SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Amgen Inc – ‘11-K’ for 12/31/19

On:  Tuesday, 6/16/20, at 6:22pm ET   ·   As of:  6/17/20   ·   For:  12/31/19   ·   Accession #:  318154-20-36   ·   File #:  1-37702

Previous ‘11-K’:  ‘11-K’ on 6/17/20 for 12/31/19   ·   Next:  ‘11-K’ on 6/23/21 for 12/31/20   ·   Latest:  ‘11-K’ on 6/15/23 for 12/31/22

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size

 6/17/20  Amgen Inc                         11-K       12/31/19    2:1.2M

Annual Report by an Employee Stock Purchase, Savings or Similar Plan   —   Form 11-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 11-K        The Retirement and Savings Plan for Amgen           HTML    429K 
                Manufacturing, Limited                                           
 2: EX-23.1     Consent of Independent Registered Public            HTML      6K 
                Accounting Firm

‘11-K’   —   The Retirement and Savings Plan for Amgen Manufacturing, Limited
Document Table of Contents

Page (sequential)   (alphabetic) ↑Top
 
11st Page  –  Filing Submission
"Report of Independent Registered Public Accounting Firm
"Statements of Net Assets Available for Benefits at December 31, 2019 and 2018
"Statement of Changes in Net Assets Available for Benefits for the year ended December 31, 2019
"Notes to Financial Statements
"Schedule of Assets (Held at End of Year)
"Index to Exhibit
"Signatures

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 <!   C:   C: 
  Document  


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM 11-K
(Mark One)
 
ý
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2019
OR
 
 
¨
TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission file number 001-37702
THE RETIREMENT AND SAVINGS PLAN FOR
AMGEN MANUFACTURING, LIMITED
State Road 31, Kilometer 24.6, Juncos, Puerto Rico 00777
(Full title and address of the plan)
AMGEN INC.
(Name of issuer of the securities held)
 
 
 
 
One Amgen Center Drive,
 
91320-1799
Thousand Oaks, California
 
(Zip Code)
(Address of principal executive offices)
 
 






The Retirement and Savings Plan for
Amgen Manufacturing, Limited


Audited Financial Statements
and Supplemental Schedule
Year Ended December 31, 2019

Contents
 
 
 
Report of Independent Registered Public Accounting Firm
1
 
 
Audited Financial Statements:
 
 
 
Statements of Net Assets Available for Benefits at December 31, 2019 and 2018
2
Statement of Changes in Net Assets Available for Benefits for the year ended December 31, 2019
3
Notes to Financial Statements
4
 
 
Supplemental Schedule:
 
 
 
Schedule of Assets (Held at End of Year)
10
 
 
Index to Exhibit
23
Signatures
24




Report of Independent Registered Public Accounting Firm


To the Plan Participants and the Plan Administrator of The Retirement and Savings Plan for Amgen Manufacturing, Limited
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of The Retirement and Savings Plan for Amgen Manufacturing, Limited (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, and the related notes (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan at December 31, 2019 and 2018, and the changes in its net assets available for benefits for the year ended December 31, 2019, in conformity with U.S. generally accepted accounting principles.
Basis for Opinion
These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audits we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion.
Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
Supplemental Schedule
The accompanying supplemental schedule of assets (held at end of year) as of December 31, 2019, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The information in the supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the information, we evaluated whether such information, including its form and content, is presented in conformity with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the information is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ ERNST & YOUNG LLP
We have served as the Plan’s auditor since 1992.
Los Angeles, California
June 16, 2020

1


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Statements of Net Assets Available for Benefits



 
 
December 31,
 
 
2019
 
2018
Assets
 
 
 
 
Investments at fair value
 
$
527,261,698

 
$
407,898,859

Notes receivable from participants
 
15,872,871

 
14,040,310

Other – principally due from broker
 
494,029

 
470,827

Total assets
 
543,628,598

 
422,409,996

Liabilities
 
 
 
 
Other – principally due to broker
 
581,092

 
618,395

Total liabilities
 
581,092

 
618,395

Net assets available for benefits
 
$
543,047,506

 
$
421,791,601

See accompanying notes.

2


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Statement of Changes in Net Assets Available for Benefits



 
 
Year Ended December 31,
 
 
2019
Additions to (deductions from) net assets:
 
 
Employer contributions
 
$
15,576,832

Participant contributions
 
15,230,624

Rollover contributions
 
532,295

Interest and dividend income
 
4,992,030

Net realized/unrealized gains
 
95,270,354

Interest income on notes receivable from participants
 
747,783

Benefits paid
 
(10,418,189
)
Investment and administrative fees
 
(675,824
)
Net increase
 
121,255,905

Net assets available for benefits at beginning of year
 
421,791,601

Net assets available for benefits at end of year
 
$
543,047,506

See accompanying notes.

3


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements
December 31, 2019


1. Description of the Plan
The following description of The Retirement and Savings Plan for Amgen Manufacturing, Limited (the Plan) provides only general information. Participants should refer to the Plan document for a more complete description of the Plan’s provisions.
General
The Plan was established effective May 1, 1992, and was amended and restated effective January 1, 2017, and subsequently amended, with the most recent amendment adopted on December 12, 2019. The Plan is a defined contribution plan covering substantially all Puerto Rico resident employees of Amgen Manufacturing, Limited (the Company), a wholly owned subsidiary of Amgen Inc. (Amgen). The Plan is intended to qualify under Section 1081.01 of the Puerto Rico Internal Revenue Code of 2011, as amended (the PR Code) (see Note 4, Income Tax Status) and section 407(d)(3)(A) of the Employee Retirement Income Security Act of 1974 (ERISA).
Contributions
Subject to certain limitations (as defined in the Plan), participants may elect to contribute up to 30% of their eligible compensation in pre-tax contributions and after-tax contributions or a combination of these types of contributions. A participant’s pre-tax contributions are subject to PR Code and Plan limitations and could not exceed $15,000 in 2019. Participants may elect to contribute after-tax contributions beginning January 1 of the year following the year the participant was hired. Participant after-tax contributions are subject to PR Code and Plan limitations and could not exceed $1,500 in 2019. Unless an employee has voluntarily enrolled in the Plan or has declined to participate in the Plan within the first 30 days of employment, all newly eligible participants are automatically enrolled in the Plan, and contributions equal to 5% of their eligible compensation are withheld and contributed to the Plan as pre-tax contributions; such contributions are automatically increased by 1% per year until their contributions reach 10% of their eligible compensation. Participants may elect to adjust, cease or resume their contributions at any time.
Participants who are at least age 50 by the close of the Plan year may also elect to make certain additional pre-tax contributions, referred to as catch-up contributions, that are subject to PR Code and Plan limitations and could not exceed $1,500 in 2019. Participants may also contribute pre-tax and after-tax amounts representing distributions from certain other retirement plans qualified in Puerto Rico, referred to as rollover contributions (as defined in the Plan).
Each pay period, the Company makes a non-elective contribution for all eligible participants, whether or not they have elected to make contributions to the Plan, equal to 4% of each participant’s eligible compensation up to a maximum of $11,200 in 2019 (Core Contributions). In addition, the Company makes a contribution equal to amounts contributed by the participant as pre-tax contributions, including catch-up contributions, of up to 5% of eligible compensation (Matching Contributions). Matching Contributions could not exceed $14,000 in 2019.
Participants select the investments in which their contributions, including their Core Contributions and Matching Contributions (collectively, Company Contributions), are to be invested, electing among various alternatives, including Amgen common stock (Amgen stock). Participants may direct a maximum of 20% of contributions to be invested in Amgen stock. In addition, participants may transfer amounts among the investment options at any time, subject to certain limitations. Notwithstanding the foregoing, if 20% or more of the value of a participant’s Plan account is invested in Amgen stock, the Plan document provides that no transfers from other investment options can be made to invest in Amgen stock.
The accounts of participants who had never made an investment election are allocated to investments under a qualified default investment alternative, which is intended to be compliant with ERISA regulations. At any time, participants may elect to alter the investments in their accounts made under a qualified default investment alternative.

4


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)


Vesting
Participants are immediately vested with respect to their contributions and Matching Contributions and earnings and losses (hereafter referred to as earnings) thereon. Participants hired prior to January 1, 2020, are also immediately vested with respect to their Core Contributions and earnings thereon. Participants hired on or after January 1, 2020, vest in full with respect to their Core Contributions and earnings thereon after three years of service, as defined by the terms of the Plan, or upon reaching age 65 while employed by the Company, if earlier. If a participant ceases to be an employee before fully vesting in their account, the non-vested portion of the participant’s account will be treated as a forfeiture, as defined by the terms of the Plan, on the earlier of (i) the date the participant incurs a five-year break in service, as defined by the terms of the Plan or, (ii) the date the participant receives a distribution of the entire vested portion of their account.
Participant Accounts
Each participant’s account is credited with: (a) the participant’s contributions; (b) an allocation of Company Contributions; and (c) earnings. The benefit to which a participant is entitled is the benefit that can be provided from the participant’s account.
Plan Investments
Participants can invest in any of 16 different asset classes as well as Amgen stock or may actively manage their account under a self-directed brokerage arrangement in which a wider array of investment options are available. The value of an investment in an asset class is determined by its underlying investment vehicles, which may include one or more of the following: mutual funds, collective trust funds and portfolios, which are separately managed exclusively for the benefit of Plan participants and their beneficiaries (separately managed portfolios). The separately managed portfolios are composed primarily of investments in publicly traded common and preferred stocks. The asset classes are designed to provide participants with choices among a variety of investment objectives.
Payments of Benefits
Subject to Plan limitations, upon termination of employment, including termination due to disability (as defined in the Plan) or retirement, a participant may elect to receive a full or partial distribution of his or her account balance in: (a) a single payment in cash; (b) a single distribution in full shares of Amgen stock (with any fractional shares paid in cash); (c) a single distribution paid in a combination of cash and full shares of Amgen stock; or (d) a rollover distribution to an eligible retirement plan.
Participants may also elect to maintain their account balance in the Plan subsequent to termination of employment, provided that their account balance is greater than $1,000.
If a participant dies before receiving the value of his or her account balance, the participant’s beneficiary may elect to receive the distribution of remaining funds from among the alternatives described above, subject to certain Plan limitations.
Certain restrictions apply to withdrawals from the Plan while a participant continues to be employed by the Company.
Notes Receivable from Participants
Subject to certain restrictions, a participant can have up to two loans outstanding at any one time from his or her Plan account with a combined maximum loan amount that may not exceed the lesser of: (a) 50% of the participant’s account balance or (b) $50,000 less certain adjustments, as applicable (as defined in the Plan). A participant’s loan is secured by his or her Plan account balance. Loans made prior to January 1, 2006, bear interest at fixed rates based on the average borrowing rates of certain major banks. Loans made on or after January 1, 2006, bear interest at fixed rates which, until changed by the Company, are based on the prime rate plus one percentage point as published in The Wall Street Journal, determined as of the last day of the calendar quarter preceding origination or such other rate as may be required by law. Loans are generally payable in installments over periods ranging from one to five years, unless the loan is used to acquire a principal residence for which the term of the loan may be up to 20 years. Principal and interest payments are allocated to the participant’s account.
Plan Termination
Although it has not expressed any intent to do so, the Company has the right under the Plan to terminate the Plan subject to the provisions of ERISA. Upon termination, participants would receive distributions of their account balances.

5


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)


Trustee and Custodians
Banco Popular de Puerto Rico is the Plan’s trustee. Bank of America, N.A.is the Plan’s trustee with respect to self-directed brokerage arrangement and the Amgen common stock fund. Merrill Lynch, Pierce, Fenner and Smith, Inc.is the Plan’s custodian with respect to the self-directed brokerage arrangement and the Amgen Common Stock fund. Northern Trust Company, NA (Northern) is the Plan’s custodian with respect to the asset classes.
2. Summary of Significant Accounting Policies
Basis of Accounting
The accompanying financial statements are prepared on the accrual basis of accounting.
Fair Value Measurement
The investments of the Plan are reported at fair value. Fair value is generally defined as the price that would be received to sell an asset or paid to transfer a liability (the exit price) in an orderly transaction between market participants at the measurement date (see Note 3, Fair Value Measurements).
Investment Income and Losses
Dividend income is recognized on the ex-dividend date, and interest income is recorded on an accrual basis. Unrealized gains and losses on investments are measured by the change in the difference between the fair value and cost of the securities held at the beginning of the year (or date purchased if acquired during the Plan year) and the end of the year. Realized gains and losses from security transactions are recorded based on the weighted-average cost of securities sold.
Notes Receivable from Participants
Notes receivable from participants are carried at their unpaid balance plus accrued but unpaid interest, as applicable.
Due from/to Brokers
Purchases and sales of investments are recorded on a trade-date basis. Amounts due from and due to brokers arise from unsettled sale and purchase transactions, respectively.
Use of Estimates
The preparation of financial statements in conformity with U.S. generally accepted accounting principles (GAAP) requires management to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Actual results could differ from those estimates.
Recently issued accounting pronouncement
In July 2018, the Financial Accounting Standards Board issued a new accounting standard that amended the fair value hierarchy disclosure to indicate that certain types of investments, including collective trust funds, should not always be considered to be eligible to use the net asset value per unit as a practical expedient. Furthermore, this standard clarifies that an evaluation should be made of whether a readily determinable fair value exists for such investments or whether the investments qualify for measurement at the practical expedient. The Plan prospectively adopted this standard on January 1, 2019, which resulted in discontinuing the use of the practical expedient for determining the fair values of the Plan’s investments in collective trust funds. Accordingly, the aggregate fair value of such investments was moved from its location as a reconciling item of the fair value hierarchy table to a line item within this table with an assigned fair value measurement level. See Note 3, Fair Value Measurements.

6


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)


3. Fair Value Measurements
The Plan uses various valuation approaches in determining the fair value of investments within a hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by requiring that observable inputs be used when available. Observable inputs are inputs that market participants would use in pricing the investment based on market data obtained from independent sources. Unobservable inputs are inputs that reflect assumptions about the inputs that market participants would use in pricing the investment and are developed based on the best information available in the circumstances. The fair value hierarchy is divided into three levels based on the source of inputs as follows:
Level 1 – Valuations based on unadjusted quoted prices in active markets for identical investments that the Plan has the ability to access;
Level 2 – Valuations for which all significant inputs are observable, either directly or indirectly, other than Level 1 inputs;
Level 3 – Valuations based on inputs that are unobservable and significant to the overall fair value measurement.
The availability of observable inputs can vary among the various types of investments. To the extent that the valuation is based on models or inputs that are less observable or unobservable in the market, the determination of fair value requires more judgment. In certain cases, the inputs used for measuring fair value may fall into different levels of the fair value hierarchy. In such cases, for financial statement disclosure purposes, the level in the fair value hierarchy within which the fair value measurement is categorized is based on the lowest level of input used that is significant to the overall fair value measurement.
The following fair value hierarchy tables present information about each major class/category of the Plan’s investments measured at fair value:
 
 
Fair value measurements at December 31, 2019, using
 
 
Quoted prices
in active
markets for
identical
assets
(Level 1)
 
Significant
other
observable
inputs
(Level 2)
 
Significant
unobservable
inputs
(Level 3)
 
Total
Amgen stock
 
$
103,512,169

 
$
—

 
$
—

 
$
103,512,169

Cash and cash equivalents
 
1,116,538

 
—

 
—

 
1,116,538

Collective trust funds
 
—

 
305,516,006

 
—

 
305,516,006

Common and preferred stock
 
91,588,716

 
329,692

 
—

 
91,918,408

Mutual funds
 
22,607,250

 
—

 
—

 
22,607,250

Self-directed brokerage accounts
 
2,591,327

 
—

 
—

 
2,591,327

 
 
$
221,416,000

 
$
305,845,698

 
$
—

 
$
527,261,698


7


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)


 
 
 
Fair value measurements at December 31, 2018, using
 
 
Quoted prices
in  active
markets  for
identical
assets
(Level 1)
 
Significant
other
observable
inputs
(Level 2)
 
Significant
unobservable
inputs
(Level 3)
 
Total
Amgen stock
 
$
83,047,933

 
$
—

 
$
—

 
$
83,047,933

Common and preferred stocks
 
68,895,253

 
—

 
—

 
68,895,253

Mutual funds
 
36,118,321

 
—

 
—

 
36,118,321

Self-directed brokerage accounts
 
2,145,935

 
—

 
—

 
2,145,935

Other
 
722

 
—

 
—

 
722

 
 
$
190,208,164

 
$
—

 
$
—

 
$
190,208,164

Collective trust funds measured at net asset value
 
 
 
 
 
 
 
217,690,695

Total investments measured at fair value
 
 
 
 
 
 
 
$
407,898,859

The fair values of substantially all common stocks (including Amgen stock), preferred stocks, mutual funds and underlying investments of self-directed brokerage accounts are valued using quoted market prices in active markets with no valuation adjustment.
Collective trust funds represent interests in pooled investment vehicles designed typically for collective investment of employee benefit trusts. The fair values of these investments are determined by reference to the net asset value per unit provided by the fund managers as the basis for current transactions. The only redemption restriction with respect to these investments is on the Wells Fargo Stable Value Fund W (fair value of $36,097,165 and $29,528,317 as of December 31, 2019 and 2018, respectively), which requires a one-year notice to be given in the event of complete liquidation.
4. Income Tax Status
The Plan received an opinion letter from the Puerto Rico Treasury Department (PRTD) dated February 26, 2018, with an effective date of January 1, 2017, stating that the Plan meets the requirements of Section 1081.01 of the PR Code and the regulations thereunder, and, therefore the related trust forming part of the Plan is exempt from taxation. Subsequently, three amendments were made to the Plan, and the Plan received a letter from the PRTD dated October 30, 2018 and August 8, 2019, stating the PRTD has no objection to these amendments. Subsequent to these letters, the Plan was amended again. Once qualified, the Plan is required to operate in conformity with the PR Code to maintain its qualification.
For taxable year 2019, the Company believes the Plan satisfied, and operated in compliance with, the applicable requirements of the PR Code and therefore believes that the Plan, as amended, is qualified and the related trust is tax exempt.
5. Party-in-Interest Transactions
Parties-in-Interest are certain entities defined under Department of Labor regulations, including Amgen, and other parties that provide services to the Plan, such as the trustees, custodians and investment managers. The Plan pays the custodians certain administrative and investment management fees, and the Company pays certain administrative fees on behalf of the Plan. The Plan makes investments in collective trust funds managed by Northern, certain of the Plan’s investment managers and other third parties and may invest in securities of entities that are parties-in-interest. The Plan also invests in shares of common stock of Amgen and receives dividends on those shares. Notes receivable from participants are also considered party-in-interest transactions.

8


The Retirement and Savings Plan for Amgen Manufacturing, Limited
Notes to Financial Statements (continued)


6. Reconciliation of Financial Statements to Form 5500
The reconciliation of net assets available for benefits per the financial statements to the Form 5500 consisted of the following:
 
 
December 31,
 
 
2019
 
2018
Net assets available for benefits per the financial statements
 
$
543,047,506

 
$
421,791,601

Amounts allocated to withdrawing participants
 
(24,938
)
 
—

Deemed loans
 
(485,301
)
 
(481,033
)
Net assets per the Form 5500
 
$
542,537,267

 
$
421,310,568

The following is a reconciliation of distributions per the financial statements to the Form 5500:
 
 
Year Ended
December 31,
2019
Benefits paid
 
$
(10,418,189
)
Investment and administrative fees
 
(675,824
)
Total distributions per the financial statements
 
(11,094,013
)
Amounts allocated to withdrawing participants at December 31, 2019
 
(24,938
)
Deemed loans at December 31, 2018
 
481,033

Deemed loans at December 31, 2019
 
(485,301
)
Total distributions per the Form 5500
 
$
(11,123,219
)

9


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Supplemental Schedule
The Retirement and Savings Plan for Amgen Manufacturing, Limited
EIN: 98-0210484 Plan: #001
As of December 31, 2019
Schedule H, line 4i – Schedule of Assets (Held at End of Year)
Identity of Issue
 
Description of Investment
 
Current Value
Amgen Stock*
 
Employer Securities 429,387 shares
 
$
103,512,169

 
 
 
 
 
 
 
$
103,512,169

Capital Preservation Asset Class:
 
 
 
 
 
 
Wells Fargo Stable Value Fund W*
 
Collective Trust Fund 630,818 units
 
36,097,165

 
 
NT Collective Short Term Investment Fund*
 
Collective Trust Fund 2,824,684 units
 
2,824,684

 
Total Capital Preservation Asset Class
 
 
 
 
38,921,849

 
 
 
 
 
 
 
Emerging Markets Equity Asset Class:
 
 
 
 
 
 
J.P. Morgan Emerging Markets Equity Focus Fund*
 
Collective Trust Fund 164,907 units
 
4,340,358

 
 
Blackrock FTSE RAFI Emerging Index Non Lendable Fund F*
 
Collective Trust Fund 291,747 units
 
4,148,291

 
 
NT Collective Emerging Markets Fund / Non Lending*
 
Collective Trust Fund 2,887 units
 
563,583

 
Total Emerging Markets Equity Asset Class
 
 
 
 
9,052,232

 
 
 
 
 
 
 
Fixed Income Asset Class:
 
 
 
 
 
 
Metlife Core Plus Collective Fund*
 
Collective Trust Fund 1,066,560 units
 
10,697,593

 
 
Wellington Core Bond Plus Portfolio Collective Investment Trust II*
 
Collective Trust Fund 838,989 units
 
10,697,109

 
 
Northern Trust Global Investments Collective Daily Aggregate Bond Index Fund Non Lending*
 
Collective Trust Fund 27,252 units
 
4,161,927


 
Putnam Absolute Return Fixed Income Fund*
 
Collective Trust Fund 40,209 units
 
3,065,549

 
 
Schroder Global Strategic Bond Trust Class W*
 
Collective Trust Fund 300,821 units
 
3,065,362

 
 
Interest Bearing Cash
 
Cash and Cash Equivalents 44 units
 
44

 
Total Fixed Income Asset Class
 
 
 
 
31,687,584

 
 
 
 
 
 
 
Fixed Income Index Asset Class:
 
 
 
 
 
 
NT Collective Aggregate Bond Index Fund / Non Lending*
 
Collective Trust Fund 71,005 units
 
10,843,819

 
Total Fixed Income Index Asset Class
 
 
 
 
10,843,819

 
 
 
 
 
 
 
High Yield Asset Class:
 
 
 
 

 
Mackay Shields High Yield Bond CIT (Fund Code-2196)*
 
Collective Trust Fund 486,865 units
 
5,754,749

 
 
Blackrock Funds V High Yield Bond Portfolio Class K
 
Mutual Fund 738,118 units
 
5,742,560

 
Total High Yield Asset Class
 
 
 
 
11,497,309

 
 
 
 
 

Inflation Protection Asset Class:
 
 
 
 
 
 
NT Collective Treasury Inflation/Protected Securities Index Fund / Non Lending*
 
Collective Trust Fund 58,147 units
 
8,809,917

 
Total Inflation Protection Asset Class
 
 
 
 
8,809,917


10


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
 
 
 
 
 
 
International Growth Asset Class:
 
 
 
 
 
 
Artisan International Fund*
 
Collective Trust Fund 260,307 units
 
7,168,846


 
Reliance Trust Instituitional Retirement Trust GQG Partners International Equity Fund Series 11 Class C*
 
Collective Trust Fund 662,794 units
 
7,045,499

 
 
NT Collective EAFE Index Fund / Non Lending*
 
Collective Trust Fund 2,163 units
 
1,778,350

 
 
Interest Bearing Cash
 
Cash and Cash Equivalents 31 units
 
31

 
Total International Growth Asset Class
 
 
 
 
15,992,726

 
 
 
 
 
 
 
International Index Asset Class:
 
 
 
 
 
 
NT Collective All Country World Index (ACWI) Ex/US Fund / Non Lending*
 
Collective Trust Fund 134,757 units
 
22,472,134

 
Total International Index Asset Class
 
 
 
 
22,472,134

 
 
 
 
 
 
 
International Value Asset Class:
 
 
 
 

 
Altrinsic International Equity Fund Class C*
 
Collective Trust Fund 390,069 units
 
5,141,183

 
 
Dodge & Cox International Fund
 
Mutual Fund 116,612 units
 
5,084,285

 
 
NT Collective EAFE Index Fund / Non Lending*
 
Collective Trust Fund 2,163 units
 
746,455

 
 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 1,033 units
 
1,033

 
Total International Value Asset Class
 
 
 
 
10,972,956

 
 
 
 
 
 
 
Large Cap Growth Asset Class:
 
 
 
 
 
 
Northern Trust Global Investments Collective Daily Russell 1000 Growth Index Fund - Non Lending*
 
Collective Trust Fund 4,460 units
 
2,467,109

 
 
Visa Inc. Class A
 
Common and Preferred Stock 13,071 shares
 
2,456,041

 
 
Amazon Inc.
 
Common and Preferred Stock 1,272 shares
 
2,350,452

 
 
Salesforce.com Inc.
 
Common and Preferred Stock 7,042 shares
 
1,843,524

 
 
Microsoft Corporation
 
Common and Preferred Stock 11,603 shares
 
1,829,793

 
 
Intuit Inc.
 
Common and Preferred Stock 3,235 shares
 
1,591,225

 
 
Facebook Inc.
 
Common and Preferred Stock 6,843 shares
 
1,404,526

 
 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 1,299,539 units
 
1,299,539

 
 
ServiceNow Inc.
 
Common and Preferred Stock 4,237 shares
 
1,196,190

 
 
UnitedHealth Group Inc.
 
Common and Preferred Stock 4,055 shares
 
1,192,089

 
 
Yum! Brands Inc.
 
Common and Preferred Stock 11,204 shares
 
1,128,579

 
 
Illumina, Inc.
 
Common and Preferred Stock 1,658 shares
 
1,065,881

 
 
Paypal Holdings Inc.
 
Common and Preferred Stock 9,347 shares
 
1,011,065

 
 
Autodesk Inc.
 
Common and Preferred Stock 5,451 shares
 
1,000,040

 
 
Abbott Laboratories
 
Common and Preferred Stock 11,303 shares
 
981,779

 
 
Alphabet Inc. Class C
 
Common and Preferred Stock 731 shares
 
977,362

 
 
Nike Inc. Class B
 
Common and Preferred Stock 9,537 shares
 
966,193

 
 
Mondelez International Inc.
 
Common and Preferred Stock 17,287 shares
 
952,168

 
 
Adobe Systems Inc.
 
Common and Preferred Stock 2,827 shares
 
932,373

 

11


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Workday Inc. Class A
 
Common and Preferred Stock 3,758 shares
 
867,967

 
 
Match Group Inc.
 
Common and Preferred Stock 10,437 shares
 
856,982

 
 
Equinix Inc.
 
Common and Preferred Stock 1,460 shares
 
852,202

 
 
Alphabet Inc. Class A
 
Common and Preferred Stock 625 shares
 
837,119

 
 
TJX Companies Inc.
 
Common and Preferred Stock 12,930 shares
 
789,506

 
 
Ecolab, Inc.
 
Common and Preferred Stock 4,000 shares
 
771,960

 
 
Becton, Dickinson and Company
 
Common and Preferred Stock 2,799 shares
 
761,244

 
 
Netflix, Inc.
 
Common and Preferred Stock 2,297 shares
 
743,240

 
 
Danaher Corporation
 
Common and Preferred Stock 4,835 shares
 
742,076

 
 
Booking Holdings Inc.
 
Common and Preferred Stock 349 shares
 
716,752

 
 
FleetCor Technologies Inc.
 
Common and Preferred Stock 2,449 shares
 
704,627

 
 
Alibaba Group Holding Limited
 
Common and Preferred Stock 3,279 shares
 
695,476

 
 
Costar Group Inc.
 
Common and Preferred Stock 1,147 shares
 
686,250

 
 
Automatic Data Processing, Inc.
 
Common and Preferred Stock 3,604 shares
 
614,482

 
 
Regeneron Pharmaceuticals, Inc.
 
Common and Preferred Stock 1,599 shares
 
600,393

 
 
Edwards Lifesciences Corporation
 
Common and Preferred Stock 2,511 shares
 
585,791

 
 
Zoetis Inc. Class A
 
Common and Preferred Stock 4,256 shares
 
563,282

 
 
IHS Markit Limited
 
Common and Preferred Stock 7,015 shares
 
528,580

 
 
Linde PLC
 
Common and Preferred Stock 2,436 shares
 
518,624

 
 
Ulta Salon Cosmetics & Fragrance Inc.
 
Common and Preferred Stock 2,035 shares
 
515,140

 
 
Novo Nordisk A/S
 
Common and Preferred Stock 8,682 shares
 
502,514

 
 
Estee Lauder Companies Inc. Class A
 
Common and Preferred Stock 2,148 shares
 
443,648

 
 
Texas Instruments Inc.
 
Common and Preferred Stock 3,059 shares
 
392,439

 
 
Monster Beverage Corp
 
Common and Preferred Stock 6,011 shares
 
381,999

 
 
Align Technology Inc.
 
Common and Preferred Stock 1,291 shares
 
360,241

 
 
Floor & Decor Holdings Inc.
 
Common and Preferred Stock 6,675 shares
 
339,157

 
 
Activision Blizzard Inc.
 
Common and Preferred Stock 4,372 shares
 
259,784

 
 
Sarepta Therapeutics Inc.
 
Common and Preferred Stock 1,926 shares
 
248,531

 
 
Mirati Therapeutics Inc.
 
Common and Preferred Stock 1,567 shares
 
201,924

 
 
Atlassian Corporation PLC Class A
 
Common and Preferred Stock 1,565 shares
 
188,332

 
 
Twilio Inc. Class A
 
Common and Preferred Stock 1,645 shares
 
161,671

 
 
Abiomed Inc.
 
Common and Preferred Stock 843 shares
 
143,807

 
 
Sea Limited
 
Common and Preferred Stock 2,185 shares
 
87,881

 
Total Large Cap Growth Asset Class:
 
 
 
 
44,309,549

 
 
 
 
 
 
 
Large Cap Index Asset Class:
 
 
 
 
 
 
NT Collective S&P 500 Index Fund – Non Lending*
 
Collective Trust Fund 9,934 units
 
114,337,374

 
Total Large Cap Index Asset Class
 
 
 
 
114,337,374

 
 
 
 
 
 
 
Large Cap Value Asset Class:
 
 
 
 
 
 
Northern Trust Collective Russell 1000 Value Index Fund - Non Lending*
 
Collective Trust Fund 1,978 units
 
829,341

 
 
Alphabet Inc.
 
Common and Preferred Stock 471 shares
 
629,736

 
 
Microsoft Corporation
 
Common and Preferred Stock 3,432 shares
 
541,226

 
 
National Oilwell Varco, Inc.
 
Common and Preferred Stock 19,500 shares
 
490,730

 
 
Skyworks Solutions Inc
 
Common and Preferred Stock 3,927 shares
 
474,696

 

12


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Qorvo, Inc.
 
Common and Preferred Stock 4,075 shares
 
473,637

 
 
Airbus SE
 
Common and Preferred Stock 3,007 shares
 
440,417

 
 
CVS Health Corporation
 
Common and Preferred Stock 5,619 shares
 
417,436

 
 
KKR & Company Inc. Class A
 
Common and Preferred Stock 13,444 shares
 
392,161

 
 
Anthem Inc.
 
Common and Preferred Stock 1,289 shares
 
389,317

 
 
Amazon Inc.
 
Common and Preferred Stock 179 shares
 
330,763

 
 
Facebook Inc. Class A
 
Common and Preferred Stock 1,588 shares
 
325,937

 
 
Booking Holdings Inc.
 
Common and Preferred Stock 157 shares
 
322,436

 
 
Mastercard Inc. Class A
 
Common and Preferred Stock 1,062 shares
 
317,103

 
 
Swiss Re AG
 
Common and Preferred Stock 2,820 shares
 
316,553

 
 
Hilton Worldwide Holdings Inc.
 
Common and Preferred Stock 2,840 shares
 
314,984

 
 
Marriott International Inc. Class A
 
Common and Preferred Stock 1,990 shares
 
301,346

 
 
Interest Bearing Cash
 
Cash and Cash Equivalents 297,189 units
 
297,189

 
 
Wells Fargo & Company*
 
Common and Preferred Stock 5,400 shares
 
290,520

 
 
The Charles Schwab Corporation
 
Common and Preferred Stock 6,050 shares
 
287,738

 
 
Nvidia Corporation
 
Common and Preferred Stock 1,220 shares
 
287,066

 
 
Visa Inc. Class A
 
Common and Preferred Stock 1,514 shares
 
284,481

 
 
Capital One Financial Corporation
 
Common and Preferred Stock 2,550 shares
 
262,421

 
 
Bank of America Corporation*
 
Common and Preferred Stock 7,000 shares
 
246,540


 
McKesson Corporation
 
Common and Preferred Stock 1,764 shares
 
243,996

 
 
Charter Communications, Inc. Class A
 
Common and Preferred Stock 500 shares
 
242,540

 
 
FedEx Corporation
 
Common and Preferred Stock 1,600 shares
 
241,936

 
 
Comcast Corporation Class A
 
Common and Preferred Stock 5,100 shares
 
229,347

 
 
Cigna Corporation
 
Common and Preferred Stock 1,101 shares
 
225,143


 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 212,180 units
 
212,180

 
 
Occidental Petroleum Corporation
 
Common and Preferred Stock 5,100 shares
 
210,171

 
 
AmerisourceBergen Corp.
 
Common and Preferred Stock 2,447 shares
 
208,044

 
 
Bristol-Myers Squibb Company
 
Common and Preferred Stock 3,200 shares
 
205,408

 
 
Sanofi-Aventis
 
Common and Preferred Stock 4,050 shares
 
203,310

 
 
Everest Re Group Ltd
 
Common and Preferred Stock 732 shares
 
202,647

 
 
Oracle Corporation
 
Common and Preferred Stock 3,747 shares
 
198,516

 
 
United Parcel Service Inc. Class B
 
Common and Preferred Stock 1,528 shares
 
178,868

 
 
UnitedHealth Group Inc.
 
Common and Preferred Stock 575 shares
 
169,039

 
 
Brookfield Asset Management Inc. Voting Shares Class A
 
Common and Preferred Stock 2,914 shares
 
168,429

 
 
Roche Holdings Limited
 
Common and Preferred Stock 4,100 shares
 
166,706

 
 
The Goldman Sachs Group Inc.
 
Common and Preferred Stock 725 shares
 
166,699

 
 
United Technologies Corporation
 
Common and Preferred Stock 1,100 shares
 
164,736

 
 
Microchip Technology Inc.
 
Common and Preferred Stock 1,550 shares
 
162,316

 
 
Novartis AG
 
Common and Preferred Stock 1,700 shares
 
160,973

 
 
S&P Global Inc.
 
Common and Preferred Stock 583 shares
 
159,188

 
 
MetLife Inc.*
 
Common and Preferred Stock 3,100 shares
 
158,007

 
 
HP Inc.
 
Common and Preferred Stock 7,600 shares
 
156,180

 
 
Johnson Controls International PLC
 
Common and Preferred Stock 3,793 shares
 
154,413

 
 
Bank of New York Mellon Corporation
 
Common and Preferred Stock 3,000 shares
 
150,990

 
 
Glaxosmithkline PLC
 
Common and Preferred Stock 3,150 shares
 
148,019

 

13


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
JP Morgan Chase & Company*
 
Common and Preferred Stock 950 shares
 
132,430

 
 
AstraZeneca PLC
 
Common and Preferred Stock 2,600 shares
 
129,636

 
 
Hewlett Packard Enterprise Company
 
Common and Preferred Stock 7,600 shares
 
120,536

 
 
TE Connectivity Limited
 
Common and Preferred Stock 1,250 shares
 
119,800

 
 
Baker Hughes
 
Common and Preferred Stock 4,600 shares
 
117,898

 
 
American Express Company
 
Common and Preferred Stock 900 shares
 
112,041

 
 
Truist Financial Corporation
 
Common and Preferred Stock 1,850 shares
 
104,192

 
 
Schlumberger Limited
 
Common and Preferred Stock 2,450 shares
 
98,490

 
 
Credit Acceptance Corporation
 
Common and Preferred Stock 191 shares
 
84,485

 
 
Celanese Corporation
 
Common and Preferred Stock 650 shares
 
80,028

 
 
Halliburton Company
 
Common and Preferred Stock 3,100 shares
 
75,857

 
 
Molson Coors Brewing Company Class B
 
Common and Preferred Stock 1,400 shares
 
75,460

 
 
Gilead Sciences Inc.
 
Common and Preferred Stock 1,150 shares
 
74,727

 
 
Dell Technologies Inc. Class C
 
Common and Preferred Stock 1,450 shares
 
74,516

 
 
Eli Lilly & Company
 
Common and Preferred Stock 550 shares
 
72,287

 
 
Juniper Networks, Inc.
 
Common and Preferred Stock 2,900 shares
 
71,427

 
 
Apache Corporation
 
Common and Preferred Stock 2,700 shares
 
69,093

 
 
Cognizant Technology Solutions Corporation Class A
 
Common and Preferred Stock 1,100 shares
 
68,222

 
 
Dish Network Corporation Class A
 
Common and Preferred Stock 1,900 shares
 
67,393

 
 
Hess Corporation LLC
 
Common and Preferred Stock 1,000 shares
 
66,810

 
 
Concho Resources Inc.
 
Common and Preferred Stock 750 shares
 
65,678

 
 
Cisco Systems Inc.
 
Common and Preferred Stock 1,300 shares
 
62,348

 
 
Fox Corporation Class A
 
Common and Preferred Stock 1,550 shares
 
57,459

 
 
Medtronic PLC
 
Common and Preferred Stock 400 shares
 
45,380

 
 
Alnylam Pharmaceuticals, Inc.
 
Common and Preferred Stock 350 shares
 
40,310

 
 
State Street Corporation
 
Common and Preferred Stock 500 shares
 
39,550

 
 
Mattel Inc.
 
Common and Preferred Stock 2,500 shares
 
33,875

 
 
Maxim Integrated Products Inc.
 
Common and Preferred Stock 550 shares
 
33,831

 
 
Biomarin Pharmaceutical Inc.
 
Common and Preferred Stock 400 shares
 
33,820

 
 
The Gap Inc.
 
Common and Preferred Stock 1,700 shares
 
30,056

 
 
Fox Corporation Class B
 
Common and Preferred Stock 766 shares
 
27,882

 
 
Micro Focus International PLC
 
Common and Preferred Stock 1,981 shares
 
27,793

 
 
Brighthouse Financial Inc.
 
Common and Preferred Stock 700 shares
 
27,461

 
 
Sprint Corporation
 
Common and Preferred Stock 5,024 shares
 
26,175

 
 
Qurate Retail Inc.
 
Common and Preferred Stock 3,100 shares
 
26,133

 
 
Aegon N.V.
 
Common and Preferred Stock 5,700 shares
 
25,821

 
 
Harley/Davidson Motor Company
 
Common and Preferred Stock 550 shares
 
20,455

 
 
Incyte Corporation
 
Common and Preferred Stock 200 shares
 
17,464

 
 
News Corporation Class A
 
Common and Preferred Stock 700 shares
 
9,898

 
Total Large Cap Value Asset Class
 
 
 
 
16,618,292

 
 
 
 
 
 
 
Participant Self-Directed Accounts
 
Various Investments
 
2,591,327

 
 
 
 
 
 
 
2,591,327

Real Estate Index Asset Class:
 
 
 
 
 
 
Vanguard Real Estate Index Fund Institutional Shares
 
Mutual Fund 578,321 units
 
11,780,405

 

14


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
NT Collective Global Real Estate Index Fund - Non Lending*
 
Collective Trust Fund 4,931 units
 
1,165,380

 
Total Real Estate Index Asset Class
 
 
 
 
12,945,785

 
 
 
 
 
 
 
Small-Mid Cap Growth Asset Class:
 
 
 
 
 
 
Northern Trust Global Investment Russell 2000 Growth Index Fund - Non Lending*
 
Collective Trust Fund 935 units
 
373,754

 
 
Interest Bearing Cash
 
Cash and Cash Equivalents 352,866 units
 
352,866

 
 
Clean Harbors Inc.
 
Common and Preferred Stock 2,523 shares
 
216,347

 
 
Dexcom Inc.
 
Common and Preferred Stock 796 shares
 
174,117

 
 
Logmein Inc.
 
Common and Preferred Stock 1,847 shares
 
158,362

 
 
RingCentral, Inc. Class A
 
Common and Preferred Stock 905 shares
 
152,646

 
 
On Semiconductor Corporation
 
Common and Preferred Stock 5,689 shares
 
138,698

 
 
Hanesbrands Inc.
 
Common and Preferred Stock 8,078 shares
 
119,958

 
 
Sally Beauty Holdings Inc.
 
Common and Preferred Stock 6,454 shares
 
117,786

 
 
Inspire Medical Systems Inc.
 
Common and Preferred Stock 1,564 shares
 
116,064

 
 
Skechers USA Inc. Class A
 
Common and Preferred Stock 2,685 shares
 
115,965

 
 
SBV Financial Group
 
Common and Preferred Stock 450 shares
 
112,968

 
 
Crown Holdings Inc.
 
Common and Preferred Stock 1,543 shares
 
111,929

 
 
Burlington Stores Inc.
 
Common and Preferred Stock 458 shares
 
104,438

 
 
Sensata Technologies BV Holding
 
Common and Preferred Stock 1,936 shares
 
104,292

 
 
J2 Global Inc.
 
Common and Preferred Stock 1,096 shares
 
102,706

 
 
Keysight Technologies Inc.
 
Common and Preferred Stock 990 shares
 
101,604

 
 
Exact Sciences Corporation
 
Common and Preferred Stock 1,057 shares
 
97,751

 
 
CONMED Corporation
 
Common and Preferred Stock 851 shares
 
95,167

 
 
Masco Corporation
 
Common and Preferred Stock 1,966 shares
 
94,348

 
 
Q2 Holdings Inc.
 
Common and Preferred Stock 1,150 shares
 
93,242

 
 
Kansas City Southern
 
Common and Preferred Stock 607 shares
 
92,968

 
 
Trinet Group Inc.
 
Common and Preferred Stock 1,610 shares
 
91,142

 
 
Tandem Diabetes Care Inc.
 
Common and Preferred Stock 1,497 shares
 
89,236


 
Five9 Inc.
 
Common and Preferred Stock 1,289 shares
 
84,533

 
 
Pinnacle Financial Partners
 
Common and Preferred Stock 1,304 shares
 
83,456

 
 
Rapid7 Inc.
 
Common and Preferred Stock 1,488 shares
 
83,358


 
TransUnion
 
Common and Preferred Stock 965 shares
 
82,614

 
 
Horizon Therapeutics PLC
 
Common and Preferred Stock 2,276 shares
 
82,391

 
 
STERIS plc
 
Common and Preferred Stock 535 shares
 
81,545

 
 
CarMax Inc.
 
Common and Preferred Stock 930 shares
 
81,533

 
 
AAR Corporation
 
Common and Preferred Stock 1,736 shares
 
78,294


 
Cinemark Holdings Inc.
 
Common and Preferred Stock 2,295 shares
 
77,686

 
 
ABM Industrials Inc.
 
Common and Preferred Stock 2,056 shares
 
77,532

 
 
SS&C Technologies Holdings Inc.
 
Common and Preferred Stock 1,245 shares
 
76,443

 
 
Nuance Communications Inc.
 
Common and Preferred Stock 4,243 shares
 
75,653

 
 
Solarwinds Corporation
 
Common and Preferred Stock 4,077 shares
 
75,628

 
 
Mednax Inc.
 
Common and Preferred Stock 2,718 shares
 
75,533

 
 
Everbridge Inc.
 
Common and Preferred Stock 925 shares
 
72,224

 
 
Tyler Technologies Inc.
 
Common and Preferred Stock 240 shares
 
72,005

 
 
Ritchie Bros Auctioneers Inc.
 
Common and Preferred Stock 1,664 shares
 
71,469

 

15


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Biotelemetry Inc.
 
Common and Preferred Stock 1,534 shares
 
71,024

 
 
Belden Inc.
 
Common and Preferred Stock 1,279 shares
 
70,345

 
 
Insulet Corporation
 
Common and Preferred Stock 409 shares
 
70,021

 
 
Polaris Inc.
 
Common and Preferred Stock 685 shares
 
69,665

 
 
John Bean Technologies Corporation
 
Common and Preferred Stock 608 shares
 
68,497

 
 
Anaplan Inc.
 
Common and Preferred Stock 1,261 shares
 
66,076

 
 
Tennant Company
 
Common and Preferred Stock 826 shares
 
64,362

 
 
Chewy Inc. Class A
 
Common and Preferred Stock 2,169 shares
 
62,901

 
 
Middleby Corporation
 
Common and Preferred Stock 573 shares
 
62,755

 
 
Cimpress plc
 
Common and Preferred Stock 497 shares
 
62,508

 
 
Viavi Solutions Inc. NPV
 
Common and Preferred Stock 4,144 shares
 
62,160

 
 
Natera Inc.
 
Common and Preferred Stock 1,814 shares
 
61,114

 
 
Carter Inc.
 
Common and Preferred Stock 546 shares
 
59,700

 
 
Merit Medical Systems Inc.
 
Common and Preferred Stock 1,877 shares
 
58,600

 
 
Owens Corning
 
Common and Preferred Stock 889 shares
 
57,892

 
 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 57,848 units
 
57,848

 
 
Zebra Technologies Corporation
 
Common and Preferred Stock 220 shares
 
56,197

 
 
Amedisys Inc.
 
Common and Preferred Stock 335 shares
 
55,918

 
 
Kirby Corporation
 
Common and Preferred Stock 622 shares
 
55,688

 
 
Cornerstone OnDemand Inc.
 
Common and Preferred Stock 951 shares
 
55,681

 
 
Lattice Semiconductor Company
 
Common and Preferred Stock 2,879 shares
 
55,104

 
 
Frontdoor Inc.
 
Common and Preferred Stock 1,162 shares
 
55,102

 
 
Syneos Health Inc.
 
Common and Preferred Stock 926 shares
 
55,074

 
 
2U Inc.
 
Common and Preferred Stock 2,237 shares
 
53,666

 
 
Inphi Corporation
 
Common and Preferred Stock 715 shares
 
52,924

 
 
Papa Johns International Inc.
 
Common and Preferred Stock 828 shares
 
52,288

 
 
Shutterstock Inc.
 
Common and Preferred Stock 1,174 shares
 
50,341

 
 
Heartland Express Inc.
 
Common and Preferred Stock 2,309 shares
 
48,604

 
 
LHC Group Inc.
 
Common and Preferred Stock 352 shares
 
48,492

 
 
Penumbra Inc.
 
Common and Preferred Stock 291 shares
 
47,803

 
 
Ambarella Inc. Shares
 
Common and Preferred Stock 775 shares
 
46,934

 
 
Axogen Inc.
 
Common and Preferred Stock 2,585 shares
 
46,246

 
 
Crocs Inc.
 
Common and Preferred Stock 1,097 shares
 
45,953

 
 
Lululemon Athletica Inc.
 
Common and Preferred Stock 198 shares
 
45,871

 
 
Chegg Inc.
 
Common and Preferred Stock 1,205 shares
 
45,682

 
 
Haemonetics Corporation
 
Common and Preferred Stock 397 shares
 
45,615

 
 
Grand Canyon Education Inc.
 
Common and Preferred Stock 464 shares
 
44,447

 
 
Woodward Inc.
 
Common and Preferred Stock 369 shares
 
43,704

 
 
C.H. Robinson Worldwide Inc.
 
Common and Preferred Stock 555 shares
 
43,401

 
 
Tetra Tech Inc.
 
Common and Preferred Stock 500 shares
 
43,080

 
 
Trimble Inc.
 
Common and Preferred Stock 1,027 shares
 
42,816

 
 
Sea Limited
 
Common and Preferred Stock 1,060 shares
 
42,633

 
 
Nordson Corporation
 
Common and Preferred Stock 255 shares
 
41,524

 
 
Fireeye Inc.
 
Common and Preferred Stock 2,465 shares
 
40,746

 
 
Gartner Inc.
 
Common and Preferred Stock 254 shares
 
39,141

 

16


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Integra Lifesciences Holding Corporation
 
Common and Preferred Stock 669 shares
 
38,989

 
 
Teradyne Inc.
 
Common and Preferred Stock 549 shares
 
37,436

 
 
Quidel Corporation
 
Common and Preferred Stock 496 shares
 
37,215

 
 
Switch Inc. Class A
 
Common and Preferred Stock 2,472 shares
 
36,635

 
 
Roku Inc. Class A
 
Common and Preferred Stock 269 shares
 
36,019

 
 
Deciphera Pharmaceuticals Inc.
 
Common and Preferred Stock 575 shares
 
35,788

 
 
Matson Inc.
 
Common and Preferred Stock 871 shares
 
35,537

 
 
Hamilton Lane Inc. Class A
 
Common and Preferred Stock 584 shares
 
34,806

 
 
Forward Air Corporation
 
Common and Preferred Stock 496 shares
 
34,695

 
 
Wolverine World Wide Inc.
 
Common and Preferred Stock 1,022 shares
 
34,482

 
 
Under Armour Inc. Class C
 
Common and Preferred Stock 1,783 shares
 
34,198

 
 
Immunomedics Inc.
 
Common and Preferred Stock 1,614 shares
 
34,152

 
 
Revance Therapeutics Inc.
 
Common and Preferred Stock 2,066 shares
 
33,531

 
 
Wisdomtree Investments Inc.
 
Common and Preferred Stock 6,854 shares
 
33,173

 
 
Graphic Packaging Holding Company
 
Common and Preferred Stock 1,984 shares
 
33,034

 
 
NIC Inc.
 
Common and Preferred Stock 1,475 shares
 
32,966

 
 
Pinterest Inc. Class A
 
Common and Preferred Stock 1,766 shares
 
32,918

 
 
Reata Pharmaceuticals Inc. Class A
 
Common and Preferred Stock 161 shares
 
32,913

 
 
LPL Financial Holdings Inc.
 
Common and Preferred Stock 356 shares
 
32,841

 
 
Boot Barn Holdings Inc.
 
Common and Preferred Stock 725 shares
 
32,284

 
 
National Cinemedia Inc.
 
Common and Preferred Stock 4,345 shares
 
31,675


 
Heron Therapeutics Inc.
 
Common and Preferred Stock 1,318 shares
 
30,973

 
 
Prestige Consumer Healthcare Inc.
 
Common and Preferred Stock 752 shares
 
30,456

 
 
Freshpet Inc.
 
Common and Preferred Stock 507 shares
 
29,959

 
 
Napco Security Technologies Inc.
 
Common and Preferred Stock 1,000 shares
 
29,390


 
New Relic Inc.
 
Common and Preferred Stock 438 shares
 
28,781

 
 
Kodiak Sciences Inc.
 
Common and Preferred Stock 397 shares
 
28,564

 
 
Floor & Decor Holdings Inc.
 
Common and Preferred Stock 557 shares
 
28,301

 
 
Agios Pharmaceuticals Inc.
 
Common and Preferred Stock 592 shares
 
28,268

 
 
Nevro Corporation
 
Common and Preferred Stock 236 shares
 
27,739

 
 
MSC Industrial Direct Inc. Class A
 
Common and Preferred Stock 353 shares
 
27,700

 
 
Abiomed Inc.
 
Common and Preferred Stock 155 shares
 
26,441

 
 
Proofpoint Inc.
 
Common and Preferred Stock 230 shares
 
26,399

 
 
Wabtec Corporation
 
Common and Preferred Stock 338 shares
 
26,296

 
 
Viking Therapeutics Inc.
 
Common and Preferred Stock 3,263 shares
 
26,169

 
 
Cooper Companies Inc.
 
Common and Preferred Stock 81 shares
 
26,024

 
 
Pluralsight Inc. Class A
 
Common and Preferred Stock 1,487 shares
 
25,591

 
 
Manhattan Associates, Inc.
 
Common and Preferred Stock 312 shares
 
24,882

 
 
Neurocrine Biosciences Inc.
 
Common and Preferred Stock 225 shares
 
24,185

 
 
Proto Labs Inc.
 
Common and Preferred Stock 238 shares
 
24,169

 
 
Performance Food Group Company
 
Common and Preferred Stock 463 shares
 
23,835

 
 
CarGurus Inc. Class A
 
Common and Preferred Stock 663 shares
 
23,324

 
 
Mirati Therapeutics Inc.
 
Common and Preferred Stock 179 shares
 
23,066

 
 
Paysoftware Inc.
 
Common and Preferred Stock 87 shares
 
23,034

 
 
Bank Ozk
 
Common and Preferred Stock 754 shares
 
23,001

 
 
Sage Therapeutics Inc.
 
Common and Preferred Stock 306 shares
 
22,090

 
 
Kennametal Inc.
 
Common and Preferred Stock 594 shares
 
21,913

 

17


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Euronet Worldwide Inc.
 
Common and Preferred Stock 137 shares
 
21,586

 
 
Costar Group Inc.
 
Common and Preferred Stock 36 shares
 
21,539

 
 
FTI Consulting Inc.
 
Common and Preferred Stock 194 shares
 
21,468

 
 
Five Below, Inc.
 
Common and Preferred Stock 167 shares
 
21,353

 
 
Docusign Inc.
 
Common and Preferred Stock 284 shares
 
21,047

 
 
Masimo Corporation
 
Common and Preferred Stock 132 shares
 
20,864

 
 
Universal Display Corporation
 
Common and Preferred Stock 100 shares
 
20,607

 
 
Summit Materials Inc. Class A
 
Common and Preferred Stock 849 shares
 
20,291

 
 
Crispr Therapeutics AG
 
Common and Preferred Stock 318 shares
 
19,368

 
 
Constellium SE Class A
 
Common and Preferred Stock 1,428 shares
 
19,135

 
 
Zynga Inc.
 
Common and Preferred Stock 3,099 shares
 
18,966

 
 
Cryoport Inc.
 
Common and Preferred Stock 1,152 shares
 
18,962

 
 
MKS Instruments
 
Common and Preferred Stock 171 shares
 
18,812

 
 
Okta Inc. Class A
 
Common and Preferred Stock 162 shares
 
18,690

 
 
DBV Technologies
 
Common and Preferred Stock 1,596 shares
 
17,077

 
 
RealPage Inc.
 
Common and Preferred Stock 316 shares
 
16,985

 
 
Fox Factory Holding Corporation
 
Common and Preferred Stock 235 shares
 
16,349

 
 
Arrowhead Pharmaceuticals Inc.
 
Common and Preferred Stock 180 shares
 
11,417

 
 
SmileDirectClub Inc. Class A
 
Common and Preferred Stock 1,044 shares
 
9,125

 
 
Acadia Pharmaceuticals Inc.
 
Common and Preferred Stock 205 shares
 
8,770

 
 
Rignet Inc.
 
Common and Preferred Stock 1,180 shares
 
7,788

 
 
Cerence Inc.
 
Common and Preferred Stock 289 shares
 
6,540

 
 
Endologix Inc.
 
Common and Preferred Stock 2,370 shares
 
3,745

 
 
Spectrum Pharmaceuticals Inc.
 
Common and Preferred Stock 904 shares
 
3,291

 
Total Small-Mid Cap Growth Asset Class
 
 
 
 
8,876,006

 
 
 
 
 
 
 
Small-Mid Cap Index Asset Class:
 
 
 
 
 
 
NT Collective Extended Equity Market Index Fund / Non Lending*
 
Collective Trust Fund 148,326 units
 
32,772,597

 
Total Small-Mid Cap Index Asset Class
 
 
 
 
32,772,597

 
 
 
 
 
 
 
Small-Mid Cap Value Asset Class:
 
 
 
 
 
 
Northern Trust Global Investment Russell 2000 Value Index Fund - Non Lending*
 
Collective Trust Fund 5,422 units
 
1,793,404

 
 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 775,385 units
 
775,385

 
 
Western Alliance Bancorporation
 
Common and Preferred Stock 10,541 shares
 
600,837

 
 
Entegris Inc.
 
Common and Preferred Stock 11,552 shares
 
578,640

 
 
Waste Connections Inc.
 
Common and Preferred Stock 4,895 shares
 
444,417

 
 
Interest Bearing Cash
 
Cash and Cash Equivalents 441,470 units
 
441,470

 
 
Citigroup Inc.
 
Common and Preferred Stock 5,985 shares
 
433,896

 
 
FMC Corporation
 
Common and Preferred Stock 4,088 shares
 
408,064

 
 
Citizens Financial Group, Inc.
 
Common and Preferred Stock 9,900 shares
 
402,039

 
 
Clean Harbors Inc.
 
Common and Preferred Stock 4,624 shares
 
396,508

 
 
KAR Auction Services Inc.
 
Common and Preferred Stock 17,716 shares
 
386,032

 
 
Kosmos Energy Limited
 
Common and Preferred Stock 67,020 shares
 
382,014

 
 
Woodward Inc.
 
Common and Preferred Stock 3,148 shares
 
372,849

 

18


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
First Horizon National Corporation
 
Common and Preferred Stock 4,300 shares
 
358,822

 
 
Popular, Inc.*
 
Common and Preferred Stock 6,100 shares
 
358,375

 
 
RPT Realty
 
Common and Preferred Stock 23,740 shares
 
357,050

 
 
Ameris Bancorp
 
Common and Preferred Stock 8,284 shares
 
352,401

 
 
IAA Spinco Inc.
 
Common and Preferred Stock 7,403 shares
 
348,385

 
 
Ametek Inc.
 
Common and Preferred Stock 3,476 shares
 
346,696

 
 
Amphenol Corporation Class A
 
Common and Preferred Stock 3,076 shares
 
332,915

 
 
Synopsys Inc.
 
Common and Preferred Stock 2,383 shares
 
331,714

 
 
Cairn Energy PLC
 
Common and Preferred Stock 60,700 shares
 
329,692

 
 
Bio-Rad Laboratories, Inc. Class A
 
Common and Preferred Stock 874 shares
 
323,406

 
 
Axis Capital Holdings Limited
 
Common and Preferred Stock 5,435 shares
 
323,056

 
 
Goodyear Tire & Rubber Company
 
Common and Preferred Stock 20,500 shares
 
318,878

 
 
Mellanox Technologies Limited
 
Common and Preferred Stock 2,683 shares
 
314,394

 
 
CNO Financial Group, Inc.
 
Common and Preferred Stock 17,000 shares
 
308,210

 
 
The Bank of N.T. Butterfield & Son Limited
 
Common and Preferred Stock 8,159 shares
 
302,046

 
 
UGI Corporation
 
Common and Preferred Stock 6,599 shares
 
298,011

 
 
RenaissanceRe Holdings Limited
 
Common and Preferred Stock 1,497 shares
 
293,442

 
 
BWX Technologies Inc.
 
Common and Preferred Stock 4,593 shares
 
285,133

 
 
BorgWarner Inc.
 
Common and Preferred Stock 6,488 shares
 
281,449

 
 
Embraer SA
 
Common and Preferred Stock 14,400 shares
 
280,656

 
 
Helen Trustoy Limited
 
Common and Preferred Stock 1,479 shares
 
265,909

 
 
Knight-Swift Transportation Holdings Inc.
 
Common and Preferred Stock 7,364 shares
 
263,926

 
 
Office Depot, Inc.
 
Common and Preferred Stock 95,600 shares
 
261,944

 
 
EnerSys Inc
 
Common and Preferred Stock 3,483 shares
 
260,633

 
 
Royal Mail PLC
 
Common and Preferred Stock 43,100 shares
 
256,661

 
 
LKQ Corporation
 
Common and Preferred Stock 7,149 shares
 
255,219

 
 
Reliance Steel & Aluminum Company
 
Common and Preferred Stock 2,073 shares
 
248,262

 
 
Hewlett Packard Enterprise Company
 
Common and Preferred Stock 15,500 shares
 
245,830

 
 
TCF Financial Corporation
 
Common and Preferred Stock 5,252 shares
 
245,794

 
 
Amerco
 
Common and Preferred Stock 640 shares
 
240,525

 
 
Taylor Morrison Home Corporation
 
Common and Preferred Stock 10,836 shares
 
236,875

 
 
Ingredion Inc.
 
Common and Preferred Stock 2,530 shares
 
235,164

 
 
Discovery Communications, Inc. Series C
 
Common and Preferred Stock 7,700 shares
 
234,773

 
 
Dollar Tree Inc.
 
Common and Preferred Stock 2,464 shares
 
231,739

 
 
Halozyme Therapeutics Inc.
 
Common and Preferred Stock 13,006 shares
 
230,596

 
 
Apache Corporation
 
Common and Preferred Stock 9,000 shares
 
230,310

 
 
Quanta Services Inc.
 
Common and Preferred Stock 5,650 shares
 
230,012

 
 
BMC Holdings Inc.
 
Common and Preferred Stock 7,786 shares
 
223,380

 
 
Nvent Electric PLC
 
Common and Preferred Stock 8,726 shares
 
223,211

 
 
Brandywine Realty Trust
 
Common and Preferred Stock 14,108 shares
 
222,201

 
 
Henry Schein Inc.
 
Common and Preferred Stock 3,215 shares
 
214,505

 
 
Equitrans Midstream Corporation NPV
 
Common and Preferred Stock 3,500 shares
 
212,224

 
 
Charles River Laboratories International Inc.
 
Common and Preferred Stock 1,387 shares
 
211,878

 
 
Catalent Inc.
 
Common and Preferred Stock 3,748 shares
 
211,012

 
 
Heico Corporation Class A
 
Common and Preferred Stock 2,313 shares
 
207,083

 
 
Vistra Energy Corporation
 
Common and Preferred Stock 9,000 shares
 
206,910

 
 
Corning Inc.
 
Common and Preferred Stock 7,000 shares
 
203,770

 

19


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Magna International Inc.
 
Common and Preferred Stock 3,700 shares
 
202,908

 
 
Jacobs Engineering Group Inc.
 
Common and Preferred Stock 2,200 shares
 
197,626

 
 
Copart Inc.
 
Common and Preferred Stock 2,161 shares
 
196,521

 
 
STERIS plc
 
Common and Preferred Stock 1,289 shares
 
196,469

 
 
Hexcel Corporation
 
Common and Preferred Stock 2,672 shares
 
195,884

 
 
Coherent Inc.
 
Common and Preferred Stock 1,173 shares
 
195,129

 
 
Arrow Electric Inc.
 
Common and Preferred Stock 2,300 shares
 
194,902

 
 
Pacwest Bancorp Company
 
Common and Preferred Stock 5,003 shares
 
191,465

 
 
NRG Energy Inc.
 
Common and Preferred Stock 4,800 shares
 
190,800

 
 
Fluor Corporation
 
Common and Preferred Stock 10,100 shares
 
190,688

 
 
Nextier Oilfield Solutions Inc.
 
Common and Preferred Stock 28,291 shares
 
189,550

 
 
Keysight Technologies Inc.
 
Common and Preferred Stock 1,841 shares
 
188,942

 
 
Bed Bath & Beyond Inc.
 
Common and Preferred Stock 10,800 shares
 
186,840

 
 
AXA Equitable Holdings, Inc.
 
Common and Preferred Stock 7,500 shares
 
185,850

 
 
Centene Corporation
 
Common and Preferred Stock 2,900 shares
 
182,323

 
 
Cboe Global Markets Inc.
 
Common and Preferred Stock 1,517 shares
 
182,040

 
 
Bunge Limited
 
Common and Preferred Stock 3,100 shares
 
178,405

 
 
Teradata Corporation
 
Common and Preferred Stock 6,463 shares
 
173,015

 
 
Cabot Corporation
 
Common and Preferred Stock 3,490 shares
 
165,845

 
 
Mid-American Apartment Communities Inc.
 
Common and Preferred Stock 1,256 shares
 
165,616

 
 
CNH Industrial NV
 
Common and Preferred Stock 15,000 shares
 
165,000

 
 
Graco Inc.
 
Common and Preferred Stock 3,130 shares
 
162,760

 
 
Navistar International Corporation
 
Common and Preferred Stock 5,600 shares
 
162,064

 
 
Adient PLC
 
Common and Preferred Stock 7,500 shares
 
159,375

 
 
Qorvo, Inc.
 
Common and Preferred Stock 1,352 shares
 
157,143

 
 
STAG Industrial Inc.
 
Common and Preferred Stock 4,886 shares
 
154,251

 
 
Huntsman Corporation
 
Common and Preferred Stock 6,358 shares
 
153,609

 
 
Reinsurance Group of America Inc.
 
Common and Preferred Stock 931 shares
 
151,809

 
 
IDEX Corporation
 
Common and Preferred Stock 878 shares
 
151,016

 
 
Tri Pointe Homes, Inc.
 
Common and Preferred Stock 9,600 shares
 
149,568

 
 
Advance Auto Parts Inc.
 
Common and Preferred Stock 930 shares
 
148,949

 
 
Healthcare Realty Trust
 
Common and Preferred Stock 4,442 shares
 
148,230

 
 
ViaSat, Inc.
 
Common and Preferred Stock 2,020 shares
 
147,854

 
 
News Corporation Class A
 
Common and Preferred Stock 10,400 shares
 
147,056

 
 
PPL Corporation
 
Common and Preferred Stock 4,000 shares
 
143,520

 
 
LivaNova PLC
 
Common and Preferred Stock 1,902 shares
 
143,468

 
 
Parsley Energy Inc. Class A
 
Common and Preferred Stock 7,523 shares
 
142,260

 
 
Enstar Group Ltd.
 
Common and Preferred Stock 670 shares
 
138,596

 
 
Astronics Corporation
 
Common and Preferred Stock 4,934 shares
 
137,905

 
 
Servicemaster Global Holdings Inc.
 
Common and Preferred Stock 3,558 shares
 
137,552

 
 
Prosperity Bancshares Inc.
 
Common and Preferred Stock 1,879 shares
 
135,081

 
 
Whiting Petroleum Corporation
 
Common and Preferred Stock 17,825 shares
 
130,836

 
 
Old Republic International Corporation
 
Common and Preferred Stock 5,842 shares
 
130,686

 
 
Mscope Holding Company Inc.
 
Common and Preferred Stock 8,800 shares
 
124,872

 
 
Federal Signal Corporation
 
Common and Preferred Stock 3,690 shares
 
119,003

 
 
Materion Corporation
 
Common and Preferred Stock 1,967 shares
 
116,938

 
 
EQT Corporation
 
Common and Preferred Stock 10,466 shares
 
114,079

 

20


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
Potlatchdeltic Corporation
 
Common and Preferred Stock 2,568 shares
 
111,117

 
 
Fabrinet
 
Common and Preferred Stock 1,702 shares
 
110,358

 
 
Discover Financial Services
 
Common and Preferred Stock 1,300 shares
 
110,266

 
 
Kennametal Inc.
 
Common and Preferred Stock 2,970 shares
 
109,563

 
 
Deckers Outdoor Corporation
 
Common and Preferred Stock 637 shares
 
107,564

 
 
Teradyne Inc.
 
Common and Preferred Stock 1,547 shares
 
105,490

 
 
Markel Corporation Holding Company
 
Common and Preferred Stock 92 shares
 
105,172

 
 
American Eagle Outfitters Inc.
 
Common and Preferred Stock 6,795 shares
 
99,887

 
 
Innospec Inc.
 
Common and Preferred Stock 950 shares
 
98,268

 
 
Avnet Inc.
 
Common and Preferred Stock 2,300 shares
 
97,612

 
 
Albany International Corporation Class A
 
Common and Preferred Stock 1,267 shares
 
96,191

 
 
TD Ameritrade Holding Corporation
 
Common and Preferred Stock 1,912 shares
 
95,026

 
 
Texas Capital Bancshares Inc.
 
Common and Preferred Stock 1,666 shares
 
94,579

 
 
Sallie Mae Corporation
 
Common and Preferred Stock 10,600 shares
 
94,446

 
 
Cypress Semiconductor Corporation
 
Common and Preferred Stock 3,961 shares
 
92,410

 
 
Bio-Techne Corporation
 
Common and Preferred Stock 419 shares
 
91,975

 
 
PPDC Energy Inc.
 
Common and Preferred Stock 3,475 shares
 
90,941

 
 
Apogee Enterprises, Inc.
 
Common and Preferred Stock 2,758 shares
 
89,635

 
 
Fifth Third Bancorp
 
Common and Preferred Stock 2,400 shares
 
73,776

 
 
Interpublic Group Companies Inc.
 
Common and Preferred Stock 3,100 shares
 
71,610

 
 
State Street Corporation
 
Common and Preferred Stock 900 shares
 
71,190

 
 
Colony Capital Inc. Class A
 
Common and Preferred Stock 14,800 units
 
70,300

 
 
Ericsson, Inc.
 
Common and Preferred Stock 8,000 shares
 
70,240

 
 
Euronet Worldwide Inc.
 
Common and Preferred Stock 444 shares
 
69,957

 
 
Avis Budget Group Inc.
 
Common and Preferred Stock 2,100 shares
 
67,704

 
 
Evercore Inc.
 
Common and Preferred Stock 900 shares
 
67,284

 
 
Viacom CBS Inc. NPV
 
Common and Preferred Stock 1,600 shares
 
67,152

 
 
Zimmer Biomet Holdings Inc
 
Common and Preferred Stock 400 shares
 
59,872

 
 
JetBlue Airways Corporation
 
Common and Preferred Stock 3,000 shares
 
56,160

 
 
Franks International NV
 
Common and Preferred Stock 10,500 shares
 
54,285

 
 
The Geo Group, Inc.
 
Common and Preferred Stock 3,250 shares
 
53,983

 
 
Halliburton Company
 
Common and Preferred Stock 2,200 shares
 
53,834

 
 
National Oilwell Varco, Inc.
 
Common and Preferred Stock 2,100 shares
 
52,605

 
 
Harley/Davidson Motor Company
 
Common and Preferred Stock 1,400 shares
 
52,066

 
 
Lazard Limited Class A
 
Common and Preferred Stock 1,300 shares
 
51,948

 
 
Cenovus Energy Inc.
 
Common and Preferred Stock 5,100 shares
 
51,765

 
 
Murphy Oil Corporation
 
Common and Preferred Stock 1,900 shares
 
50,920

 
 
Livent Corporation
 
Common and Preferred Stock 5,742 shares
 
49,094


 
Alleghany Corporation
 
Common and Preferred Stock 60 shares
 
47,974

 
 
Stealthgas Inc.
 
Common and Preferred Stock 13,470 shares
 
46,202

 
 
Boise Cascade Company
 
Common and Preferred Stock 1,049 shares
 
38,320


 
Keycorp
 
Common and Preferred Stock 1,600 shares
 
32,384

 
 
Hess Corporation LLC
 
Common and Preferred Stock 400 shares
 
26,724


 
Superior Energy Services Inc.
 
Common and Preferred Stock 2,370 shares
 
11,874

 
Total Small-Mid Cap Value Asset Class
 
 
 
 
31,014,653

 
 
 
 
 
 
 
Notes Receivable from Participants*
 
Interest Rate 4.25% - 9.25%
 
15,387,570

 

21


Schedule H, line 4i – Schedule of Assets (Held at End of Year) (continued)


Identity of Issue
 
Description of Investment
 
Current Value
 
 
 
 
 
 
15,387,570

 
 
 
 
 
 
 
Other
 
 
 
 
 
 
ML Sweep Account
 
Cash and Cash Equivalents 24,938 units
 
24,938

 
 
Northern Trust Global Investments Collective Daily Short Term Investment Fund - Non Lending*
 
Collective Trust Fund 8,482 units
 
8,482

 
 
 
 
 
 
 
33,420

 
 
 
 
 
 
 
Grand Total
 
 
 
 
$
542,649,268

 
 
 
 
 
 
* Indicates party-in-interest
 
 
 
 


22


THE RETIREMENT AND SAVINGS PLAN FOR
AMGEN MANUFACTURING, LIMITED
INDEX TO EXHIBIT
 
Consent of Independent Registered Public Accounting Firm
  
Exhibit 23.1

23


SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
 
 
 
 The Retirement and Savings Plan for
 Amgen Manufacturing, Limited
 (Name of Plan)
 
 
 
 
 
 
 
Date:
June 16, 2020
 
 
By:
 
/s/ PETER H. GRIFFITH
 
 
 
 
 
 
Peter H. Griffith
 
 
 
 
 
 
Deputy Chairman and Chief Financial Officer
 
 
 
 
 
 
Amgen Manufacturing, Limited

24

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘11-K’ Filing    Date    Other Filings
Filed as of:6/17/2011-K
Filed on:6/16/2011-K
1/1/203
For Period end:12/31/1910-K,  10-K/A,  11-K
12/12/198-K
8/8/194
1/1/19
12/31/1810-K,  11-K,  5
10/30/1810-Q,  8-K
2/26/18SC TO-I/A
1/1/17
1/1/06
5/1/92
 List all Filings 
↑Top
Filing Submission 0000318154-20-000036   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Fri., Apr. 26, 12:17:21.1pm ET