS 3% 7/01/2034
|
|
5,202
|
|
5,332
|
|
|
FNMA 2.5% 4/13/2021
|
|
4,600
|
|
4,652
|
|
|
FNMA 6M LIBOR ARM 3.29% 12/01/2032
|
|
84
|
|
88
|
|
|
FNMA 6M LIBOR ARM 3.415% 11/01/2032
|
|
30
|
|
30
|
|
|
FNMA 6M LIBOR ARM 3.518% 4/01/2035
|
|
83
|
|
86
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
62
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
FNMA 6M LIBOR ARM 3.564% 3/01/2034
|
|
109
|
|
111
|
|
|
FNMA 6M LIBOR ARM 3.791% 9/01/2035
|
|
189
|
|
193
|
|
|
FNMA 7/1 HYBRID ARM 3.635% 1/01/2034
|
|
44
|
|
45
|
|
|
FNMA 7/1 HYBRID ARM 3.669% 1/01/2036
|
|
5
|
|
6
|
|
|
FNMA 7/1 HYBRID ARM 4.62% 3/01/2036
|
|
32
|
|
34
|
|
|
FNMA BENCHMARK NOTE 2% 1/05/2022
|
|
2,150
|
|
2,167
|
|
|
FNMA_03-W11 4.789611% 6/25/2033
|
|
1
|
|
1
|
|
|
TREASURY NOTE 1.625% 5/31/2023
|
|
14,750
|
|
14,751
|
|
|
TREASURY NOTE 2.125% 5/31/2026
|
|
105,050
|
|
107,159
|
|
|
US TII .125 04/15/2022 (T 0.125% 4/15/2022
|
|
14,550
|
|
15,376
|
|
|
Total U.S. Government and Agency Obligations
|
|
|
|
502,032
|
|
|
|
|
|
|
|
|
|
Common/Collective Trusts
|
|
|
|
|
|
*
|
COLUMBIA TRUST GOV MONEY
|
|
5,160
|
|
5,160
|
|
|
Total Common/Collective Trusts
|
|
|
|
5,160
|
|
|
|
|
|
|
|
|
|
Pooled Separate Accounts
|
|
|
|
|
|
*
|
MET LIFE SEPARATE ACCOUNT CONTRACT
|
|
627
|
|
69,277
|
|
|
|
|
|
|
|
|
|
Wrapper Contracts
|
|
|
|
|
|
|
AMERICAN UNITED LIFE - S00016, 2.440%
|
|
|
|
13
|
|
*
|
JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24%
|
|
|
|
9
|
|
|
|
|
|
|
|
|
|
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08%
|
|
|
|
10
|
|
|
PACIFIC LIFE - # 26755, MATURES 12/31/50, 4.00%
|
|
|
|
21
|
|
|
|
|
|
|
|
|
|
RBC I - #10903, MATURES 12/31/50, 4.02%
|
|
|
|
6
|
|
|
Total Wrapper Contracts
|
|
|
|
59
|
|
|
|
|
|
|
|
|
|
Total Fully Benefit Responsive Investment Contracts, at Fair Value
|
|
|
|
576,528
|
|
|
|
|
|
|
|
|
|
Adjustment from Fair Value to Contract Value
|
|
|
|
|
|
|
AMERICAN UNITED LIFE - S00016, 2.440%
|
|
|
|
(311)
|
|
|
*
|
JP MORGAN CHASE I - #AISP01, MATURES 12/31/50, 4.24%
|
|
|
|
(652)
|
|
|
|
LINCOLN NATIONAL LIFE
|
|
|
|
(381)
|
|
|
*
|
MET LIFE - #28972, MATURES 12/31/50, 3.98%
|
|
|
|
(353)
|
|
|
*
|
Met LIFE (SA)- #32745
|
|
|
|
(570)
|
|
|
|
MONUMENT LIFE V - #MDS00375TR, MATURES 12/31/50, 4.08%
|
|
|
|
(816)
|
|
|
|
PACIFIC LIFE - # 26755, MATURES 12/31/50, 4.00%
|
|
|
|
(417)
|
|
|
|
PRUDENTIAL GA63690
|
|
|
|
(99)
|
|
|
|
RBC I - #10903, MATURES 12/31/50, 4.02%
|
|
|
|
(514)
|
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
63
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Held At End of Year)
as of December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
(b) Identity of Issuer, Borrower, Lessor, or Similar Party
|
|
(c) Number of Shares/ Units or Face Amount (in thousands)
|
|
(e) Current Value (in thousands)
|
|
|
Total Adjustments
|
|
|
|
(4,113)
|
|
|
|
|
|
|
|
|
|
|
Total Fully Benefit Responsive Investment Contracts, at Contract Value
|
|
|
|
572,415
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS
|
|
|
|
6,045,146
|
|
|
|
|
|
|
|
|
|
Loans to Participants
|
|
|
|
|
|
*
|
Various Loans - 3.25% through 9.50% due through November 2049
|
|
|
|
|
|
|
Loans to Participants Total
|
|
|
|
84,655
|
* Indicates party-in-interest
Column (d) cost, has been omitted, as all investments are participant directed
64
EIN 13-4922250
Plan #: 002
AMERICAN EXPRESS RETIREMENT SAVINGS PLAN
Schedule H, Line 4i – Schedule of Assets (Acquired and Disposed of Within Year)
For the Year Ended December 31, 2019
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a) Identity of Issuer, Borrower, Lessor, or Similar Party
|
(b) Number of Shares/ Units or Face Amount
|
|
(c) Proceeds of dispositions
|
|
|
(in thousands)
|
|
(in thousands)
|
|
CORPORATE DEBT INSTRUMENTS
|
|
|
|
|
ANHEUSER-BUSCH INBEV 4.750% 1/23/29
|
120
|
|
136
|
|
APACHE CORP 5.350% 7/01/49
|
145
|
|
152
|
|
CELGENE CORP 3.900% 2/20/28
|
140
|
|
143
|
|
CELGENE CORP 5.000% 8/15/45
|
225
|
|
280
|
|
CSX CORP 3.350% 9/15/49
|
25
|
|
24
|
|
EXXON MOBIL CORPORAT 3.095% 8/16/49
|
270
|
|
271
|
|
EXXON MOBIL CORPORAT 2.995% 8/16/39
|
220
|
|
221
|
|
FIDELITY NATIONAL IN 4.750% 5/15/48
|
83
|
|
103
|
|
FIDELITY NATL INFO 3.750% 5/21/2
|
186
|
|
197
|
|
MERCK & CO INC 3.900% 3/07/39
|
220
|
|
247
|
|
TORONTO-DOMINION BAN 2.650% 6/12/24
|
185
|
|
189
|
|
US BANCORP 3.100% 4/27/26
|
100
|
|
104
|
|
VR BANK OF NY MELLON 2.661% 5/16/23
|
229
|
|
232
|
|
|
|
|
|
|
PRIVATE PLACEMENT BONDS
|
|
|
|
|
P/P AVOLON HOLDINGS 5.500% 1/15/23
|
180
|
|
192
|
|
P/P SUNCORP-METWAY 3.300% 4/15/24
|
200
|
|
205
|
|
P/P TAKEDA PHARMACEU 5.000% 11/26/28
|
200
|
|
222
|
|
P/P WALT DISNEY COMP 7.625% 11/30/28
|
200
|
|
236
|
65
Click here to enter text.
SIGNATURE
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the Employee Benefits Administration Committee has duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
AMERICAN EXPRESS RETIREMENT
SAVINGS PLAN
|
|
|
|
|
|
|
|
|
|
|
|
|
Date: June 22, 2020
|
|
By
|
/s/ Rita Pang
|
|
|
|
|
Rita Pang
|
|
|
|
|
Employee Benefits Administration Committee
|
EXHIBIT INDEX
|
|
|
|
|
|
|
|
|
|
|
Exhibit
Number
|
Description
|
How Filed
|
|
23
|
|
Electronically filed herewith
|
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