UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 14A

Proxy Statement Pursuant to Section 14(a) of
the Securities Exchange Act of 1934 (Amendment No.     )

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 14A

 

Proxy Statement Pursuant to Section 14(a) of
the Securities Exchange Act of 1934 (Amendment No.     )

Filed by the Registrant  x

 

Filed by a Party other than the Registrant  o

 

Check the appropriate box:

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Preliminary Proxy Statement

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Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))

x

Definitive Proxy Statement

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Definitive Additional Materials

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Soliciting Material under §240.14a-12

 

The Hartford Mutual Funds, Inc.

The Hartford Mutual Funds II, Inc.

(Name of Registrant as Specified In Its Charter)

 

 

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

 

Payment of Filing Fee (Check the appropriate box):

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Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.

 

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(3)

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Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

 

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THE HARTFORD MUTUAL FUNDS, INC.,
on behalf of

The Hartford Balanced Fund,
The Hartford Balanced AllocationIncome Fund,
The Hartford Capital Appreciation Fund,
The Hartford Checks and Balances Fund,
The Hartford Conservative Allocation Fund,
Hartford Core Equity Fund,
The Hartford Dividend and Growth Fund,
Hartford Duration-Hedged Strategic Income Fund,
Hartford Emerging Markets Equity Fund,
The Hartford Emerging Markets Local Debt Fund,
The Hartford Equity Income Fund,
The Hartford Floating Rate Fund,
The Hartford Floating Rate High Income Fund,
The Hartford Global All-Asset Fund,
The Hartford Global Alpha Fund,
Hartford Global Capital Appreciation Fund,
Hartford Global Equity Income Fund,
The Hartford Global Real Asset Fund,
The Hartford Growth Allocation Fund,
The Hartford Healthcare Fund,
The Hartford High Yield Fund,
The Hartford Inflation Plus Fund,
Hartford International Equity Fund,
The Hartford International Growth Fund,
The Hartford International Opportunities Fund,
The Hartford International Small Company Fund,
The Hartford International Value Fund,
Hartford Long/Short Global Equity Fund,
The Hartford MidCap Fund,
The Hartford MidCap Value Fund,
Hartford Moderate Allocation Fund,
Hartford Multi-Asset Income Fund,
Hartford Municipal Income Fund,
The Hartford Municipal Opportunities Fund,
Hartford Municipal Short Duration Fund,
The Hartford Quality Bond Fund,
Hartford Real Total Return Fund,
The Hartford Short Duration Fund,
Hartford Small Cap Core Fund,
The Hartford Small Company Fund,
The Hartford Strategic Income Fund,
The Hartford Total Return Bond Fund,
The Hartford Unconstrained Bond Fund, and
The Hartford World Bond Fund



THE HARTFORD MUTUAL FUNDS II, INC.,
on behalf of

The Hartford Growth Opportunities Fund,
The Hartford Municipal Real Return Fund,
The Hartford SmallCap Growth Fund, and
The Hartford Value Opportunities Fund




January 31, 20146, 2016

Dear Shareholders:

You are cordially invited to attend a SpecialJoint Annual Meeting of Shareholders (the "Meeting") of The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fundthe series listed above (each a "Fund" and collectively, the "Funds"), each a series of The Hartford Mutual Funds, Inc. (the("HMF") and The Hartford Mutual Funds II, Inc. ("HMF II"), each a Maryland corporation (each a "Company" and together, the "Companies"). The Meeting will take place on April 4, 2014March 14, 2016 at 10:00 a.m. Eastern Time at the offices of Hartford Funds Management Company, LLC ("HFMC"), 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

At the Meeting, shareholders will be asked to vote on the matters listed in the attached Notice of SpecialJoint Annual Meeting of Shareholders. As explained in the enclosed Joint Proxy Statement, the purpose of the Meeting is for the shareholders of each affected Fund to consider and vote on:

Proposal No. 

Description of Proposal

 

1.

 

The ratification and approvalelection of the sub-advisory agreement between HFMC, the investment manager of the Funds, and Wellington Management Company, LLP ("Wellington Management") pursuant to which Wellington Management serves as the sub-advisernominees to the FundsBoards of Directors of HMF and manages each Fund's assets.HMF II (together, the "Boards").

 

2.

 

The approval of the retention of fees paida new Investment Management Agreement between HFMC and the paymentCompanies, on behalf of fees payable by Hartford Investment Financial Services, LLC, the Funds' former investment manager, and HFMC (as applicable) to Wellington Management for its sub-advisory services to the Funds.

 

3.

 

The authorizationapproval of a change to each Fund's fundamental investment restriction on the purchase or sale of commodities.

4.

The approval of a change to each Fund's fundamental investment restriction on the purchase or sale of real estate.

5.

The approval of a change to each Fund's fundamental investment restriction on concentration of investments in a particular industry or group of industries.

6.

The approval, prospectively, of a modification to the current "manager of managers" policy to permit HFMC, subject to selectprior approval by the relevant Board and contract with sub-advisers that are not affiliated with HFMC or the Funds (other than by reason of serving as a sub-adviserunder certain circumstances, to one or more Hartford-sponsored mutual funds (the "Hartford Funds"))enter into and to materially amend investment sub-advisory agreements with affiliated and unaffiliated sub-advisers without the necessity of obtaining shareholder approval.

 

4.7.

 

To transact such other business as may properly come before the Meeting, or any adjournment(s) or postponement(s) thereof.

 

The Company's Board of Directors hasBoards have reviewed the proposals and recommendsrecommend that you vote FOR each proposal. The Joint Proxy Statement provides more information on the proposals. Please read it carefully, complete the enclosed proxy card, and return your completed proxy card in the enclosed, addressed, postage-paid envelope; or take advantage of the telephonic or internet voting procedures described in the Joint Proxy Statement. YOUR VOTE IS IMPORTANT. If we do not hear from you after a reasonable period of time, you may receive a telephone call from a representative of Hartford Funds Management Group, Inc.HFMC, any of its affiliates, or from our proxy solicitor, BroadridgeBoston Financial Solutions,Data Services, Inc., reminding you to vote your shares.

Very truly yours,

Edward P. Macdonald
Secretary and Chief Legal Officer




IMPORTANT INFORMATION

We encourage you to read the enclosed Joint Proxy Statement. However, we thought it would be helpful to provide brief answers to some questions.

Q. 11.  What Proposals are shareholders being asked to consider at the upcoming specialshareholder meeting?

A. 11.   Shareholders are being asked to consider threesix separate matters. First, Proposal 1 seeks the ratification and approvalelection by shareholders of The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fundthe series (each a "Fund" and collectively, the "Funds"), each a series of The Hartford Mutual Funds, Inc. (the("HMF") and The Hartford Mutual Funds II, Inc. ("HMF II") (each a "Company" and together, the "Companies"), of nine individuals to each Company's Board of Directors (each a "Board" and together, the sub-advisory agreement (the "Agreement""Boards"). Proposal 2 seeks approval of a new Investment Management Agreement between Hartford Funds Management Company, LLC ("HFMC"), and the Companies, on behalf of the Funds. Proposals 3, 4 and 5 seek approval of certain changes to each Fund's fundamental investment manager,restrictions with respect to: (i) the purchase or sale of commodities, (ii) the purchase or sale of real estate and Wellington Management Company, LLP ("Wellington Management") pursuant to which Wellington Management serves as(iii) concentration of investments in a particular industry or group of industries, respectively. Finally, Proposal 6 seeks the sub-adviser to each Fund and manages each Fund's assets. Second, Proposal 2 seeks approval, prospectively, of the retention of fees paid and the payment of fees payable by Hartford Investment Financial Services, LLC ("HIFSCO"), the Funds' former investment manager and an affiliate of HFMC, and HFMC (as applicable) to Wellington Management for its sub-advisory servicesa modification to the Funds. Third, Proposal 3 seeks authorizationcurrent "manager of managers" policy previously approved by shareholders to permit HFMC, subject to selectprior approval by the relevant Board and contractunder certain circumstances, to enter into and materially amend agreements with affiliated sub-advisers without the necessity of obtaining shareholder approval. Under the current SEC order, HFMC may, for certain Funds, enter into and amend agreements with sub-advisers that are not affiliates of HFMC, subject to prior Board approval and under certain circumstances.

Q. 2.  Who is being nominated to serve as Directors?

A. 2.  Shareholders are being asked to consider the election of Hilary E. Ackermann, Lynn S. Birdsong, James E. Davey, Christine Detrick, Duane E. Hill, Sandra S. Jaffee, William P. Johnston, Phillip O. Peterson and Lemma W. Senbet (each a "Nominee" and together, the "Nominees") as Directors. With the exception of Ms. Detrick, the Nominees are current members of each Board. If each of the Nominees is elected to each Board, the Boards will be composed of the same nine directors.

Q. 3.  How were the Nominees chosen?

A. 3.  Each Company's Nominating and Governance Committee is responsible for screening and recommending candidates to the Board. The Nominating and Governance Committees are comprised of all of the Directors who are not affiliated with HFMC or"interested persons" of the Funds (other thanCompanies, as that term is defined in the Investment Company Act of 1940, as amended (the "1940 Act"). The Nominating and Governance Committees recommended each Nominee and, at a meeting on November 4-5, 2015, the Nominees were unanimously nominated by reasonthe Boards to stand for election.



Q. 4.  Why am I being asked to approve a new Investment Management Agreement?

A. 4.  Section 15(a) of servingthe 1940 Act provides that no person may serve as an investment adviser to a sub-adviserfund except pursuant to one or more Hartford-sponsored mutual funds (the "Hartford Funds") anda written contract that, among other things, has been approved by a vote of a majority of the fund's outstanding voting securities, as defined in the 1940 Act. Material changes to materially amend investment sub-advisory agreements without obtainingexisting advisory contracts are deemed to effectively create new advisory contracts that require shareholder approval.

The proposed new Investment Management Agreement between HFMC and the Companies (the "New Agreement") would enhance and clarify the description of services currently provided by HFMC under the Investment Management Agreements between HMF and HFMC and HMF II and HFMC (the "Current Agreements"). While the Boards do not view the differences between the Current Agreements and the New Agreement to be material, the Boards are asking shareholders to approve the New Agreement.

Q. 2  How will approving Wellington Management as5.  Why am I being asked to approve changes to each Fund's fundamental investment restriction on the sub-adviser benefit each Fund and its respective shareholders?purchase or sale of commodities?

A. 25.  Wellington ManagementThe 1940 Act requires mutual funds to establish and disclose in their registration statements certain "fundamental" investment policies that can only be changed by shareholder vote, including a policy that restricts a fund's ability to purchase or sell commodities. The current restriction states that the Funds will continuenot purchase or sell commodities or commodities contracts, except that the Funds may purchase or sell financial futures contracts, options on financial futures contracts and futures contracts, forward contracts, and options with respect to performforeign currencies, and may enter into swap transactions or other financial transactions of any kind. Certain Funds have adopted a more flexible policy, which allows these Funds to purchase or sell commodities or commodities contracts to the same sub-advisory servicesextent permitted by applicable law and as set forth in each Fund's registration statement. Proposal 3 would permit each Fund to purchase and sell commodities to the extent permitted under the Agreement that it has performed since it began serving as sub-adviser to the Funds in 2012. In addition, HFMC, as the Funds' investment manager, will continue to be responsible for overseeing the sub-advisory services provided by Wellington Management. The portfolio managers managing your Fund are expected to continue to do so following the same investment goal1940 Act and strategies currently in place. See the Proxy Statement for more information about the Agreement, including the discussions under "Board of Directors' Considerations."other applicable laws, rules and regulations, and interpretations.

Q. 36.  Why are shareholdersam I being asked to ratify and approve changes to each Fund's fundamental investment restriction on the sub-advisory agreement with Wellington Management?purchase or sale of real estate?

A. 36.  The laws governing1940 Act requires mutual funds requireto establish and disclose in their registration statements a fundfundamental policy that restricts a fund's ability to obtain shareholder approval before entering into a new advisorypurchase or sub-advisory agreement unless an exemption is available. At the time the Funds' Board of Directors (the "Board") approved the Agreement, HFMC believed, and informed the Board,sell real estate. The current restriction states that the Agreement didFunds will not require shareholder approval duepurchase or sell real estate unless acquired as a result of ownership of securities or other instruments, although each Fund may purchase securities secured by real estate or interests therein, or securities issued by companies which invest in real estate or interests therein. Proposal 4 would permit each Fund to reliancepurchase or sell real estate to the extent permitted under the 1940 Act and the rules and regulations and interpretations thereunder.



Q. 7.  Why am I being asked to approve changes to each Fund's fundamental investment restriction on an exemptive order (the "Order") fromconcentration?

A. 7.  The 1940 Act requires mutual funds to establish and disclose in their registration statements a fundamental policy that restricts a fund's ability to "concentrate" its investments in a particular industry or group of industries. The current policy for the Funds refers to the U.S. Securities and Exchange CommissionCommission's ("SEC") permitting the Funds' investment manager to select and contract with sub-advisers without shareholder approval. HFMC recently conducted a review of compliance with the conditionsinterpretation of the Order. The review raisedmeaning of the term "concentrate," which generally involves investments of more than 25% of a question whether the Funds' sole initial shareholder consented to reliance on the Order, and indicatedfund's assets. It is proposed that the Funds' reliance onterm "concentrate" be described with a reference to the Order had not been consistently disclosed1940 Act and the rules thereunder, as they may be interpreted or modified from time to time by regulatory authorities having appropriate jurisdiction. Proposal 5 would allow the Funds to take advantage of any future changes in the Funds' prospectuses.law or interpretations of what it means for a Fund to concentrate its investments in an industry or group of industries. In lightaddition, approval of this, shareholdersProposal 5 would clarify that a Fund's conversion to a fund of funds or master-feeder structure would be permissible in the Funds are now being asked to ratify and approve the Agreement, as well as to approve the retention of fees paidfuture if HFMC and the payment of fees payable to Wellington Management for its sub-advisory services to the Funds, as discussed in the Proxy Statement.Board believe such a change would be appropriate.



Q. 48.  Why are shareholders being asked to approve a proposal to permit HFMC to select and contract with sub-advisers without shareholder approval?

A. 48.  Under Section 15(a) of the 1940 Act, an investment manager to a mutual fund cannot enter into or materially amend a sub-advisory agreement without obtaining shareholder approval. With the exception of The Hartford Growth Allocation Fund and The Hartford Checks and Balances Fund, shareholders have previously approved the Funds' reliance on a "manager of managers" exemptive order (the "Existing Order") from that requirement and certain other requirements under the 1940 Act and the rules thereunder. Therefore, many Hartford Funds operate usinghistorically have operated under a "manager of managers" structure, whereby each Fundutilizing both affiliated and unaffiliated sub-advisers as part of both single and multiple sub-adviser arrangements. HFMC has ansignificant experience in overseeing sub-advisers under such arrangements. The Existing Order, among other things, allows HFMC, with the relevant Board's approval and without shareholder approval, to enter into and materially amend sub-advisory agreements with sub-advisers that are not affiliated with the investment manager or those funds. Other than The Hartford Growth Allocation Fund and a sub-adviser. The investment manager supervises the activitiesHartford Checks and Balances Fund, shareholders of the Funds have previously approved the Funds' operation under this structure.

HFMC and the Companies have requested exemptive relief from the SEC that would extend the Existing Order to also cover sub-advisers that are indirect or direct "wholly-owned subsidiaries" of HFMC, as defined in the 1940 Act, or sister companies of HFMC that are wholly-owned subsidiaries of a company that, indirectly or directly, wholly owns HFMC (the "New Order"). Although HFMC does not currently utilize a sub-adviser which in turn performs the day-to-day investmentits management of the Funds. For other seriesall of the Company,Funds, and does not utilize a wholly-owned subsidiary sub-adviser for any Fund, the Boards believe that it is in orderthe Funds' best interests for HFMC to have the flexibility to do so in the future, with the relevant Board's approval. The Boards believe that permitting HFMC to select and contract with an unaffiliated sub-adviser it is not necessary to obtainsub-advisers, without incurring the delay and



expense involved with obtaining shareholder approval and thus incur the expense of a shareholder meeting. The Order permits the Hartford-sponsored funds to select and contract with unaffiliated sub-advisers and to materially amend investmentnew sub-advisory agreements without a shareholder vote, subjector material amendments to existing sub-advisory agreements, is appropriate and in the shareholders' prior approvalbest interest of each Fund's shareholders and will allow each Fund to operate more efficiently. There is no guarantee that the SEC will grant the New Order.

By prospectively approving this Proposal, shareholders are approving the operation of the respective fundFunds in this manner. To afforda "manager of managers" structure under any such terms or conditions necessary to satisfy the flexibilityconditions of any relief provided by the OrderSEC, including potential future relief that may apply to the Funds, HFMC is seeking shareholders' approval of such an arrangement for the Funds. The Funds are expected to benefit from the Order by being able to act quickly and with less expense if the need arises to replace or hire aany affiliated sub-adviser.

Q. 5  Will any Fund's investment goal and principal investment strategies change if the Proposals are approved?

A. 5  No. Each Fund's respective investment goal and principal investment strategies will not change as a result of the approval of the Proposals.

Q. 69.  Will the Proposals result in higher Fund expenses?total annual fund operating expenses after fee waiver and/or expense reimbursement for any Fund?

A. 69.  No. The Proposals willare not expected to result in an increase in total annual fund operating expenses after fee waiver and/or expense reimbursement for any Fund, as shown in the respective Fund's expenses. Each Fund pays an advisory fee to HFMC, and HFMC is responsible for paying the sub-advisory fee to Wellington Management.prospectus.

Q. 710.  Who will pay the costs incurred in connection with the Meeting?

A. 710.  HFMCEach Fund will pay allits proportionate share of the expenses relating to the enclosed Notice and Joint Proxy Statement and the Meeting, including the printing, mailing, solicitation, and vote tabulation, expenseslegal fees and out-of-pocket expenses. These costs are considered "extraordinary expenses" and are therefore expected to be excluded from any expense limitations currently in effect for any of the Funds.

Q. 8  Does11.  Do the Board of DirectorsBoards recommend that shareholders approve the Proposals?

A. 811.  Yes. The Board recommendsBoards recommend that you vote FOR the Proposals.

Q. 912.  How can I vote?

A. 912.  You can vote:

•  By mail: complete and return your proxy card in the pre-addressed postage-paid envelope.

•  By telephone: call the toll-free number listed on your proxy card and follow the recorded instructions.

•  By internet: log on the website listed on your proxy card and follow the on-screen instructions.

•  In person: attend the meeting on March 14, 2016 at 10:00 a.m. Eastern Time at the offices of HFMC, 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

Whichever method you choose, please take the time to read the Joint Proxy Statement before you vote.

If you hold your shares through a broker or other nominee, your broker or nominee will not vote your shares unless you provide instructions to your broker or nominee on how to vote your shares. You should instruct your broker or nominee how to vote your shares by following the voting instructions provided by your broker or nominee.

Q. 1013.  When should I vote?

A. 1013.  Please vote as soon as possible. You may submit your vote at any time before the date of the shareholder meeting. Representatives of Hartford Funds Management Group,HFMC, any of its affiliates



and Boston Financial Data Services, Inc. ("Hartford") and Broadridge Financial Solutions, Inc. ("Broadridge"Boston Financial"), a firm authorized by HartfordHFMC to assist in the solicitation of proxies, may be contacting you to urge you to vote on thisthese important matter.matters.



Q. 1114.  Where can I obtain additional information about this Joint Proxy Statement?

A. 1114.  For information about the proxy statement, please call toll-free 1-855-976-3324.1-855-520-7708.

To view or obtain a copy of the most recent annual or semi-annual report of the Funds, please go to www.hartfordfunds.com. To view the Joint Proxy Statement, please go to www.proxyvote.comwww.2voteproxy.com/hmf or www.hartfordfunds.com/HMFproxy on or after January 31, 2014.6, 2016.

THE ATTACHED JOINT PROXY STATEMENT CONTAINS
MORE DETAILED INFORMATION ABOUT THE
PROPOSALS.
PLEASE READ IT CAREFULLY.



THE HARTFORD MUTUAL FUNDS, INC.,
on behalf of

The Hartford Balanced Fund,
The Hartford Balanced Income Fund,
The Hartford Capital Appreciation Fund,
The Hartford Checks and Balances Fund,
The Hartford Conservative Allocation Fund,
Hartford Core Equity Fund,
The Hartford Dividend and Growth Fund,
Hartford Duration-Hedged Strategic Income Fund,
Hartford Emerging Markets Equity Fund,
The Hartford Emerging Markets Local Debt Fund,
The Hartford Equity Income Fund,
The Hartford Floating Rate Fund,
The Hartford Floating Rate High Income Fund,
The Hartford Global All-Asset Fund,
The Hartford Global Alpha Fund,
Hartford Global Capital Appreciation Fund,
Hartford Global Equity Income Fund,
The Hartford Global Real Asset Fund,
The Hartford Growth Allocation Fund,
The Hartford Healthcare Fund,
The Hartford High Yield Fund,
The Hartford Inflation Plus Fund,
Hartford International Equity Fund,
The Hartford International Growth Fund,
The Hartford International Opportunities Fund,
The Hartford International Small Company Fund,
The Hartford International Value Fund,
Hartford Long/Short Global Equity Fund,
The Hartford MidCap Fund,
The Hartford MidCap Value Fund,
Hartford Moderate Allocation Fund,
Hartford Multi-Asset Income Fund,
Hartford Municipal Income Fund,
The Hartford Municipal Opportunities Fund,
Hartford Municipal Short Duration Fund,
The Hartford Quality Bond Fund,
Hartford Real Total Return Fund,
The Hartford Short Duration Fund,
Hartford Small Cap Core Fund,
The Hartford Small Company Fund,
The Hartford Strategic Income Fund,
The Hartford Total Return Bond Fund,
The Hartford Unconstrained Bond Fund, and
The Hartford World Bond Fund



THE HARTFORD MUTUAL FUNDS II, INC.,
on behalf of

The Hartford Growth Opportunities Fund,
The Hartford Municipal Real Return Fund,
The Hartford SmallCap Growth Fund, and
The Hartford Value Opportunities Fund




NOTICE OF SPECIALJOINT ANNUAL MEETING OF SHAREHOLDERS

A SpecialJoint Annual Meeting of Shareholders (the "Meeting") of The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fundthe series listed above (each a "Fund" and collectively, the "Funds"), each a series of The Hartford Mutual Funds, Inc. (the("HMF") and The Hartford Mutual Funds II, Inc. ("HMF II"), each a Maryland corporation (each a "Company" and together, the "Companies"), will take place on April 4, 2014March 14, 2016 at 10:00 a.m. Eastern Time at the offices of Hartford Funds Management Company, LLC ("HFMC"), 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087 for the following purposes:

 

Proposal

 

Page

   

Proposal

 

Page

 

1.

1.

 

The ratification and approval of the sub-advisory agreement between HFMC, the investment manager of the Funds, and Wellington Management Company, LLP ("Wellington Management") pursuant to which Wellington Management serves as the sub-adviser to the Funds and manages each Fund's assets.

 

12

 

1.

 

The election of nominees to the Boards of Directors of each of HMF and HMF II (each a "Board" and together, the "Boards").

 

7

 

2.

2.

 

The approval of the retention of fees paid and the payment of fees payable by Hartford Investment Financial Services, LLC, the Funds' former investment manager, and HFMC (as applicable) to Wellington Management for its sub-advisory services to the Funds.

 

24

 

2.

 

The approval of a new Investment Management Agreement between HFMC and the Companies, on behalf of the Funds.

 

19

 

3.

3.

 

The authorization of HFMC to select and contract with investment sub-advisers that are not affiliated with HFMC or the Funds (other than by reason of serving as a sub-adviser to one or more Hartford-sponsored mutual funds (the "Hartford Funds")) and to materially amend investment sub-advisory agreements without obtaining shareholder approval.

 

26

 

3.

 

The approval of a change to each Fund's fundamental investment restriction on the purchase or sale of commodities.

 

26

 

4.

4.

 

To transact such other business as may properly come before the Meeting, or any adjournment(s) or postponement(s) thereof.

  

4.

 

The approval of a change to each Fund's fundamental investment restriction on the purchase or sale of real estate.

 

29

 

5.

5.

 

The approval of a change to each Fund's fundamental investment restriction on concentration of investments in a particular industry or group of industries.

 

31

 

6.

6.

 

The approval, prospectively, of a modification to the current "manager of managers" policy to permit HFMC, subject to prior approval by the relevant Board and under certain circumstances, to enter into and materially amend agreements with affiliated and unaffiliated sub-advisers without the necessity of obtaining shareholder approval.

 

34

 

7.

7.

 

To transact such other business as may properly come before the Meeting, or any adjournment(s) or postponement(s) thereof.

  

The Board of Directors of the Company recommendsBoards recommend that you vote FOR the proposals listed in this notice. Shareholders of record at the close of business on January 10, 2014December 23, 2015 are entitled to notice of and to vote at the Meeting.

Please read the enclosed Joint Proxy Statement carefully for information concerning the Proposals to be placed before the Meeting or any adjournments or postponements thereof. Additional matters would include only matters that were not anticipated as of the date of the enclosed Joint Proxy Statement.



YOUR VOTE IS IMPORTANT. WHETHER OR NOT YOU EXPECT TO BE PRESENT AT THE MEETING, PLEASE FILL IN, SIGN, DATE, AND MAIL THE ENCLOSED PROXY CARD AS PROMPTLY AS POSSIBLE, OR TAKE ADVANTAGE OF THE TELEPHONIC OR INTERNET VOTING PROCEDURES DESCRIBED IN THE JOINT PROXY STATEMENT, IN ORDER TO SAVE ANY FURTHER SOLICITATION EXPENSE. AN ADDRESSED, POSTAGE-PAID ENVELOPE IS ENCLOSED.

  On behalf of the Board of Directors,Boards,

  

  Edward P. Macdonald
  
Secretary and Chief Legal Officer

Dated: January 31, 20146, 2016




THE HARTFORD MUTUAL FUNDS, INC.,
on behalf of

The Hartford Balanced Fund,
The Hartford Balanced Income Fund,
The Hartford Capital Appreciation Fund,
The Hartford Checks and Balances Fund,
The Hartford Conservative Allocation Fund,
Hartford Core Equity Fund,
The Hartford Dividend and Growth Fund,
Hartford Duration-Hedged Strategic Income Fund,
Hartford Emerging Markets Equity Fund,
The Hartford Emerging Markets Local Debt Fund,
The Hartford Equity Income Fund,
The Hartford Floating Rate Fund,
The Hartford Floating Rate High Income Fund,
The Hartford Global All-Asset Fund,
The Hartford Global Alpha Fund,
Hartford Global Capital Appreciation Fund,
Hartford Global Equity Income Fund,
The Hartford Global Real Asset Fund,
The Hartford Growth Allocation Fund,
The Hartford Healthcare Fund,
The Hartford High Yield Fund,
The Hartford Inflation Plus Fund,
Hartford International Equity Fund,
The Hartford International Growth Fund,
The Hartford International Opportunities Fund,
The Hartford International Small Company Fund,
The Hartford International Value Fund,
Hartford Long/Short Global Equity Fund,
The Hartford MidCap Fund,
The Hartford MidCap Value Fund,
Hartford Moderate Allocation Fund,
Hartford Multi-Asset Income Fund,
Hartford Municipal Income Fund,
The Hartford Municipal Opportunities Fund,
Hartford Municipal Short Duration Fund,
The Hartford Quality Bond Fund,
Hartford Real Total Return Fund,
The Hartford Short Duration Fund,
Hartford Small Cap Core Fund,
The Hartford Small Company Fund,
The Hartford Strategic Income Fund,
The Hartford Total Return Bond Fund,
The Hartford Unconstrained Bond Fund, and
The Hartford World Bond Fund



THE HARTFORD MUTUAL FUNDS II, INC.,
on behalf of

The Hartford Growth Opportunities Fund,
The Hartford Municipal Real Return Fund,
The Hartford SmallCap Growth Fund, and
The Hartford Value Opportunities Fund

5 Radnor Corporate Center, Suite 300
100 Matsonford Road
Radnor, Pennsylvania 19087




THE HARTFORD BALANCED ALLOCATION FUND,
THE HARTFORD CONSERVATIVE ALLOCATION FUND, AND
THE HARTFORD GROWTH ALLOCATION FUND
JOINT PROXY STATEMENT

January 6, 2016

PROXY STATEMENT
January 31, 2014Information about Voting and the Meeting

The enclosed proxy card is solicited by the BoardBoards of Directors (the(each a "Board" and together, the "Boards") of The Hartford Mutual Funds, Inc. (the("HMF") and The Hartford Mutual Funds II, Inc. ("HMF II"), each a Maryland corporation (each a "Company" and together, the "Companies"), in connection with the SpecialJoint Annual Meeting of Shareholders (the "Meeting") of The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fundthe series listed above (each, a "Fund" and collectively, the "Funds"), to be held April 4, 2014,March 14, 2016, at 10:00 a.m., Eastern Time, at the offices of Hartford Funds Management Company, LLC ("HFMC"), 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087, and at any adjournment(s) or postponement(s) of the Meeting.

Proxy Solicitor and Payment of Related Expenses

The costs of solicitation, including the cost of preparing and mailing the Notice of the SpecialJoint Annual Meeting of Shareholders and this Joint Proxy Statement, will be paid by HFMC, each Fund's investment manager.the Funds. The approximate mailing date of this Proxy Statement is January 31, 2014.6, 2016. Representatives of Hartford Funds Management Group,HFMC, any of its affiliates, or Boston Financial Data Services, Inc. ("Hartford") or Broadridge Financial Solutions, Inc. ("Broadridge"Boston Financial"), a firm authorized by HartfordHFMC to assist in the solicitation of proxies, may contact you to solicit your proxy by mail or by telephone. The estimated cost of retaining Broadridge for mailingcosts associated with the proxy statements,statement, including printing, mailing, solicitation, vote tabulation and solicitation is $325,345, whichlegal fees, will be paid by HFMC.the Funds. These costs are estimated to be approximately $8,446,450, approximately $8 million of which relate to the solicitation of proxies. These costs are considered "extraordinary expenses" and are therefore expected to be excluded from any expense limitations currently in effect for any of the Funds. As the meeting date approaches, shareholders of the Funds may receive a telephone call from a representative of BroadridgeBoston Financial if their votes have not yet been received. Proxies that are obtained telephonically will be recorded in accordance with the procedures described below. These procedures are reasonably designed to ensure that both the identity of the shareholder casting the vote and the voting instructions of the shareholder are accurately determined.

HFMC, the Funds' investment manager,Voting and Hartford Funds Distributors, LLC ("HFD"), the Funds' principal underwriter, are principally located at 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.Methods of Tabulation

Shareholders may revoke authority to vote their shares by (i) giving written notice of revocation to the Secretary of the Company.Companies; (ii) properly submitting, either by Internet, mail, or telephone, a proxy bearing a later date; or (iii) appearing at the meeting and voting in person. Attendance at the meeting will not by itself constitute revocation of a proxy. As beneficial owners of shares held through a broker or other nominee, shareholders must contact the organization that holds their shares to receive instructions as to how to revoke voting instructions. Unless revoked, properly executed proxy cards that have been returned by shareholders without instructions will be voted "FOR" (1) the proposal to ratify and approveelection of each of the sub-advisory agreement between HFMC and Wellingtonnominees for Director of each Company; (2) the approval of a new Investment Management Company, LLP ("Wellington Management") pursuant to which Wellington Management serves as the sub-adviser


Agreement between HFMC and the Companies, on behalf of the Funds; (3) the approval of a change to each Fund and managesFund's fundamental investment restriction on the purchase or sale of commodities; (4) the approval of a change to each Fund's assets; (2)fundamental investment restriction on the proposalpurchase or sale of real estate; (5) the approval of a change to approveeach Fund's fundamental investment restriction on concentration of investments in a particular industry or group of industries; and (6) the retentionapproval, prospectively, of fees paid and the payment of fees payable by Hartford Investment Financial Services, LLC ("HIFSCO"), the Funds' former investment manager and an affiliate of HFMC, and HFMC (as applicable) to Wellington Management for its sub-advisory servicesa modification to the Funds; and (3)current "manager of managers" policy to permit HFMC, subject to prior approval by the proposal to authorize therelevant Board and HFMC to select or change investment sub-advisers andunder certain circumstances, to enter into orand materially amend investment sub-advisory agreements with affiliated and unaffiliated sub-advisers without the necessity of obtaining the approval of shareholders (collectively, the "Proposals").shareholder approval. In instances where choices are specified by the shareholders in the proxy card, those shareholders' votes will be voted or the votes will be withheld in accordance with the shareholders' choices. Votes can be cast to approve"FOR" or disapprove"AGAINST" each Proposal. Abstentions and broker non-votes (proxy cards received by theeach Company, as applicable, from brokers or nominees when the broker or nominee has not received instructions from the beneficial owner or other persons entitled to vote and has no discretion to vote on a particular matter) will be counted as present for purposes of determining whether a quorum of shares is present at the Meeting, and will have no effect on the vote on Proposal 1 and the same effect as a vote "AGAINST" the other Proposals. As far as the Board isBoards are aware, no matters other than those described in this Joint Proxy Statement will be acted upon at the Meeting. Should any other matters properly come before the Meeting calling for a vote of shareholders, the persons named as proxies intend to vote upon such matters accordingin their discretion.

With respect to their best judgment.the funds of funds for which HFMC does not currently retain a sub-adviser (The Hartford Checks and Balances Fund, The Hartford Conservative Allocation Fund, The Hartford Growth Allocation Fund and Hartford Moderate Allocation Fund), the Funds' Policy Related to Proxy Voting, as approved by the Boards, provides that HFMC will vote any proxies of such Funds in the same proportion as the vote of the shareholders of such underlying Hartford Funds. If you hold your Fund shares through a Coverdell Education Savings Account, Individual Retirement Account, or 403(b) Account for which State Street Bank and Trust Company serves as custodian, you must instruct the financial intermediary how to vote your shares. Fund shares held in these types of accounts on the Record Date (defined below) for which no timely instructions are received will be voted in the same proportion as voted by all Fund shareholders. Please consult your financial intermediary for more information about its practices with respect to voting beneficial owners' shares. In addition, certain Hartford Separate Accounts invested in the Funds will be voted by an HFMC affiliate in the same proportion as such Fund's other shareholders. Proprietary assets of HFMC or its affiliates invested in the Funds will be voted FOR the Proposals or voted in the same proportion as voted by such Fund's other shareholders, depending on the account through which the shares are held. As of the Record Date (as defined below), proprietary assets of HFMC or its affiliates amounted to 50% or more of the outstanding shares in the Hartford Multi-Asset Income Fund, Hartford Global Equity Income Fund and The


Hartford Global Alpha Fund. As a result, in the case of these three Funds the Proposals may be approved by the vote FOR the Proposals by HFMC and its affiliates, without additional votes FOR the Proposals by other shareholders of the Funds. In addition, shares held by a Fund's sub-adviser will be voted in accordance with the sub-adviser's proxy voting policies and procedures.

Shareholder Voting

Shareholders may authorize their proxy to vote by completing and returning the enclosed proxy card. Shareholders may also authorize their proxy to vote by touchtone telephone or by internet by following the instructions on the proxy card. To authorize their proxy to vote by internet or by telephone, shareholders will need the "control number" that appears on the proxy card. After inputting this number, shareholders will be prompted to provide their voting instructions on the Proposals. Shareholders will have an opportunity to review the voting instructions and make any necessary changes before submitting the voting instructions and terminating the telephone call or internet link.

The principal solicitation of proxies will be by the mailing of this Joint Proxy Statement beginning on or about January 31, 2014,6, 2016, but proxies may also be solicited from a representative of HartfordHFMC, any affiliate or from our proxy solicitor, Broadridge. HFMCBoston Financial. The Funds will pay all expenses relating to this Notice and Joint Proxy Statement and the Meeting, including the printing, mailing, solicitation, and vote tabulation, expenseslegal fees and out-of-pocket expenses. If we have not received your vote as the date of the Meeting approaches, you may receive a call from these parties to ask for your vote. Arrangements will be made with brokerage houses and other custodians, nominees, and fiduciaries to forward proxies and proxy materials to their principals.shareholders.

In all cases where a telephonic proxy is solicited by Broadridge,Boston Financial, the BroadridgeBoston Financial representative is required to ask for each shareholder's full name and address, or the zip code, or employer identification number, and to confirm that the shareholder has received the proxy materials in the mail. If the shareholder is a corporation or other entity, the BroadridgeBoston Financial representative is required to ask for the person's title and for confirmation that the person is authorized to direct the voting of the shares. If the information solicited agrees with the information previously provided to the


Broadridge Boston Financial representative, then the BroadridgeBoston Financial representative will explain the proxy voting process, read the Proposal listed on the proxy card and ask for the shareholder's instructions on the applicable Proposals. Although the BroadridgeBoston Financial representative is permitted to answer questions about the process, he or she is not permitted to recommend to the shareholder how to vote, other than to read any recommendation set forth in this Joint Proxy Statement. The BroadridgeBoston Financial representative will record the shareholder's instructions on the card.

Within 72 hours, the shareholder will be sent a letter or e-mail to confirm his or her vote and asking the shareholder to call BroadridgeBoston Financial immediately if his or her instructions are not correctly reflected in the confirmation.


Although a shareholder's vote may be solicited and taken by telephone, each shareholder will also receive a copy of this Joint Proxy Statement and may vote by mail using the enclosed proxy card or by touchtone telephone or the internet as set forth on the proxy card. The last proxy vote received in time to be voted, whether by proxy card, touchtone telephone or internet, will be the vote that is counted and will revoke all previous votes by the shareholder.

Only those shareholders owning shares as of the close of business on January 10, 2014December 23, 2015 (the "Record Date") may vote at the Meeting or any adjournment(s) or postponement(s) of the Meeting. Appendix A sets forth the issued and outstanding shares of each Fund as of the Record Date. Each full share outstanding is entitled to one vote, and each fractional share outstanding is entitled to a proportionate share of one vote. As a shareholder, you will not have appraisal rights in connection with the Proposals described in this Joint Proxy Statement.

Quorum and Adjournment

The presence, either in person or by proxy, of shareholders entitled to cast one-third of all the votes entitled to be cast at the Meeting shall constitute a quorum. If a quorum is not present or if a quorum is present but sufficient votes to approve any proposalProposal are not received, the chairman of the Meeting may adjourn the Meeting to a date not more than 120 days after the original record date without notice other than announcement at the Meeting. A shareholder vote may be taken for each Proposal in this Joint Proxy Statement prior to any adjournment provided that there is a quorum. If thea Proposal is considered and receives a sufficient number of votes for approval prior to any adjournment, the Proposal shall be deemed adopted and shall not require any further shareholder approval at any adjournment or otherwise. At any subsequent reconvening of the Meeting, proxies will (unless previously revoked) be voted in the same manner as they would have been voted at the Meeting. The approval of any individual Proposal does not impact the approval of the other Proposals in this Joint Proxy Statement, and any adjournment of the Meeting may relate to one or more of the Proposals.


Important Notice Regarding the Availability of Proxy Materials
For the SpecialJoint Annual Meeting of Shareholders to be Held on April 4, 2014March 14, 2016

Copies of the Funds' most recent annual and semi-annual reports, including financial statements, are available at no charge by visiting www.hartfordfunds.com; by sending a written request to Hartford Funds, P.O. Box 64387, St. Paul, Minnesota 55164-0387 (for requests sent prior to March 1, 2014) or Hartford Funds, P.O. Box 55022, Boston, Massachusetts 02205-5022 (effective March 1, 2014);02205-5022; or by calling 1-888-843-7824.

To view the Joint Proxy Statement and obtain voting information, please go to www.proxyvote.comwww.2voteproxy.com/hmf on or after January 31, 20146, 2016 and enter the 12-digit Control Number located on your proxy card. You may also obtain a copy of the Joint Proxy Statement at www.hartfordfunds.com/HMFproxy. For information about the proxy statement, please call toll-free 1-855-976-3324.1-855-520-7708.


DESCRIPTIONTABLE OF PROPOSALSCONTENTS

BACKGROUND

The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fund (each, a "Fund" and collectively, the "Funds") operate using a "manager of managers" structure whereby each Fund has an investment manager and a sub-adviser. The investment manager supervises the activities of the sub-adviser, which in turn performs the day-to-day investment management of the Funds.

Exemptive relief granted by an order (the "Order") issued by the U.S. Securities and Exchange Commission ("SEC") permits the Hartford-sponsored mutual funds (the "Hartford Funds") to select and contract with unaffiliated sub-advisers without a shareholder vote.(1) The Hartford Funds' ability to rely on the Order is contingent on compliance with conditions set forth in the Order, including that each Hartford Fund (i) receive shareholder approval to operate using a "manager of managers" structure in reliance on the Order; (ii) hold itself out to the public as employing the "manager of managers" structure; and (iii) disclose in its prospectus the existence, substance and effect of the Order.

HFMC recently conducted a review of the Hartford Funds' compliance with the conditions of the Order (the "Review"). The Review identified inconsistencies and administrative oversights with respect to the Funds' compliance with certain conditions of the Order. In particular, the Review raised a question whether the Funds' sole initial shareholder consented to reliance on the Order, and indicated that the Funds' reliance on the Order had not been consistently disclosed in the Funds' prospectuses. In light of the results of the Review, HFMC and the Board are requesting that shareholders approve each of the Proposals discussed below.

PROPOSAL 1 — ELECTION OF DIRECTORS

7

Proposal No.Nominees for Election as Independent Director (not previously
elected by shareholders)
 

7

Description of ProposalNominees for Election as Independent Director (previously
elected by shareholders)

9

Nominee for Election as Interested Director (not previously
elected by shareholders)

13

 

1.Director Qualifications

 

The ratification and approval of the sub-advisory agreement between Hartford Funds Management Company, LLC ("HFMC"), the investment manager of the Funds, and Wellington Management Company, LLP ("Wellington Management") pursuant to which Wellington Management serves as the sub-adviser to the Funds and manages each Fund's assets.13

 

2.Current Officers

 

The approval of the retention of fees paid and the payment of fees payable by Hartford Investment Financial Services, LLC ("HIFSCO"), the Funds' former investment manager, and HFMC (as applicable) to Wellington Management for its sub-advisory services to the Funds.16

 

3.Required Vote

 

The authorization of HFMC to select and contract with investment sub-advisers that are not affiliated with HFMC or the Funds (other than by reason of serving as a sub-adviser to one or more of the Hartford Funds) and to materially amend investment sub-advisory agreements without obtaining shareholder approval.18

PROPOSAL 2 — APPROVAL OF NEW INVESTMENT
MANAGEMENT AGREEMENT

19

 

4.Description of the Changes in the New Agreement

 

To transact such other business as may properly come before19

Description of Current and New Agreements

19

Board Considerations in Approving the Meeting, or any adjournment(s) or postponement(s) thereof.New Agreement

22

Additional Information

25

Required Vote

25

PROPOSAL 3 — APPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL INVESTMENT RESTRICTION ON THE
PURCHASE OR SALE OF COMMODITIES

26

Required Vote

28

PROPOSAL 4 — APPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL INVESTMENT RESTRICTION ON THE
PURCHASE OR SALE OF REAL ESTATE

29

Required Vote

30

PROPOSAL 5 — APPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL INVESTMENT RESTRICTION ON
CONCENTRATION

31

Required Vote

33

PROPOSAL 6 — APPROVAL TO PERMIT HFMC TO ENTER INTO
AND/OR MATERIALLY AMEND AGREEMENTS WITH
AFFILIATED AND UNAFFILIATED SUB-ADVISERS ON BEHALF
OF EACH OF THE FUNDS WITHOUT OBTAINING
SHAREHOLDER APPROVAL

34

Background

34

The Current Manager of Managers Arrangement

34

The Proposed Manager of Managers Arrangement

35

Implications of Approving Proposal 6

35

Board Considerations in Approving Reliance on the New Order

36

Required Vote

37

 

(1)  Fortis Series Fund, Inc. and Fortis Advisers, Inc., Investment Company Act Rel. Nos. 24158 (Nov. 23, 1999) (notice) and 24211 (Dec. 21, 1999) (order).


OTHER MATTERS

38

OTHER SERVICE PROVIDERS

38

PORTFOLIO TRANSACTIONS AND BROKERAGE

38

SHAREHOLDER MAILINGS

38

SHAREHOLDER PROPOSALS

39

INDEX OF APPENDICES

40

Appendix A Fund Shares Outstanding

A-1

Appendix B Additional Information About the Companies and
Independent Registered Public Accounting Firm

B-1

Appendix C Nominating and Governance Committee Charter

C-1

Appendix D Form of Proposed New Investment Management
Agreement

D-1

Appendix E Additional Information About HFMC and the
New Agreement

E-1

Appendix F Beneficial Owners

F-1


PROPOSAL 1

RATIFICATION AND APPROVALELECTION OF THE SUB-ADVISORY AGREEMENT WITH WELLINGTON MANAGEMENTDIRECTORS

The Board is proposing thatAt the Meeting, shareholders ratify and approve, with respectwill be asked to each Fund, the sub-advisory agreement between HFMC and Wellington Management. The Funds are managed by HFMC using a "manager of managers" structure. Wellington Management has continuously served as sub-adviser to each Fund since June 4, 2012, and has provided investment sub-advisory services to the each Fund with respect to the each Fund's assets.

HFMC serves as each Fund's investment manager pursuant to an investment management agreement between HFMC and the Company with respect to each Fund. Pursuant to the investment management agreement, HFMC establishes each Fund's investment program, subject to the oversight of the Funds' Board of Directors (the "Board"). HFMC may also choose to select, supervise and evaluate a sub-adviser or sub-advisers who will, in turn, make each Fund's investment decisions, subject to the oversight of the Board. HFMC recommends sub-advisers it believes will provide each Fund with high quality investment services consistent with each Fund's investment strategy in order to achieve its respective investment objective. HFMC is also responsible for the monitoringelect members of each Fund's sub-adviser(s).Board, each to serve an indefinite term. Each Board has nominated each of Hilary E. Ackermann, Lynn S. Birdsong, James E. Davey, Christine Detrick, Duane E. Hill, Sandra S. Jaffee, William P. Johnston, Phillip O. Peterson and Lemma W. Senbet (each a "Nominee" and together, the "Nominees") as Directors.

The Board, includingWith the exception of Ms. Detrick, the Nominees are the current members of each Board. With the exception of Ms. Ackermann, Mr. Davey, Ms. Detrick and Dr. Senbet, the Nominees have previously been elected by shareholders. Ms. Detrick is not currently a majoritymember of those Directors whoeither Board. Each Nominee, with the exception of Mr. Davey, is an independent or disinterested person, which means they are not "interested persons" of the Funds (as that term isCompanies, as defined in the Investment Company Act of 1940 ("1940 Act"). Such individuals are commonly referred to as amended, (the "1940 Act")) (""Independent Directors."

Pertinent information regarding each Nominee's principal occupation and business experience during at least the past five years, number of portfolios overseen or to be overseen and other directorships held is set forth below. Shareholders wishing to send communications to the Nominees may submit written correspondence, directed to the Nominees, in care of the applicable Company's Secretary, Edward P. Macdonald, c/o Hartford Funds, 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

Nominees for Election as Independent Directors"), initiallyDirector (not previously elected by shareholders):

Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen
or to be
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
Hilary E. Ackermann
(1956)

Director

Since 2014

Ms. Ackermann served as Chief Risk Officer at Goldman Sachs Bank USA from October 2008 to November 2011 and has served as a Director of Dynegy, Inc. (an independent power company) from October 2012 to present.

67

Ms. Ackermann serves as a Director of Dynegy, Inc. (a power company) (October 2012 to present).


Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen
or to be
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
Christine Detrick
(1958)

None

N/A

Ms. Detrick has served as a Director of Reinsurance Group of America since January 2014 and Forest City Enterprises (a real estate company) since November 2014. Previously, she was a Director of Forethought Financial Group, Inc. (a financial services company) from January 2012 to January 2014 and a Partner/Senior Advisor at Bain & Company (a management consulting firm) from September 2002 to December 2012.

67

Ms. Detrick serves as a Director of Reinsurance Group of America (January 2014 to present) and Forest City Enterprises (a real estate company) (November 2014 to present).

Lemma W. Senbet
(1946)

Director

Since 2005

Dr. Senbet is the William E. Mayer Chair Professor of Finance and Founding Director, Center for Financial Policy, at the University of Maryland, Robert H. Smith School of Business. He was chair of the Finance Department of the University of Maryland, Robert H. Smith School of Business from 1998 to 2006. Since June 2013, he has been on leave from the University to serve as Executive Director of the African Economic Research Consortium, which focuses on economic policy research and training. Previously, he was a chaired professor of finance at the University of Wisconsin-Madison. Also, he was a Director of the Fortis Funds from March 2000 to July 2002. Dr. Senbet served as Director of the American Finance Association and President of the Western Finance Association. In 2006, Dr. Senbet was inducted as a Fellow of Financial Management Association International for his career-long distinguished scholarship and professional service.

67

None

*  Each Director holds an indefinite term until the earlier of (i) the election and qualification of his or her successor or (ii) when the Director turns 75 years of age.


Nominees for Election as Independent Director (previously elected by shareholders):

Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
Lynn S. Birdsong
(1946)

Director

Since 2003

Mr. Birdsong currently serves as a Director of Aberdeen Global and Aberdeen Global II (investment funds) (September 2014 to present). Mr. Birdsong served as an Independent Director of Nomura Partners Funds, Inc. (formerly, The Japan Fund) (April 2003 to February 2015) and as a Director of the Sovereign High Yield Investment Company (April 2010 to June 2014). From 2003 to March 2005, Mr. Birdsong was an Independent Director of the Atlantic Whitehall Funds. From 1979 to 2002, Mr. Birdsong was a Managing Director of Zurich Scudder Investments, an investment management firm. During his employment with Scudder, Mr. Birdsong was an Interested Director of The Japan Fund. From January 1981 to December 2013, Mr. Birdsong was a partner in Birdsong Company, an advertising specialty firm.

67

Mr. Birdsong is a Director of Aberdeen Global and Aberdeen Global II (September 2014 to present).

Duane E. Hill
(1945)

Director

Since 2001(1)
Since 2002(2)

Mr. Hill is a Partner of TSG Ventures L.P., a private equity investment company. Mr. Hill is a former partner of TSG Capital Group, a private equity investment firm that serves as sponsor and lead investor in leveraged buyouts of middle market companies.

67

None


Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
Sandra S. Jaffee
(1941)

Director

Since 2005

Ms. Jaffee is the founder and Chief Executive Officer of a private company, Homeworks Concierge, LLC, which provides residential property management services in Westchester County, New York (January 2012 to present). Ms. Jaffee served as Chair (2008 to 2009) and Chief Executive Officer of Fortent (formerly Searchspace Group), a leading provider of compliance/regulatory technology to financial institutions, from August 2005 to August 2009. From August 2004 to August 2005, Ms. Jaffee served as an Entrepreneur in Residence with Warburg Pincus, a private equity firm. Prior to joining Warburg Pincus, Ms. Jaffee served as Executive Vice President at Citigroup, from September 1995 to July 2004, where she was President and Chief Executive Officer of Citibank's Global Securities Services (1995 to 2003). Ms. Jaffee served as a member of the Board of Directors of Broadridge Financial Solutions (November 2010 to November 2014). Ms. Jaffee currently serves as a member of the Board of Directors of Global Corps Africa (a non-profit organization) (January 2015 to present) as well as a Trustee of Muhlenberg College (September 2007 to present).

67

None


Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
William P. Johnston
(1944)

Director and Chairman of the Boards

Director since 2005; Chairman of the Board for each Company since 2015

In June 2006, Mr. Johnston was appointed as Senior Advisor to The Carlyle Group, a global private equity and alternative asset investment firm and currently serves as an Operating Executive. In July 2006, Mr. Johnston was elected to the Board of Directors of MultiPlan, Inc. (a healthcare preferred provider organization) and served as a Director (July 2006 to August 2010). In August 2007, Mr. Johnston was elected to the Board of Directors of LifeCare Holdings, Inc. (an acute care hospital operator) and served as a Director (August 2007 to June 2013). In February 2008, Mr. Johnston was elected to the Board of Directors of HCR-ManorCare, Inc. (a healthcare provider). In May 2006, Mr. Johnston was elected to the Supervisory Board of Fresenius Medical Care AG & Co. KGaA (a producer of medical supplies), after its acquisition of Renal Care Group, Inc. in March 2006. Mr. Johnston joined Renal Care Group (a dialysis provider) in November 2002 as a member of the Board of Directors and served as Chairman of the Board from March 2003 through March 2006. From 2002 through 2013, Mr. Johnston served as a Board member of the Georgia O'Keefe Museum. From September 1987 to December 2002, Mr. Johnston was with Equitable Securities Corporation (and its successors, SunTrust Equitable Securities and SunTrust Robinson Humphrey) serving in various investment banking and managerial positions, including Managing Director and Head of Investment Banking, Chief Executive Officer and Vice Chairman.

67

None


Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
Phillip O. Peterson
(1944)

Director

Since 2002(1)
Since 2000(2)

Mr. Peterson is a mutual fund industry consultant. He was a partner of KPMG LLP (an accounting firm) until July 1999. Mr. Peterson joined William Blair Funds in February 2007 as a member of the Board of Trustees. From February 2012 to February 2014, Mr. Peterson served as a Trustee of Symetra Variable Mutual Funds. From January 2004 to April 2005, Mr. Peterson served as Independent President of the Strong Mutual Funds.

67

Mr. Peterson is a Trustee of the William Blair Funds (February 2007 to present) (26 funds overseen).

*  Each Director holds an indefinite term until the earlier of (i) the election and qualification of his or her successor or (ii) when the Director turns 75 years of age.

(1)  For HMF

(2)  For HMF II


Nominee for Election as Interested Director (not previously elected by shareholders):

Name and
Year of Birth
Position Held
with the
Companies
Term of Office*
and Length of
Time Served
Principal Occupation(s)
During Last 5 Years
Number of
Portfolios in
Fund
Complex
Overseen by
Nominee for
Director
Other
Directorships
Held by
Nominee for
Director
James E. Davey**
(1964)

Director, President and Chief Executive Officer

President and Chief Executive Officer since 2010; Director since 2012.

Mr. Davey serves as Executive Vice President of Hartford Life Insurance Company ("HLIC") and The Hartford Financial Services Group, Inc. ("The Hartford"). Additionally, Mr. Davey serves as Chairman of the Board, Manager and Senior Managing Director of Hartford Funds Distributors, LLC ("HFD"). He also currently serves as Director, Chairman of the Board, President and Senior Managing Director of Hartford Administrative Services Company ("HASCO"). Mr. Davey also serves as Manager, Chairman of the Board and Senior Managing Director for HFMC and Director, Chairman of the Board and Senior Managing Director for Hartford Funds Management Group, Inc. ("HFMG"). Mr. Davey has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Davey joined The Hartford in 2002.

67

N/A

*  Each Director holds an indefinite term until the earlier of (i) the election and qualification of his or her successor or (ii) when the Director turns 75 years of age.

**  "Interested person," as defined in the 1940 Act, of the Companies because of the person's affiliation with, or equity ownership of, HFMC, HFD or affiliated companies.

Director Qualifications

The governing documents for the Companies do not set forth any specific qualifications to serve as a Director. The Charter for the Nominating and Governance Committee sets forth criteria that the Committee should consider as a minimum requirement for consideration as an Independent Director, including: 15 years of business or academic experience in a management, administrative or other oversight capacity; a college degree or business experience equivalent to a


college degree; an ability to invest in the Funds; a person of high ethical standards; and a person able to think through and discuss complicated regulatory and financial issues and arrive at reasonable decisions on these issues on behalf of shareholders.

Each Board has concluded, based on each Nominee's experience, qualifications, attributes and/or skills, on an individual basis and in combination with those of other Nominees, that each Nominee is qualified to serve as a Director for the Funds. Among the attributes and skills common to all Nominees are the ability to review, evaluate and discuss information and proposals provided to them regarding the Funds, the ability to interact effectively with management and service providers, and the ability to exercise independent business judgment. Where applicable, the Boards have considered the actual service of the Nominee in concluding that the Nominee should continue to serve as a Director. Each Nominee's ability to perform his or her duties effectively has been attained through the Nominee's education and work experience, as well as service as a director for the Funds and/or other entities. Set forth below is a brief description of the specific experience of each Nominee. Additional details regarding the background of each Nominee is included in the chart earlier in this section.

Hilary E. Ackermann. Ms. Ackermann has served as a director of the Funds since September 2014. Ms. Ackermann has over twenty-five years of credit, financial and risk management experience, including serving as Chief Risk Officer at Goldman Sachs Bank USA.

James E. Davey. Mr. Davey has served as a director of the Funds since 2012 and President and Chief Executive Officer of the Funds since 2010. Mr. Davey serves as Executive Vice President of HLIC and The Hartford. Additionally, Mr. Davey serves as Senior Managing Director, Manager and Chairman of the Board of HFD. Mr. Davey also serves as Senior Managing Director, Chairman of the Board and Manager for HFMC. Mr. Davey joined The Hartford in 2002.

Christine Detrick. Ms. Detrick has over thirty years of experience leading and advising financial services companies and investors. She previously served as a director, head of the Americas financial services practice and senior advisor at a management consulting firm, and as a director of a private mid-sized financial services company.

Lemma W. Senbet. Dr. Senbet has served as a director of the Funds (and their predecessors) since 2000. For more than thirty years, Dr. Senbet has served as a professor of finance, including serving as the Director of Center for Financial Policy and as the chair of the finance department at a major university. He has served the finance profession in various capacities, including as a director or officer of finance associations.

Lynn S. Birdsong. Mr. Birdsong has served as a director of the Funds since 2003. He has served as Co-Chairman of the Investment Committee since 2005 and Chairman of the Investment Committee since September 2014. Mr. Birdsong served in senior executive and portfolio management positions for investment management


firms for more than twenty-five years. He has served as a director of other mutual funds for more than ten years.

Duane E. Hill. Mr. Hill has served as a director of the Funds since 2001. He has served as the Chairman of the Nominating and Governance Committee since 2003. Mr. Hill has more than thirty-five years' experience in senior executive positions in the banking, venture capital and private equity industries.

Sandra S. Jaffee. Ms. Jaffee has served as a director of the Funds since 2005. She has served as Chair of the Compliance Committee since 2015. Ms. Jaffee has more than thirty-five years of experience as a senior executive in the financial services and technology area, including serving as chair and CEO of a leading provider of compliance/regulatory technology to financial institutions and as president and CEO of the global securities services division of a major financial services company.

William P. Johnston. Mr. Johnston has served as a director of the Funds since 2005. He has served as Chairman of the Board of Directors of the Funds and Chairman of the Contracts Committee since 2015. He served as Chairman of the Compliance Committee from 2005 to 2015. Mr. Johnston has more than forty years of experience in senior leadership positions in the health care, investment banking and legal professions. He currently serves as an operating executive to a global private equity and other alternative asset investment firm and serves on other boards. He previously served as managing director and head of investment banking, CEO and vice chairman for an investment bank.

Phillip O. Peterson. Mr. Peterson has served as a director of the Funds (and their predecessors) since 2000. He has served as the Chairman of the Audit Committee since 2002. Mr. Peterson was a partner of a major accounting firm, providing services to the investment management industry. He has served as an independent president of a mutual fund complex, and he serves on another mutual fund board.

Pertinent information regarding each officer's principal occupation and business experience during at least the past five years is set forth below. The address for each officer is c/o Hartford Funds, 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.


Current Officers

Name and
Year of Birth
Position Held
with the
Companies
Term of Office* and
Length of Time
Served
Principal Occupation(s)
During Last 5 Years
Andrew S. Decker
(1963)

AML Compliance Officer

Since 2015

Mr. Decker currently serves as Chief Compliance Officer and AML Compliance Officer of HASCO and as AML Officer of HFD. Prior to joining The Hartford, Mr. Decker served as Vice President and AML Officer at Janney Montgomery Scott (a broker dealer) from April 2011 to January 2015. Mr. Decker served as AML Compliance and Sanctions Enforcement Officer at SEI Investments from December 2007 to April 2011.

Michael Flook
(1965)

Vice President, Treasurer and Controller

Since 2015

Mr. Flook currently serves as an employee of HFMC. Mr. Flook served as Assistant Treasurer for each Company, The Hartford Alternative Strategies Fund and the Hartford HLS Funds from February 2015 to March 2015. Mr. Flook joined The Hartford in 2014. Prior to joining The Hartford, Mr. Flook served as Director, Vice President and Assistant Treasurer at UBS Global Asset Management from May 2006 to November 2014.

Edward P. Macdonald
(1967)

Vice President, Secretary and Chief Legal Officer

Since 2005

Mr. Macdonald currently serves as Assistant Secretary, Executive Vice President and Deputy General Counsel of HFD, HASCO, HFMC and HFMG. He also serves as Vice President of HLIC. Mr. Macdonald has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Macdonald joined The Hartford in 2005.


Name and
Year of Birth
Position Held
with the
Companies
Term of Office* and
Length of Time
Served
Principal Occupation(s)
During Last 5 Years
Joseph G. Melcher
(1973)

Vice President and Chief Compliance Officer

Since 2013

Mr. Melcher currently serves as Executive Vice President of HFD, HFMG and HASCO. Mr. Melcher also currently serves as Executive Vice President and Chief Compliance Officer of HFMC. Mr. Melcher has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds since joining The Hartford in 2012. Prior to joining The Hartford, Mr. Melcher worked at Touchstone Investments, a member of the Western & Southern Financial Group, where he held the position of Vice President and Chief Compliance Officer from 2010 through 2012 and Assistant Vice President, Compliance from 2005 to 2010.

Vernon J. Meyer
(1964)

Vice President

Since 2006

Mr. Meyer currently serves as Senior Vice President of HLIC. He also currently serves as Managing Director and Chief Investment Officer of HFMC and Managing Director of HFMG. Mr. Meyer has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Meyer joined The Hartford in 2004.


Name and
Year of Birth
Position Held
with the
Companies
Term of Office* and
Length of Time
Served
Principal Occupation(s)
During Last 5 Years
Laura S. Quade
(1969)

Vice President

Since 2012

Ms. Quade currently serves as Vice President of HASCO, HFD and HFMG. She is the Head of Operations of HASCO and formerly served as Director, Enterprise Operations of HLIC. Ms. Quade has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Ms. Quade joined The Hartford in 2001.

*  Each officer may serve until his or her successor is elected and qualifies.

Additional information about the Companies and the independent registered public accounting firm of the Companies is provided in Appendix B.

REQUIRED VOTE

A plurality of the votes properly cast in person or by proxy at the Meeting is required for the election of directors. Because each Fund is a series of its respective Company, each shareholder vote will be counted together with the votes of shareholders of the other series of the applicable Company, voting as a single class in the election of directors. Unless otherwise instructed, the proxies will vote all properly executed proxy cards and voting instruction cards "FOR" the Nominees. Each of the Nominees has consented to serve as a Director if elected.

The Boards unanimously recommend that you vote "FOR" Proposal 1.


PROPOSAL 2

APPROVAL OF NEW INVESTMENT MANAGEMENT AGREEMENT

At a meeting on November 4-5, 2015, the Boards, including all of the Independent Directors, approved a sub-advisory agreement between HIFSCO and Wellingtonnew Investment Management (the "Original Agreement"), with respect to each Fund, at an in-person meeting held on March 27, 2012. Subsequently, in connection with a corporate restructuring plan, at its meeting held on November 8, 2012, the Board voted to terminate the Original Agreement between HIFSCOHFMC and Wellingtoneach of HMF and HMF II, on behalf of the Funds (the "New Agreement"). If approved by shareholders, the New Agreement will replace the current Investment Management Agreements between HMF and approve a newHFMC and between HMF II and HFMC, each dated January 1, 2013 (together, the "Current Agreements"). For more information on the Current Agreements, please see Appendix E. The two Current Agreements have been consolidated into the New Agreement for administrative efficiency.

As described further below, the Boards approved the New Agreement for the purpose of clarifying the description of the management and administrative services provided to the Funds by HFMC, and to make other enhancements. If approved by shareholders, the New Agreement will not result in an increase in the overall fees paid by the Funds.

Description of the Changes in the New Agreement

The New Agreement differs from the Current Agreements in that it includes, among other things:

•  expanded descriptions of the advisory, management and administrative services provided by HFMC, as the Funds' investment sub-advisory agreement betweenmanager, to reflect in additional detail the nature and scope of services currently provided by HFMC to the Funds;

•  an affiliateupdated discussion of HIFSCO,HFMC's and Wellington Managementsub-advisers' obligations to seek best execution with respect to the Funds (the "Agreement"). The replacementFunds' portfolio transactions to better reflect industry best practices; and

•  general enhancements to clarify existing obligations and responsibilities.

Description of HIFSCO with HFMC did not result in any change to the contractual terms of the Funds' investment management agreements or the day-to-day management of the Funds,Current and no shareholder vote was required. The Board most recently approved the continuation of the Agreement at an in-person meeting held on August 6-7, 2013. Information about the Board's considerations relating to the approval of the Original Agreement and the Agreement is set forth below under "Board of Directors' Considerations."

At a special meeting held on December 13, 2013, the Board determined to recommend that shareholders approve the Proposal relating to the Agreement. The Board considered that, at the time it approved the Original Agreement and the Agreement, HFMC believed, and informed the Board, that the Original Agreement and the Agreement did not require shareholder approval due to the Funds' ability to rely on the Order. The Board noted that it had undertaken a full review of Wellington


Management in connection with the renewal of the Agreement at its August 6-7, 2013 meeting, and that the Board reviews the performance of the Funds at its regular quarterly meetings. The Board determined that it was appropriate for Wellington Management to continue to serve as sub-adviser to the Funds, and concluded that the ratification and approval of the Agreement by shareholders would be in the best interests of each Fund and its shareholders.

DESCRIPTION OF THE AGREEMENTNew Agreements

The following discussionis a summary of the terms of the Current Agreements and the New Agreement, as described in this Proposal. Except for the changes discussed above, the terms of the Current Agreement and the New Agreement are virtually identical. The description below is qualified in its entirety by reference to the Agreement, a form of the New Agreement, which is attached heretoincluded as Appendix B.D to this Joint Proxy Statement.

Duties of the Investment Manager.Under the Agreement, Wellington Management would continueCurrent and New Agreements, HFMC administers the business and affairs of the Companies and the Funds and may retain and compensate sub-advisers that invest and reinvest the assets of the Funds pursuant to serve as sub-advisersub-advisory agreements with HFMC. In this regard, HFMC will, whether directly or through engagement of sub-advisers, regularly provide each Fund with research, advice and providesupervision, and will furnish continuously an investment sub-advisory services to each Fund. Except in certain circumstances, HFMC would not be responsible for making day-to-day investment decisionsprogram for each Fund. HFMC will be responsible, however, for overseeing and reviewing the performance of Wellington Management.

If Proposal 1 is approved, and as set forth in the Agreement, Wellington Management will continue to perform investment management services in conformity with the Company's Articles of Incorporation and By-Laws, each as amended from time to time, the 1940 Act and other applicable laws. The Agreement requires Wellington Management to provide advisory services in accordanceFund consistent with the investment objectives and


policies of the Fund. HFMC shall also monitor, supervise and restrictions of each Fundoversee any sub-adviser. In addition, HFMC shall regularly provide such administrative and management services as set forth in such Fund's prospectus and statement of additional information ("SAI"), and in accordance with any investment guidelines or other instructions received in writing from HFMC, and subject further to such policies and instructions as the Board or HFMC may from time to time establishbe requested by the Companies or Funds as necessary for the operation of the Funds. The New Agreement clarifies these services and deliverduties and enumerates certain existing obligations and responsibilities, including, among others, the investment management and administrative and management services outlined below:

Investment Management Services

•  Providing and, as necessary, re-evaluating and updating the investment objectives and parameters, asset classes, and risk profiles of the Funds.

•  Determining, as permitted through the engagement of sub-advisers as the case may be, what securities and other financial instruments should be purchased for the Funds and the portion of the Funds' portfolios to Wellington Management.be held in cash.

The Agreement provides that Wellington Management, in consultation•  Monitoring the Funds' performance and examining and recommending ways to improve performance.

•  Meeting with HFMC, as appropriate, will make all determinationsand monitoring sub-advisers to confirm their compliance with respectthe Funds' investment strategies and policies and for their adherence to legal and compliance procedures.

•  Researching and recommending sub-advisers or portfolio managers for the Funds.

•  Reporting to the investmentBoards on the performance of each Fund's assetsFund and recommending action as appropriate.

Administrative and Management Services

•  Assisting in all aspects of the Company's operations, including the supervision and coordination of service providers (e.g., the custodian, transfer agent or other shareholder servicing agents, accountants, and attorneys), and serving as the liaison between such service providers and the purchase or saleBoard.

•  Drafting and negotiating agreements between service providers and the Company.

•  Preparing meeting materials for the Company's Board and producing such other materials as the Board may request.

•  Coordinating and overseeing filings with the SEC.

•  Developing and implementing compliance programs for the Funds.

•  Providing day-to-day legal and regulatory support for the Funds.

•  Assisting the Funds in the handling of portfolio securities, and will take such steps as may be necessary to implement such determinations. The Agreement requires Wellington Management to reportregulatory examinations.

•  Making reports to the Board at its regular periodic meetings. These reports cover Wellington Management's economic outlook and investment strategy and a discussion of the portfolio activity andregarding the performance of the Funds. Copies of all such reports are furnished to HFMC for examination and review within a reasonable time prior to the presentation of such reports to the Company's Board.

Consistent with the terms of the Agreement, Wellington Management is permitted, in its discretion, to select brokers or dealers that execute the purchases and sales of portfolio securities for each Fund. In selecting broker-dealers, Wellington Management is required to use its best efforts to obtain the best net security price available for each Fund. Additionally, subject to and in accordance with any directions that the Board or HFMC may issue from time to time, Wellington Management may also be authorized to effect individual securitiesFunds' investment adviser.


transactions at commission rates in excess of the minimum commission rates available, if Wellington Management determines in good faith that such amount of commission is reasonable in relation•  Maintaining and preserving records relating to the value ofFunds.

•  Performing due diligence on third-party service providers and negotiating service agreements with those third-parties.

Compensation. Under the brokerage or research services provided by such broker or dealer, viewed in terms of either that particular transaction or Wellington Management's overall responsibilities with respect to the applicable Fund(s)Current and Wellington Management's other advisory clients. Wellington Management will promptly communicate to the Board such information relating to portfolio transactions as they may reasonably request.

The Agreement does not prevent Wellington Management from acting as investment manager or manager for any other investment companies or other clients, whether or not the investment objectives or policies of any such other clients are similar to those of any Fund, provided that the provision of such services to those other clients does not impair Wellington Management's ability to provide services to each Fund under the Agreement.

In addition, pursuant to the Agreement, Wellington Management will cause the Funds to comply with the requirements of (i) Section 851(b)(2) of the Internal Revenue Code of 1986, as amended (the "Code") regarding derivation of income from specified investment activities; and (ii) Section 851(b)(3) of the Code regarding diversification of the Funds' assets.

The Agreement provides that,New Agreements, HFMC receives, as compensation for its services, a fee from the performanceapplicable Company computed separately for each Fund. The amount of the servicesinvestment management fee for each Fund is determined by Wellington Management, HFMC shall pay Wellington Management a sub-advisoryapplying the daily equivalent of an annual fee accrued daily and paid quarterly, as set forth inrate to the Agreement. This will be Wellington Management's sole compensation for sub-advisory services provided tonet assets of each Fund. Wellington Management's compensation isThe New Agreement, if approved by shareholders of each Fund, will not paidresult in an increase in fees to shareholders.

Expenses Paid by the Funds. The Agreement also provides that Wellington Management will bearCompanies. Under the Current and New Agreements, each Company is responsible for the payment of all expenses of its organization, operations and business. Expenses borne by each Company include:

•  interest and taxes;

•  brokerage commissions;

•  premiums for fidelity and other insurance coverage;

•  fees and expenses of its Independent Directors;

•  legal, audit and fund accounting expenses;

•  custodian and transfer agent fees and expenses;

•  expenses incident to the redemption of its shares;

•  fees and expenses related to the federal and state registration of its shares;

•  expenses of printing and mailing prospectuses, financial reports, notices and proxy materials;

•  all other expenses incidental to Company shareholder meetings; and

•  certain other extraordinary non-recurring expenses.

The New Agreement clarifies that HFMC will pay all of the costs it incurs in connection with the performance of its servicesduties under the New Agreement and that HFMC will not be required to bear any expenses of a Fund other than those specifically allocated to it under the New Agreement. The New Agreement additionally clarifies that the chief compliance officer of the relevant Company may be compensated by that Company for services provided to it, regardless of whether that officer is also an officer or employee of HFMC or of any entity controlling, controlled by or under common control with HFMC.

Pursuant to the Agreement, Wellington ManagementLiability of HFMC. The Current and New Agreements provide that HFMC will not be liable for any loss or losses suffered by any Fundsustained by reason of any investment made by Wellington Management inincluding the performancepurchase, holding or sale of its duties underany security, or with respect to the Agreementadministration of either Company, as long as Wellington Management hasHFMC shall have acted in good faith and with due care; provided,care. HFMC is not protected from liability to either Company or its shareholders to the


extent that Wellington Management shall indemnify HFMC for any and all loss, damage, judgment, fine or award paid in settlement and attorney's fees relatedthe liability is due to Wellington Management's (i)its willful misfeasance, bad faith or gross negligence on Wellington Management's part in the performance of its duties or (ii)by reason of its reckless disregard by Wellington Management of its obligationsduties and dutiesobligations under the Agreement.Current and New Agreements.

Term of the Investment Management Agreement.The Agreement provides that itterm of the Current and New Agreements will continue in effect as to a Fund for a period no more than two years from yearthe date of its execution (or the execution of an amendment making the Agreement applicable to year,that Fund) and thereafter if such continuance is specifically approved at least annually either by the Board or by a "vote of a majority of the outstanding voting securities" of that Fund, as defined under the 1940 Act. In either event, such continuance must also be approved by the vote of the majority of the Independent Directors.

Termination of the Investment Management Agreement. The Current and New Agreements may be terminated at any time without the payment of any penalty on 60 days' written notice to the other party or parties to such agreement. The following parties may terminate the agreement:

•  the applicable Board of the Company;

•  a majority of the outstanding voting securities of a Fund with respect to that Fund; and

•  HFMC.

The Current and New Agreements each will automatically terminate in the event of its "assignment," as that term is defined under the 1940 Act.

Amendments to the Investment Management Agreement. The Current and New Agreements may be amended by the parties thereto (which include HFMC and each Company) provided that the amendment is approved by the vote of a majority of the outstanding voting securities of each relevant Fund in either case withor by the approvalvote of a majority of the Independent Directors, specifically approves its continuance at least annually. The Agreement provides that it can be terminated with respect to any Fund at any time, without the payment of any penalty, by the Board by a majority of such Fund's outstanding voting securities, or by HFMC, on written notice to Wellington Management. The Agreement would also be terminable by Wellington Management on ninety days' written notice to HFMC, but such


termination would not be effective until (i) HFMC shall have contracted with one or more persons to serve as a successor for each Fund (or HFMC or an affiliate of HFMC agrees to manage the Fund(s)) and (ii) those person(s) have assumed that position. The Agreement will terminate automatically in the event of its assignment or in the event of an assignment or termination, for any reason, of the investment management agreement between HFMC and the Company.

The form of the Agreement is attached as Appendix B to this Proxy Statement. The above description of the terms of the Agreement is qualified in its entirety by reference to Appendix B.

INFORMATION ABOUT WELLINGTON
MANAGEMENT COMPANY, LLP

Wellington Management, a Massachusetts limited liability partnership with its main offices located at 280 Congress Street, Boston, MA 02210, is a professional investment counseling firm which provides investment services to investment companies, employee benefit plans, endowments, foundations and other institutions. Wellington Management and its predecessor organizations have provided investment advisory services for over 80 years. As of November 30, 2013, Wellington Management had investment management authority with respect to approximately $825 billion in assets.

Richard P. Meagher, CFA and Wendy M. Cromwell, CFA currently manage the Funds and will continue to serve as portfolio managers of each Fund. Mr. Meagher, Vice President, Asset Allocation Strategist and Portfolio Manager of Wellington Management, has served as portfolio manager of the Funds since 2012. Mr. Meagher joined Wellington Management in 1996 and has been an investment professional since 2002. Ms. Cromwell, Senior Vice President, Director of Strategic Asset Allocation, Asset Allocation Strategies Group, and Portfolio Manager of Wellington Management, has served as portfolio manager of the Funds since 2012. Ms. Cromwell joined Wellington Management in 1996 and has been an investment professional since 1999.

Wellington Management has assembled a team of research analysts and other investment personnel to support Wellington Management's asset allocation management function. Pursuant to the Agreement, Wellington Management will continue to implement an investment program appropriate for each Fund.

During the Funds' last fiscal year, Wellington Management did not receive any fees, commissions or other payments from any Fund. Sub-advisory fees received by Wellington Management are paid by HFMC out of its management fee. Appendix C to this Proxy Statement sets forth information regarding the principal executive officers and directors of Wellington Management, HFMC, and the Company.

Wellington Management does not currently sub-advise any investment companies that have investment objectives similar to the investment objectives of the Funds.


No officer or director of the Funds is currently an officer, employee, director or shareholder of Wellington Management. Furthermore, no officer or director of the Funds has any other material direct or indirect interest in Wellington Management or any person controlling, controlled by, or under common control with Wellington Management.

BOARD OF DIRECTORS' CONSIDERATIONS

Section 15(c) of 1940 Act requires that the Board,applicable Company, including a majority of the Independent Directors, initiallyDirectors.

Any required shareholder approval of any amendment will be effective with respect to any Fund if a majority of the outstanding voting securities of that Fund votes to approve and annually review and consider the continuationamendment, even if the amendment may not have been approved by a majority of each Fund's investment sub-advisory agreement(s).the outstanding voting securities of (a) any other Fund affected by the amendment; or (b) all the Funds of the applicable Company.

Approval ofBoard Considerations in Approving the OriginalNew Agreement

At itsa meeting held on March 27, 2012,November 4-5, 2015, the Board,Boards, including each of the Independent Directors, unanimously voted to approve the OriginalNew Agreement between HIFSCO, the Funds' former investment manager and an affiliate of HFMC, and Wellington Management. The Original Agreement went into effect on June 4, 2012.

Prior to approving the Original Agreement, the Board requested, received, and reviewed written responses from HIFSCO and Wellington Management to questions posed to them on behalf of each Fund.

The Boards, including the Independent Directors, are responsible for selecting the Funds' investment manager, approving the investment manager's selection of Fund sub-advisers and supportingapproving each Company's investment management and sub-advisory agreements, their periodic continuation and any amendments. The


Boards considered such information as they deemed reasonably necessary to evaluate the New Agreement, which included information furnished to the Boards at their meetings throughout the year, as well as information specifically prepared in connection with the approval of the New Agreement. Information provided to the Boards at their meetings throughout the year included, among other things, reports on Fund performance, legal and compliance matters, sales and marketing activity, shareholder services, and the other services provided to each Fund by HFMC and its affiliates. The Boards also considered the materials relating to those questions and responses. In addition, the Board received an in-person presentation frompresentations by Fund officers and representatives of HIFSCO aboutHFMC received at the proposal to replace Hartford Investment Management Company ("Hartford Investment Management"), the Funds' former sub-adviser, with Wellington Management. The Board's Investment Committee also met in person with members of the proposed portfolio management teams for the Funds regarding the capabilities of Wellington ManagementBoards' meetings on June 16-17, 2015 and the associated benefits to the Funds and their shareholders. In addition, the Board had previously received information with respect to Wellington ManagementAugust 4-5, 2015 in connection with Wellington Management's re-approval on August 2-3, 2011 as the sub-adviser to certain other Hartford Funds and in connection with the Board'stheir annual approval of Wellington Management as the sub-adviser to certain additional Hartford Funds at other recent meetings.continuation of the Current Agreements.

In determining whether to approve the OriginalNew Agreement for the Funds, the members of the BoardBoards reviewed and evaluated information and factors they believed to be relevant and appropriate in light of the information that the BoardBoards deemed necessary and appropriate through the exercise of itstheir reasonable business judgment. While individual members of the BoardBoards may have weighed certain factors differently, the Board'sBoards' determination to approve the OriginalNew Agreement was based on a comprehensive consideration of all information provided to the BoardBoards throughout the year and specifically with respect to the approval of the OriginalNew Agreement. A more detailed discussion of the factors the Board considered with respect to its approval of the OriginalNew Agreement is provided below. The Boards are furnished with an analysis of their fiduciary obligations in connection with their evaluation and, throughout the evaluation process, the Boards are assisted by counsel for the Funds, and the Independent Directors are also separately assisted by independent legal counsel. A discussion of the factors considered by the Boards is provided below.


Nature, Extent and Quality of Services to be Provided by Wellington ManagementHFMC

The Board requested andBoards considered information concerning the nature, extent and quality of the services that the investment manager would continue to be providedprovide to each Fund by Wellington Management. The BoardFund. In this regard, the Boards considered, among other things, the terms of the OriginalNew Agreement and the range of services to be provided, and Wellington Management's organizational structure, systems and personnel. The Board also considered Wellington Management's reputation and overall financial strength, and the Board's past experience with Wellington Management as sub-adviser for other Hartford-sponsored funds. The Board considered the terms of the "preferred partnership" arrangement pursuant to which Wellington Management would serve as the preferred sub-adviser to the Hartford Funds, including the benefits of the arrangement for the Funds and other Hartford Funds.

With respect to Wellington Management's asset allocation capabilities, the Board considered that HIFSCO believed that Wellington Management is a high quality manager with greater depth and breadth relative to Hartford Investment Management and other peer advisory firms and that Wellington Management has strong investment capabilities with expertise across various investment disciplines. The Board also considered Wellington Management's global capabilities across various asset classes, including the number and geographic locations of Wellington Management's investment personnel. The Board noted that Wellington Management is focused entirely on third-party asset management, and that Wellington Management has experience managing assets for a diverse set of clients, including asset allocation portfolios, with different objectives and guidelines. In addition, the Board considered Wellington Management's risk-balanced approach to construction of target risk asset allocation funds that are designed to provide diversification across different market environments.

With respect to the day-to-day portfolio management services to be provided by Wellington Management, the Board considered the Investment Committee's meeting with membersHFMC thereunder, including HFMC's oversight of the proposed portfolio management teams,fund operations and Wellington Management'sservice providers, and provision of administrative and investment philosophy and process, investment research capabilities and resources, performance record, trade execution capabilities and experience. The Board also considered the experience of the proposed portfolio management teams. The Board considered that,advisory services in connection with the sub-adviser change, HIFSCOselecting, monitoring and Wellington Management proposed certain changes tosupervising the Funds' principal investment strategies, to take effect on the date that Wellington Management began sub-advising the Fund.

sub-adviser. The Board also considered information previously provided by HIFSCO and Wellington Management regarding Wellington Management's compliance policies and procedures and compliance history, and received a representation from HIFSCO that the written compliance policies and procedures of Wellington Management are reasonably designed to prevent violations of the federal securities laws.

In considering this information, the Board evaluated not only the information presented to the Board and the Investment Committee in connection with its


consideration of each Original Agreement, but also the Board's experience through past interactions with Wellington Management. Based on these considerations, the BoardBoards concluded that it wasthey were satisfied with the nature, extent and quality of the services that HFMC would continue to be providedprovide to the Funds by Wellington Management.each Fund.

Performance of Wellington Managementeach Fund and HFMC

The BoardBoards considered the investment performance of Wellington Management, including, for purposes of consideringeach Fund and its investment manager and sub-adviser, if applicable. They considered the detailed investment skill and experience ofanalytics reports provided by Hartford Funds' Investment Advisory Group throughout the proposed portfolio management teams, the performance of the Wellington Management composite for accounts with investment objectives, policies and principal investment strategies comparable to one or more components ofyear. These reports include, among other things, information on each Fund's principalgross and net returns, the Fund's investment strategy. HIFSCOperformance relative to an appropriate benchmark and Wellington Management also provided additional information aboutpeer group, various statistics concerning the broad rangeFund's


portfolio, and a narrative summary of the portfolio management teams' investment experience and their investment philosophies and processes.

Based on these considerations, the Boardvarious factors affecting Fund performance. The Boards concluded that it was satisfied that Wellington Management has the capability of providing satisfactory investment performance forthey had continued confidence in HFMC's overall capabilities to manage the Funds.

Costs of the Services and Profitability of HIFSCO and Wellington ManagementHFMC

The Board reviewedBoards considered the information that had been provided at meetings on June 16-17, 2015 and August 4-5, 2015 regarding HIFSCO's cost to provide investment management and relatedthe costs of the services to the Fundsprovided and the estimated profitability to HIFSCOprofits realized by the investment manager and its affiliates from all servicesthe investment manager's relationship with the Companies. They also considered the updated information provided toat the November 4-5, 2015 meeting. They noted that the New Agreement would not result in an increase in the overall fees paid by the Funds, and all aspects of their relationships with the Funds both under the sub-advisory arrangement with Hartford Investment Management and assuming implementation of the Original Agreement with Wellington Management. The Board also requested and received information relating to the operations and profitability of Wellington Management.

Based on these considerations, the Board concluded that the profits anticipated to be realized by HIFSCO, Wellington ManagementHFMC and theirits affiliates from their relationships with the Funds would not be excessive.

Comparison of Fees and Services Provided by HFMC

In consideringThe Boards considered the sub-advisory fee schedule to be paid to Wellington Management by HIFSCO in respect of the Funds, the Board considered comparative information regardingthat had been provided at meetings on June 16-17, 2015 and August 4-5, 2015 with respect to the sub-advisoryservices rendered to and the management fees to be paid by HIFSCOeach Fund to Wellington Management. The Board also considered information provided by Wellington Management toHFMC and the Investment Committeetotal expense ratios of the Board about the quality of services to be performed for the Funds and Wellington Management's investment philosophy. In addition, the Board considered HIFSCO's representation that it had negotiated Wellington Management's fees at arm's length.

Fund. The Board considered that, in connection with the sub-adviser change, HIFSCO proposed to add additional breakpoints to The Hartford Conservative Allocation Fund's contractual management fee schedule with HIFSCO that would result in management fee reductions at certain asset levels. The Board noted that HIFSCO, not the Funds, would pay the sub-advisory fees to Wellington Management.


Based on these considerations, the BoardBoards concluded that each Fund's proposed sub-advisory fees and total operating expenses, in conjunction with the information about quality of services, profitability, economies of scale, and other matters discussed at the meetings on June 16-17, 2015, August 4-5, 2015 and November 4-5, 2015, were reasonable in light of the services provided under the Current Agreements and to be provided.provided under the New Agreement.

Economies of Scale

The BoardBoards considered information that had been provided at meetings on June 16-17, 2015 and August 4-5, 2015 regarding the extent to which economies of scale would be realized as eacha Fund grows and whether the fee levels reflect these economies of scale for the benefit of each Fund's shareholders.shareholders of the Fund. The Board reviewedBoards noted that the breakpointsNew Agreement would not result in any change in the management fee scheduleschedules for each Fund, which reduce fee rates as Fund assets grow over time. The Board considered that, in connection with the sub-adviser change, HIFSCO proposed to add additional breakpoints to The Hartford Conservative Allocation Fund's contractual management fee schedule with HIFSCO that would result in management fee reductions at certain asset levels.

Based on these considerations, the BoardFunds, and they concluded that it wasthey were satisfied with the extent to which economies of scale would be shared for the benefit of each Fund's shareholders based on currently available information and the effective advisory fees and expense ratios for eachthe Fund at its current and reasonably anticipated asset levels. The Board noted, however, that it would review future growth in Fund assets and the appropriateness of the breakpoints as part of its future annual review of the Original Agreement and the investment management agreement between the Funds and HIFSCO.

Other Benefits

The BoardBoards considered information that had been provided at meetings on June 16-17, 2015 and August 4-5, 2015 with respect to the other benefits to Wellington ManagementHFMC and its affiliates from their relationships with the Funds. The Board also considered the benefits, if any,Funds, including fees for fund accounting services performed by HFMC, fees for transfer agency services performed by HASCO, and distribution fees paid to Wellington Management from any use of the Funds' brokerage commissions to obtain soft dollar research, and representations from HIFSCO and Wellington Management that Wellington Management would not make any revenue-sharing payments or any other type of distribution payments to HIFSCO or its affiliates.HFD.

Based upon itstheir review of these various factors, among others, the BoardBoards unanimously approved the New Agreement at a meeting held on November 4-5, 2015,


and the Boards concluded that it waswould be in the best interests of each Fund and its shareholders for the Boardshareholders to approve the OriginalNew Agreement. In reaching this decision,

As described further below in Proposal 6, the Board did not assign relative weightsCompanies have received an order from the U.S. Securities and Exchange Commission ("SEC") that permits HFMC, for certain Funds and from time to time, without the factors discussed above or deem any one or group of them to be controlling inexpense and of themselves. In connection with its deliberations, the Independent Directors met separately in executive session, with independent legal counsel, to review the relevant materials and consider their responsibilities under relevant laws and regulations.

Approval of the Agreement

In connectiondelays associated with a corporate restructuring plan (the "Restructuring"Company's obtaining shareholder approval, to enter into and change the terms (including sub-advisory fees) of sub-advisory agreements with sub-advisers that are not affiliates of HFMC. HFMC currently employs Wellington Management Company LLP ("Wellington Management"), at its meeting held on November 8, 2012, the Board voted to terminate the Original Agreement between HIFSCOa registered investment adviser, as sub-adviser for each Fund other than The Hartford Growth Allocation Fund, The Hartford Checks and Balances Fund, The Hartford Conservative Allocation Fund and Hartford Moderate Allocation Fund, and Wellington Management and approve the Agreement between HFMC, an affiliate of HIFSCO, and Wellington Management


with respectManagement's service as sub-adviser to the Funds. The replacement of HIFSCO with HFMC did not result in any changethese Funds is expected to the contractual terms of the Funds' investment management agreements or the day-to-day management of the Funds, and no shareholder vote was required.

Prior to the November 8, 2012 meeting, the Board received and reviewed written materials regarding the Restructuring, which contemplated that HFMC replace HIFSCO as investment manager to the Funds. The Board considered information furnished to the Board at its meetings throughout the year, as well as information specifically prepared in connection with the Restructuring and thecontinue following approval of the Agreement atNew Agreement.

Additional Information

For additional information about HFMC, the Board's meeting held on November 8, 2012. In addition, the Board received in-person presentations by the Funds' officers and representatives of HIFSCO and HFMC at the Board's meeting on November 8, 2012 concerning the Restructuring and the Agreement.

In determining to approve the Agreement for each Fund, the members of the Board reviewed and evaluated information and factors they believed to be relevant and appropriate in light of the information that the Board deemed necessary and appropriate through the exercise of its reasonable business judgment. While individual members of the Board may have weighed certain factors differently, the Board's determination to approve the Agreement was based on a comprehensive consideration of all information provided to the Board throughout the year and specifically with respect to the Restructuring and the approval of the Agreement.

Specifically, the Board considered that the Restructuring was solely organizational in nature and was unrelated to the actual management of the Funds and the performanceamounts of investment management personnelfees paid to the Funds. The Board also considered that the Restructuring and the Agreement would involve no changes to (i) the contractual terms of, including the sub-advisory fees payable under, each Fund's investment sub-advisory agreement; (ii) the investment processes and strategies employed in the management of each Fund's assets; (iii) the nature and level of services provided under each Fund's investment sub-advisory agreement; and (iv) the day-to-day management of each Fund and the individuals primarily responsible for that management.

Based upon its review of these various factors, among others, the Board concluded that it is in the best interests of each Fund and its shareholders for the Board to approve the Agreement. In reaching this decision, the Board did not assign relative weights to the factors discussed above or deem any one or group of them to be controlling in and of themselves. In connection with their deliberations, the Independent Directors met separately in executive session, with independent legal counsel, to review the relevant materials and consider their responsibilities under relevant laws and regulations.

Approval of the Continuation of the Agreement

At its meeting held on August 6-7, 2013, the Board, including each of the Independent Directors, unanimously voted to approve the continuation of the


Agreement on behalf of each of the Funds, between HFMC and Wellington Management.

In the months preceding the August 6-7, 2013 meeting, the Board requested, received, and reviewed written responses from HFMC and Wellington Management to questions posed to them on behalf of the Independent Directors and supporting materials relating to those questions and responses. The Board considered information furnished to the Board at its meetings throughout the year, as well as information specifically prepared in connection with the annual approval of the Agreement at the Board's meetings held on June 18-19, 2013 and August 6-7, 2013. Information provided to the Board at its meetings throughout the year included, among other things, reports on Fund performance, legal and compliance matters, sales and marketing activity, shareholder services, and the other services provided to each Fund by HFMC and Wellington Management and their affiliates. The Board also received in-person presentations by Fund officers and representatives of HFMC at the Board's meetings on June 18-19, 2013 and August 6-7, 2013 concerning the Agreement.

The Independent Directors, advised by independent legal counsel, engaged two service providers to assist them with evaluating the Agreement with respect to each Fund. Lipper Inc.Fund for the fiscal year ended October 31, 2015, and "Other Fee Payments," see Appendix E hereto ("Lipper"), an independent provider of investment company data, was retained to provide the Board with reports on how each Fund's non-management fees, overall expense ratios and investment performance compared to those of mutual funds with similar investment objectives. The Independent Directors also engaged an independent financial services consulting firm (the "Consultant") to assist them in evaluating each Fund's non-management fees, overall expense ratios and investment performance.

In determining whether to continue the Agreement, the members of the Board reviewed and evaluated information and factors they believed to be relevant and appropriate in light of the information that the Board deemed necessary and appropriate through the exercise of its reasonable business judgment. While individual members of the Board may have weighed certain factors differently, the Board's determination to continue the Agreement was based on a comprehensive consideration of all information provided to the Board throughout the year and specifically with respect to the continuation of the Agreement. A more detailed discussion of the factors the Board considered with respect to its approval of the Agreement is provided below.

Nature, Extent, and Quality of Services Provided by Wellington Management

The Board requested and considered information concerning the nature, extent, and quality of the services provided to each Fund by Wellington Management. The Board considered, among other things, the terms of the AgreementAdditional Information about HFMC and the range of services provided by Wellington Management. The Board considered Wellington Management's professional personnel who provide services to each Fund, including Wellington Management's ability and experience in attracting and retaining qualified personnel to service the Funds. The Board considered Wellington


Management's reputation and overall financial strength, as well as its willingness to consider and implement organizational and operational changes designed to improve services to each Fund. In addition, the Board considered the quality of Wellington Management's communications with the Board and responsiveness to Board inquiries.

The Board also requested and evaluated information concerning Wellington Management's regulatory and compliance environment. In this regard, the Board requested and reviewed information on Wellington Management's compliance policies and procedures, compliance history, and a report from the Funds' Chief Compliance Officer on Wellington Management's compliance with applicable laws and regulations, including responses to regulatory developments and compliance issues raised by regulators. The Board also noted Wellington Management's support of each Fund's compliance control structure, particularly the resources devoted by Wellington Management in support of the Funds' obligations pursuant to Rule 38a-1 under the 1940 Act.

With respect to the day-to-day portfolio management services provided by Wellington Management, the Board considered the quality of each Fund's portfolio managers, Wellington Management's other investment personnel, its investment philosophy and process, investment research capabilities and resources, performance record, trade execution capabilities and experience. The Board considered the experience of each Fund's portfolio managers, the number of accounts managed by the portfolio managers, and Wellington Management's method for compensating the portfolio managers.

Based on these considerations, the Board concluded that it was satisfied with the nature, extent and quality of the services provided to the Funds by Wellington Management.

Performance of the Funds and Wellington Management

The Board considered the investment performance of each Fund. In this regard, the Board reviewed the performance of each Fund over different time periods presented in the materials and evaluated HFMC's analysis of each Fund's performance for these time periods. The Board considered information and materials provided to the Board by HFMC and Wellington Management concerning Fund performance, as well as information from Lipper comparing the investment performance of each Fund to an appropriate benchmark and universe of peer funds.

The Board considered the detailed investment analytics reports provided by Hartford Funds' Investment Advisory Group throughout the year. These reports include, among other things, information on each Fund's gross and net returns, each Fund's investment performance relative to an appropriate benchmark and peer group, various statistics concerning each Fund's portfolio, and a narrative summary of various factors affecting Fund performance. The Board considered Wellington Management's cooperation with the Investment Committee, which assists the Board in evaluating the performance of the Funds at periodic meetings throughout the year.


The Board also considered the analysis provided by the Consultant relating to each Fund's performance track record.

In light of all the considerations noted above, the Board concluded that it had continued confidence in Wellington Management's overall capabilities to manage each Fund.

Costs of the Services and Profitability

The Board requested and received information relating to the operations and profitability of Wellington Management. The Board concluded that the profits anticipated to be realized by Wellington Management from its relationship with the Funds would not be excessive.

Comparison of Fees and Services Provided by Wellington Management

The Board considered comparative information with respect to the sub-advisory fees to be paid by HFMC to Wellington Management. In this regard, the Board requested and reviewed information from HFMC and Wellington Management relating to the sub-advisory fees, including the sub-advisory fee schedule for each Fund. With respect to the sub-advisory fee schedule, the Board considered representations from HFMC and Wellington Management that Wellington Management's fees were negotiated at arm's length.

Based on these considerations, the Board concluded that Wellington Management's fees, in conjunction with the information about quality of services, profitability, and other matters discussed, were reasonable in light of the services provided.

Economies of Scale

After considering all of the information available to it, the Board concluded that it was satisfied with the extent to which economies of scale would be shared for the benefit of each Fund's shareholders.

Other Benefits

The Board considered the benefits, if any, to Wellington Management from any use of the Funds' brokerage commissions to obtain soft dollar research, and representations from HFMC and Wellington Management that Wellington Management would not make any revenue-sharing payments or any other type of distribution payments to HFMC or its affiliates.

Based upon its review of these various factors, among others, the Board concluded that it is in the best interests of each Fund and its shareholders for the Board to approve the Agreement for an additional year. In reaching this decision, the Board did not assign relative weights to the factors discussed above or deem any one or group of them to be controlling in and of themselves. In connection with their deliberations, the Independent Directors met separately in executive session on several occasions, with independent legal counsel and the Consultant, to review the


relevant materials and consider their responsibilities under relevant laws and regulations.

At the special meeting held on December 13, 2013, the Board determined that it was appropriate for Wellington Management to continue to serve as sub-adviser to the Funds, and concluded that the ratification and approval of the Agreement by shareholders would be in the best interests of each Fund and its shareholders.

In the event that shareholders do not approve Proposal 1, the Board will determine the appropriate course of action with respect to the management of the Funds.New Agreement").

REQUIRED VOTE

ApprovalFor each Fund, approval of the Agreement by each Fund's shareholdersthis Proposal requires an affirmative vote of the lesser ofof: (i) 67% or more of suchthe Fund's shares present at the Meeting, if the holders of more than 50% of the outstanding shares of the Fund are present or represented by proxy; or (ii) more than 50% of the outstanding shares of the Fund. If the shareholders of a particular Fund do not approve this Proposal, the New Agreement will not take effect, and the Current Agreement will continue in effect as to that Fund.

The Boards unanimously recommend that you vote "FOR" Proposal 2.


PROPOSAL 3

APPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL
INVESTMENT RESTRICTION ON THE PURCHASE OR SALE OF
COMMODITIES

At the Meeting, shareholders will be asked to approve a change to each Fund's fundamental investment restriction on the purchase or sale of commodities.

The 1940 Act requires mutual funds, such as the Funds, to establish and disclose in their registration statements certain "fundamental" investment policies that can only be changed by shareholder vote, including a policy that restricts a fund's ability to purchase or sell commodities.

The current restriction states that the Funds will not purchase or sell commodities or commodities contracts, except that the Funds may purchase or sell financial futures contracts, options on financial futures contracts and futures contracts, forward contracts, and options with respect to foreign currencies, and may enter into swap transactions or other financial transactions of any kind. Certain Funds (Hartford Duration-Hedged Strategic Income Fund, The Hartford Emerging Markets Local Debt Fund, Hartford Emerging Markets Equity Fund, The Hartford Global All-Asset Fund, The Hartford Global Alpha Fund, The Hartford Global Real Asset Fund, Hartford Long/Short Global Equity Fund, Hartford Multi-Asset Income Fund, The Hartford Quality Bond Fund, Hartford Real Total Return Fund, and The Hartford World Bond Fund) have adopted a more flexible restriction, which allows these Funds to purchase or sell commodities or commodities contracts to the extent permitted by applicable law and as set forth in each Fund's registration statement.

The proposed investment restriction on the purchase or sale of commodities would permit each Fund to purchase and sell commodities to the extent permitted under the 1940 Act and other applicable laws, rules and regulations, and interpretations (which would include, among other things, any changes to the rules and regulations administered by the Commodity Futures Trading Commission and the National Futures Association).

The proposed investment restriction would not be materially different for those Funds described above that currently are able to purchase or sell commodities or commodities contracts to the extent permitted by applicable law and as set forth in each Fund's registration statement. Shareholders of those Funds are, nonetheless, being asked to approve Proposal 3 so that, if approved, the fundamental investment restrictions for all the Funds will have identical language. For the other Funds, the proposed investment restriction would grant the ability to invest in commodities other than those specifically outlined in their current investment restriction, to the extent consistent with applicable laws, rules and regulations, and interpretations.


The Boards propose the following revisions with respect to the fundamental investment restriction on the purchase or sale of commodities by each Fund:

Current Investment Restriction
on the Purchase or
Sale of Commodities
Proposed Investment Restriction
on the Purchase or
Sale of Commodities

Each Fund (except for Duration-Hedged Strategic Income Fund, Emerging Markets Local Debt Fund, Emerging Markets Equity Fund, Global All-Asset Fund, Global Alpha Fund, Global Real Asset Fund, Long/Short Global Equity Fund, Multi-Asset Income Fund, Quality Bond Fund, Real Total Return Fund, and World Bond Fund) will not purchase or sell commodities or commodities contracts, except that the Fund may purchase or sell financial futures contracts, options on financial futures contracts and futures contracts, forward contracts, and options with respect to foreign currencies, and may enter into swap transactions or other financial transactions of any kind. Duration-Hedged Strategic Income Fund, Emerging Markets Local Debt Fund, Emerging Markets Equity Fund, Global All-Asset Fund, Global Alpha Fund, Global Real Asset Fund, Long/Short Global Equity Fund, Multi-Asset Income Fund, Quality Bond Fund, Real Total Return Fund, and World Bond Fund will not purchase or sell commodities or commodities contracts, except to the extent permitted by applicable law and as set forth in each Fund's prospectus and SAI.

Each Fund will not invest in physical commodities or contracts relating to physical commodities, except to the extent permitted under the 1940 Act and other applicable laws, rules and regulations, as such may be interpreted or modified by regulatory authorities having jurisdiction, from time to time and as set forth in each Fund's prospectus and SAI.


REQUIRED VOTE

For each Fund, approval of this Proposal requires an affirmative vote of the lesser of: (i) 67% or more of the Fund's shares present at the Meeting, if the holders of more than 50% of the outstanding shares of such Fund are present or represented by proxy,proxy; or (ii) more than 50% of the outstanding shares of suchthe Fund. If the shareholders of a particular Fund do not approve this Proposal, the Proposal will not take effect with respect to that Fund, and it will retain its current fundamental investment restriction on the purchase or sale of commodities.

The BoardBoards unanimously recommendsrecommend that you vote "FOR" Proposal 1.3.


PROPOSAL 24

APPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL
INVESTMENT RESTRICTION ON THE RETENTIONPURCHASE OR SALE OF FEES PAID AND THE PAYMENT OF FEES PAYABLE BY HFMC TO WELLINGTON MANAGEMENT FOR ITS SUB-ADVISORY SERVICES TO THE FUNDS
REAL ESTATE

At the Meeting, shareholders will be asked to approve a change to each Fund's fundamental investment restriction on the purchase or sale of real estate.

The Board is proposing that shareholders of1940 Act requires mutual funds, such as the Funds, approveto establish and disclose in their registration statements certain "fundamental" investment policies that can only be changed by shareholder vote, including a policy that restricts a fund's ability to purchase or sell real estate.

The current restriction states that the retentionFunds will not purchase or sell real estate unless acquired as a result of fees paidownership of securities or other instruments, although each Fund may purchase securities secured by real estate or interests therein, or securities issued by companies which invest in real estate or interests therein. The proposed investment restriction on the purchase or sale of real estate would permit each Fund to purchase or sell real estate to the extent permitted under the 1940 Act and the paymentrules and regulations and interpretations thereunder.

The purpose of fees payable by HIFSCO, the Funds' former investment manager and an affiliate of HFMC, and HFMC (as applicable) to Wellington Management for its sub-advisory services to the Funds for the period from JuneProposal 4 2012 through the date that shareholders approve the Agreement as contemplated in Proposal 1 (the "Engagement Period"). As discussed in Proposal 1, Wellington Management has continuedis to provide the Funds with uninterruptedgreater flexibility to take advantage of permissible investment sub-advisory services. These services include, but are not limited to, makingopportunities. HFMC and the daily decisions regarding buyingBoards believe that revising the investment restriction on the purchase and selling specific securities forsale of real estate is appropriate and in the best interest of each Fund and managing the investments held by each Fund accordingits shareholders. Approval of Proposal 4 will provide HFMC, subject to its investment goals and strategies. During the Engagement Period, HIFSCO and HFMC have each compensated Wellington Management for these services. Until recently,Board supervision, with greater flexibility to manage the Funds in a manner consistent with the Board, HFMC, and Wellington Management were unawarestated investment objectives of any questions relating toeach Fund.

The Boards propose the ability to enter into the Original Agreement and the Agreement without prior shareholder approval. As described abovefollowing revisions with respect to Proposal 1, however, the Review raised a question whether the Funds' sole initial shareholder consented to reliancefundamental investment restriction on the Order, and indicated that the Funds' reliance on the Order had not been consistently disclosed in the Funds' prospectuses.

For the period from the startpurchase or sale of the Engagement Period through September 30, 2013, HIFSCO and HFMC have paid Wellington Management $281,276.45 and $364,616.71, respectively. The fees paidreal estate by the Funds were not affected because HFMC pays sub-advisory fees to Wellington Management from its advisory fees.each Fund:

At a special meeting of the Board
Current Investment Restriction
on December 13, 2013, HFMC informed the Board that it had suspended payment to Wellington Management pending shareholder approval of Proposal 1. HFMC sought the Board's recommendation that shareholders approve the Proposal to allow Wellington Management to retain all payments made by HIFSCO and HFMC, and be paid all unpaid amounts, as compensation for services provided, and to be provided, during the Engagement Period. HFMC stated that it would be consistent with the expectations of HFMC and Wellington Management, and with the presentations made to the Board, for Wellington Management to be compensated for its services during the Engagement Period. HFMC also stated that approving Wellington Management's compensation would be consistent with equitable principles.

In agreeing to recommend that shareholders approve the Proposal, the Board, which was represented by independent legal counsel, considered the nature of the continuing relationship between Wellington Management and the Funds, and the Purchase or
Sale of Real Estate

Proposed Investment Restriction
on the Purchase or
Sale of Real Estate

Each Fund will not purchase or sell real estate unless acquired as a result of ownership of securities or other instruments, although it may purchase securities secured by real estate or interests therein, or securities issued by companies which invest in real estate or interests therein.

Each Fund will not purchase or sell real estate, except to the extent permitted under the 1940 Act and the rules and regulations thereunder, as such may be interpreted or modified from time to time by regulatory authorities having appropriate jurisdiction.


nature and quality of the services Wellington Management has performed for the Funds since it began managing the Funds in 2012. The Board also considered that:

i.  The 1940 Act permits a court to enforce a contract that otherwise violates the 1940 Act or the rules thereunder should the court determine that such enforcement would produce a more equitable result than non-enforcement and would not be inconsistent with the underlying purposes of the 1940 Act;

ii.  Should Board or shareholder approval be withheld, Wellington Management could seek to retain some or all of these payments (and be paid some or all of the unpaid amounts) through legal action on the grounds that it would be unjust to withhold payments for services rendered under the Original Agreement or the Agreement;

iii.  The Funds and their shareholders have experienced no economic harm during the Engagement Period, and the amounts that were paid were no more than what HIFSCO and HFMC contracted for with Wellington Management;

iv.  HFMC has agreed to pay the costs of the Meeting as well as any legal fees that might arise; and,

v.  The Board had intended to properly approve the Original Agreement and the Agreement and for Wellington Management to continue to provide services to the Funds.

In the event that shareholders do not approve Proposal 2, the Board will determine the appropriate course of action with respect to the treatment of fees paid by HIFSCO and HFMC to Wellington Management during the Engagement Period.

REQUIRED VOTE

ApprovalFor each Fund, approval of the retention of fees paid and the payment of fees payable by HFMC to Wellington for its sub-advisory services to the Funds by each Fund's shareholdersthis Proposal requires an affirmative vote of the lesser of (i) 67% or more of suchthe Fund's shares present at the Meeting, if the holders of more than 50% of the outstanding shares of such Fund are present or represented by proxy,proxy; or (ii) more than 50% of the outstanding shares of suchthe Fund. If the shareholders of a particular Fund do not approve this Proposal, the Proposal will not take effect with respect to that Fund, and it will retain its current fundamental investment restriction on the purchase or sale of real estate.

The BoardBoards unanimously recommendsrecommend that you vote "FOR" Proposal 2.4.


PROPOSAL 35

AUTHORIZATIONAPPROVAL OF A CHANGE TO EACH FUND'S FUNDAMENTAL
INVESTMENT RESTRICTION ON CONCENTRATION

At the Meeting, shareholders will be asked to approve a change to each Fund's fundamental investment restriction on concentration of investments in a particular industry or group of industries.

The 1940 Act requires mutual funds, such as the Funds, to establish and disclose in their registration statements certain "fundamental" investment policies that can only be changed by shareholder vote, including a policy that restricts a fund's ability to "concentrate" its investments in a particular industry or group of industries. The current fundamental investment restriction for the Funds refers to the SEC's interpretation of the meaning of the term "concentrate," which generally involves investments of more than 25% of a fund's assets. It is proposed that the term "concentrate" be described with a reference to the 1940 Act and the rules thereunder, as they may be interpreted or modified from time to time by regulatory authorities having appropriate jurisdiction. This would allow the Funds to take advantage of any future changes in the law or interpretations of what it means for a Fund to concentrate its investments in an industry or group of industries. The proposed new restriction also would clarify that each Fund is permitted to invest more than 25% of its total assets in another fund, including a Hartford Fund (each an "Underlying Fund"), and that investment in excess of 25% in an Underlying Fund would not constitute "concentration" for purposes of the policy. This would permit a Fund's conversion to a fund of funds or master-feeder structure if HFMC and the Board believe such a change would be appropriate.

The Boards propose the following revisions with respect to the fundamental investment restriction on concentration of each Fund:

Current Investment Restriction
on Concentration
Proposed Investment
Restriction on Concentration

Each Fund (except for Checks and Balances Fund, Conservative Allocation Fund, Duration-Hedged Strategic Income Fund, Global Real Asset Fund, Growth Allocation Fund, Healthcare Fund and Moderate Allocation Fund) will not purchase the securities or loans of any issuer or borrower (other than securities or loans issued or guaranteed by the U.S. government or any of its agencies or instrumentalities) if, as a result, more than 25% of the Fund's total assets would be invested in the securities or

Each Fund will not "concentrate" its investments in a particular industry or group of industries, except as permitted under the 1940 Act, and the rules and regulations thereunder as such may be interpreted or modified from time to time by regulatory authorities having appropriate jurisdiction, except that:
a) Global Real Asset Fund will normally invest at least 25% of its assets, in the aggregate, in the natural resources industry; and

Current Investment Restriction
on Concentration
Proposed Investment
Restriction on Concentration

loans of companies whose principal business activities are in the same industry. Each of Checks and Balances Fund, Conservative Allocation Fund, Duration-Hedged Strategic Income Fund, Growth Allocation Fund and Moderate Allocation Fund will not purchase the securities or loans of any issuer or borrower (other than securities or loans issued or guaranteed by the U.S. government or any of its agencies or instrumentalities) if, as a result, more than 25% of the Fund's total assets would be invested in the securities or loans of companies whose principal business activities are in the same industry; except that each of such Funds may invest more than 25% of its assets in any one Underlying Fund. The Global Real Asset Fund will normally invest at least 25% of its assets, in the aggregate, in the natural resources industry. Healthcare Fund will normally invest at least 25% of its total assets, in the aggregate, in the following industries: pharmaceuticals and biotechnology, medical products and health services. With respect to Municipal Opportunities Fund, Municipal Real Return Fund, Municipal Income Fund and Municipal Short Duration Fund, (i) tax exempt securities are not subject to this limitation unless they are backed by the assets and revenues of non-governmental issuers and (ii) this limitation will not apply to tax exempt securities that have been refunded with U.S. government securities.

b) Healthcare Fund will normally invest at least 25% of its total assets, in the aggregate, in the following industries: pharmaceuticals and biotechnology, medical products and health services.


REQUIRED VOTE

For each Fund, approval of this Proposal requires an affirmative vote of the lesser of (i) 67% or more of the Fund's shares present at the Meeting, if the holders of more than 50% of the outstanding shares of such Fund are present or represented by proxy; or (ii) more than 50% of the outstanding shares of the Fund. If the shareholders of a particular Fund do not approve this Proposal, the Proposal will not take effect with respect to that Fund, and it will retain its current fundamental investment restriction on concentration.

The Boards unanimously recommend that you vote "FOR" Proposal 5.


PROPOSAL 6

APPROVAL TO PERMIT HFMC TO SELECTENTER INTO AND/OR MATERIALLY AMEND AGREEMENTS WITH AFFILIATED AND CONTRACT WITH UNAFFILIATED
SUB-ADVISERS ON BEHALF OF EACH OF THE FUNDS WITHOUT OBTAINING SHAREHOLDER APPROVAL

The Board is proposingBackground

Under Section 15(a) of the 1940 Act, investment managers to mutual funds may not enter into a sub-advisory agreement without obtaining shareholder approval. Similarly, shareholders must approve any material amendments to an existing sub-advisory agreement between an investment manager and a sub-adviser. Mutual funds that shareholders approve the Funds' reliance on an exemptive order in connection with the Funds'operate under a "manager of managers" arrangement. The Fundsarrangement are structured differently from many other investment companies. Under a traditional investment company structure, the investment advisermanager is a single entity that employs one or more individuals internally as portfolio managers to make investment decisions. The investment manager is free to retain or terminate those portfolio managers without board or shareholder approval. InRelying on exemptive relief from the caseSEC and previous shareholder approval of the Funds, however, day-to-dayoperation of the investment decisions are not made by HFMC. Instead, HFMCcompany under this structure, the investment manager selects, supervises, evaluates and, if necessary, terminates sub-advisers that make those day-to-day investment decisions.

HFMC currently employs Wellington Management, a registered investment adviser, for each Fund. As sub-adviser, Wellington Management performs the daily managementdecisions on behalf of the assetsfunds.

The Current Manager of Managers Arrangement

With the Funds. HFMC monitors and supervises the activitiesexception of Wellington Management and any other sub-advisers, and may terminate the services of any sub-adviser at any time, subject to the notice periods set forth in the applicable sub-advisory agreement.

Under Section 15(a) of the 1940 Act, investment managers to mutual funds cannot enter into a sub-advisory agreement without obtaining shareholder approval. Similarly, shareholders must approve any material amendments to an existing sub-advisory agreement between an investment manager and a sub-adviser. The Hartford Growth Allocation Fund and The Hartford Checks and Balances Fund, the Funds have obtainedcurrently operate under a "manager of managers" structure in reliance on an exemptive order (the "Order""Existing Order") from thosegranted by the SEC and certain other requirements under the 1940 Act from the SEC.previously approved by shareholders. The Existing Order, among other things, allows HFMC to select and contract with sub-advisers that are not affiliated with the investment manager or those funds (other than by reason of serving as a sub-adviser to one or more of the funds) (each, an "Unaffiliated Sub-Adviser"), and to materially amend sub-advisory agreements with Unaffiliated Sub-Advisers, without shareholder approval. Therefore, many Hartford Funds historically have utilized both affiliated and unaffiliated sub-advisers as part of both single and multiple sub-adviser arrangements. HFMC has significant experience in overseeing sub-advisers under such arrangements, including through reliance on the Existing Order.

Pursuant to the Existing Order, HFMC currently employs Wellington Management as sub-adviser for each Fund other than The Hartford Growth Allocation Fund, The Hartford Conservative Allocation Fund, Hartford Moderate Allocation Fund and The Hartford Checks and Balances Fund. As sub-adviser, Wellington Management makes investment decisions regarding the assets of these Funds. HFMC evaluates, oversees and supervises the activities of Wellington Management and would do the same for any other sub-advisers, and may terminate the services of any sub-adviser at any time, subject to the notice periods set forth in the applicable sub-advisory agreement.


The Proposed Manager of Managers Arrangement

The Boards are proposing that shareholders approve, prospectively, a proposal to permit HFMC, in its capacity as the investment manager to a Fund and subject to Board oversight, to enter into and/or materially amend sub-advisory agreements with certain affiliated sub-advisers in addition to Unaffiliated Sub-Advisers without obtaining shareholder approval if the relevant Board concludes that it would be in the best interests of shareholders of the Fund. HFMC and the Companies have requested exemptive relief from the SEC (the "New Order") that would extend the Existing Order to allow HFMC, on behalf of the Funds (including The Hartford Growth Allocation Fund and The Hartford Checks and Balances Fund), to contract with a sub-adviser that is an indirect or direct "wholly-owned subsidiary" of HFMC, as defined in the 1940 Act, or a sister company of HFMC that is a wholly-owned subsidiary of a company that, indirectly or directly, wholly owns HFMC (each, a "Wholly-Owned Sub-Adviser").

With respect to those Funds that are currently able to rely on the Existing Order, it is anticipated that the New Order would supersede the Existing Order. If shareholders do not approve a Fund's reliance on the New Order, the Fund will continue to be required to obtain shareholder approval to enter into or materially amend sub-advisory agreements with Wholly-Owned Sub-Advisers, and the Fund would continue to rely on the Existing Order previously approved by shareholders with respect to Unaffiliated Sub-Advisers. With respect to The Hartford Growth Allocation Fund and The Hartford Checks and Balances Fund, it is anticipated that the Funds would be able to rely on the New Order. If shareholders of The Hartford Growth Allocation Fund or The Hartford Checks and Balances Fund do not approve the Fund's reliance on the New Order, the Fund will not be able to rely on any "manager of managers" exemptive relief, and will continue to be required to obtain shareholder approval to enter into or materially amend sub-advisory agreements with Unaffiliated Sub-Advisers and/or Wholly-Owned Sub-Advisers.

Implications of Approving Proposal 6

As with the Existing Order, the Funds' ability to rely on the New Order iswould be contingent on compliance with conditions set forth in the New Order, including that each Hartford FundFund: (i) receive shareholder approval to operate using a "manager of managers" structure in reliance on the New Order; (ii) hold itself out to the public as employing the "manager of managers" structure; and (iii) disclose in its prospectus the existence, substance and effect of the New Order. As described in connection with Proposal 1 above, the Review raised a question whether the Funds' sole initial shareholder consented to reliance on the Order, and indicated that the Funds' reliance on the Order had not been consistently disclosed in the Funds' prospectuses. In light of the results of the Review, HFMC and the Board are requesting that shareholders approve Proposal 3.

If shareholders approve Proposal 36 with respect to the Funds and the SEC grants the New Order, when an existing sub-advisory agreement with an Unaffiliated Sub-Adviser or a Wholly-Owned Sub-Adviser (collectively, an "Eligible Sub-Adviser") is amended in any material respect, or when a new sub-adviserEligible Sub-Adviser for a Fund is retained by HFMC, shareholders willwould not be required to approve


the amendment or new sub-advisory agreement between HFMC and that sub-adviser.Eligible Sub-Adviser. The relevant Board (including theits Independent Directors) willwould continue to approve new contracts between HFMC and a sub-adviser,an Eligible Sub-Adviser, as well as changes to


existing contracts.contracts with Eligible Sub-Advisers. The relief willwould not apply to the advisory agreementagreements between HFMC and theeach Company, and material changes to that agreement willthose agreements would continue to require approval of shareholders. In addition, HFMC will not enter into a sub-advisory agreement with a sub-adviser that is an "affiliated person," as defined in the 1940 Act, of the Company or HFMC, other than by reason of serving as a sub-adviser to one or more of the Hartford Funds (an "Affiliated Sub-Adviser"), without that sub-advisory agreement being approved by the applicable Fund's shareholders. In accordance with the conditions of the New Order, within 90 days of the hiring of any new sub-adviser,an Eligible Sub-Adviser, shareholders willwould be furnished essentially all information about the new sub-adviserEligible Sub-Adviser or sub-advisory agreement that would be included in a proxy statement. HFMC willand the applicable Company would meet this condition by providing the shareholders with an information statement meeting the requirements of Regulation 14C, Schedule 14C and Item 22 of Schedule 14A under the Securities Exchange Act of 1934.

If Proposal 3 is approved,Under the New Order, a Fund willwould also be permitted to disclose in its prospectus, SAI,statement of additional information, financial statements and certain other documents only (i) the aggregate fees paid to HFMC and any Affiliated Sub-AdviserWholly-Owned Sub-Advisers by that Fund; (ii) the aggregate fees paid by HFMC to the sub-advisers of that Fund, other than AffiliatedUnaffiliated Sub-Advisers; and (iii) feesthe fee paid to each sub-adviser, other than a Wholly-Owned Sub-Adviser, who is an affiliated person (as defined in section 2(a)(3) of the 1940 Act) of the Fund, the Company or HFMC, other than by HFMCreason of serving as a sub-adviser to any Affiliated Sub-Adviser.one or more Funds. Therefore, the Fund would not necessarily have to disclose separately the fees paid by HFMC to a particular sub-adviser.

Proposal 6 would not affect the amount of management fees paid by any Fund to HFMC. HFMC would continue to negotiate fees paid to any sub-adviser other than an Affiliated Sub-Adviser.for its services and would continue to pay sub-advisory fees from its own assets. In anticipation of the issuance of the New Order by the SEC, Proposal 6 seeks prospective approval of the Funds' reliance on the New Order. Proposal 6 also seeks prospective approval of the operation of the Funds in any "manager of managers" structure under any terms or conditions necessary to satisfy the conditions of any future law, regulation, or exemptive relief provided by the SEC. This prospective approval may obviate the need to obtain shareholder approval in the future to rely on any further expanded relief or changes in law or regulation that may permit the use of a "manager of managers" structure for any sub-adviser, although there can be no guarantee that the prospective approval would be sufficient to satisfy the requirements of any future authority or relief.

Board Considerations in Approving Reliance on the New Order

The Boards believe that it is in the best interests of the Funds and their shareholders to provide HFMC and the Board believe that permitting HFMCBoards with increased flexibility to select and contract with sub-advisers without incurring the significant delay and expense involvedassociated with obtaining prior shareholder approvalapproval. The Boards believe that this "manager of newmanagers" arrangement would permit the Funds to operate more efficiently and cost-effectively. Under the Existing Order, shareholders of the Funds (other than The Hartford Growth Allocation Fund and The Hartford Checks and Balances Fund) are not required to approve sub-advisory agreements or material amendments thereto with respect to existingUnaffiliated Sub-Advisers. However, the applicable Company currently must call and hold a shareholder meeting of an


affected Fund before it appoints a new Wholly-Owned Sub-Adviser or materially amends a sub-advisory agreements,agreement with a Wholly-Owned Sub-Adviser. Each time a shareholder meeting is appropriatecalled, the Company must create and indistribute proxy materials and solicit proxy votes from the best interest of each Fund's shareholders,shareholders. This process is time-consuming and will allow eachcostly, and such costs are sometimes borne by the Fund, to operate more efficiently.thereby reducing shareholders' net investment returns. While HFMC expects its relationships with the sub-advisers to the Funds to be long-term and stable over time, approval of Proposal 3 will6 (coupled with the New Order, if granted) would permit HFMC to act quickly in situations where HFMC and the BoardBoards believe that a change in certain sub-advisers or to acertain sub-advisory agreement,agreements, including any feefees paid to a sub-adviser,sub-advisers, is warranted.

REQUIRED VOTE

Authorization of the Funds' Board and HFMC to select and contract with investment sub-advisers and to materially amend investment sub-advisory agreements without obtaining theFor each Fund, approval of shareholders by each Fund's shareholdersthis Proposal requires an affirmative vote of the lesser of (i) 67% or more of suchthe Fund's shares present at the Meeting, if the holders of more than 50% of the outstanding shares of such Fund are present or represented by proxy,proxy; or (ii) more than 50% of the outstanding shares of suchthe Fund.

The BoardBoards unanimously recommendsrecommend that you vote "FOR" Proposal 3.6.


OTHER MATTERS

Management does not intend to present any business to the Meeting not mentioned in this Proxy Statement and currently knows of no other business to be presented. If any other matters are brought before the Meeting, the persons named as proxies will vote on such matters in accordance with their judgment of the best interests of the Company.

BENEFICIAL OWNERS

As of the Record Date, all directors and officers as a group owned less than 1% of the outstanding shares of each class of each Fund's shares. As of the Record Date, to the knowledge of the Company, no person owned beneficially more than 5% of the outstanding shares of any class of shares of any Fund, except as listed in Appendix D.

As of October 31, 2013, none of the Independent Directors (or their immediate family members) had share ownership in securities of the Company's investment manager or principal underwriter or in an entity controlling, controlled by or under common control with the investment manager or principal underwriter (not including registered investment companies).

FEES AND EXPENSES

During the Engagement Period, HIFSCO and HFMC (as applicable) paid sub-advisory fees to Wellington Management from their respective advisory fees. HFMC pays Wellington Management a sub-advisory fee at the following annual rates (calculated as a percentage of each Fund's average daily net assets) for Wellington Management's sub-advisory services to each Fund:

Average Daily Net Assets

Annual Rate

First $250 million

0.0300

%

Next $250 million

0.0250

%

Next $500 million

0.0200

%

Next $1.5 billion

0.0150

%

Next $2.5 billion

0.0100

%

In excess of $5 billion

0.0050

%

As of October 31, 2013, net assets in each Fund were as follows:

Fund

 

Net Assets

 

The Hartford Balanced Allocation Fund

 

$

785,298,900.00

  

The Hartford Conservative Allocation Fund

 

$

235,302,109.85

  

The Hartford Growth Allocation Fund

 

$

935,177,099.25

  

For the fiscal year ended October 31, 2013, HIFSCO and HFMC, respectively, paid Wellington Management the following aggregate amounts for Wellington Management's sub-advisory services to each Fund:

Fund

 Aggregate
Amount Paid by
HIFSCO/HFMC
 

The Hartford Balanced Allocation Fund

 

$

195,238

  

The Hartford Conservative Allocation Fund

 

$

77,082

  

The Hartford Growth Allocation Fund

 

$

214,170

  

HFMC will pay all expenses relating to this Notice and Proxy Statement and the Meeting, including the printing, mailing, solicitation and vote tabulation expenses and out-of-pocket expenses.discretion.

OTHER SERVICE PROVIDERS

The following companies also provide services to the Funds and will continue to do so whether or not Fund shareholders approve the Proposals. HFMC serves as the Funds' investment manager and also provides fund accounting and administration services to each Fund. Prior to January 1, 2013, fund accounting services were provided by Hartford Life Insurance Company. Hartford Funds Distributors, LLC ("HFD"), formerly Hartford Investment Financial Services, LLC,HFD serves as the Funds' principal underwriter. As underwriter, HFD is responsible for the sale and distribution of fund shares. HASCO performs transfer agency services for each Fund. As transfer agent, HASCO, among other things, receives and processes purchase and redemption orders, effects transfers of shares, prepares and transmits payments for dividends and distributions, and maintains records of account. The principal business address for HFMC, HFD, and HFDHASCO is 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087. Hartford Administrative Services Company ("HASCO") performs transfer agency services for each Fund. HASCO issues and redeems shares of each Fund and disburses any dividends declared by such Fund.

PORTFOLIO TRANSACTIONS AND BROKERAGE

For the fiscal year ended October 31, 2013,2015, the Funds did not pay brokerage commissions to any affiliate of HFMC or Wellington Management.

SHAREHOLDER MAILINGS

To help lower the impact of operating costs, each Fund attempts to eliminate mailing duplicate documents to the same address. When two or more Fund shareholders have the same last name and address, the applicable Fund may send only one prospectus, annual report, semi-annual report, general information statement or proxy to that address, rather than mailing separate documents to each shareholder. Shareholders may opt out of this single mailing at any time by calling the applicable Fund at 1-888-843-7824 or writing to the applicable Fund at Hartford Funds, P.O. Box 64387, St. Paul, Minnesota 55164-0387 (for requests sent prior to March 1, 2014) or Hartford Funds, P.O. Box 55022, Boston, Massachusetts 02205-5022, (effective March 1, 2014), and requesting additional


copies of Fund documents. Shareholders sharing a single mailing address who are currently receiving multiple copies of Fund documents can request delivery of a single copy instead by calling the same telephone number or writing to the same address.

A copy of the Company'sCompanies' most recent annual report,reports, or a copy of the prospectusprospectuses or proxy, is available upon request, and without charge.

If you would likePlease go to www.2voteproxy.com/hmf or www.hartfordfunds.com/HMFproxy to view a copythe proxy statement on the internet pleaseor call 1-855-520-7708 and a copy will be sent without charge. Please go to www.proxyvote.com. Alternatively, if you would likewww.hartfordfunds.com to receive a copy, pleaseview the Companies' annual reports or prospectuses on the internet or contact the applicable Fund at Hartford Funds, P.O. Box 64387, St. Paul, Minnesota 55164-0387 (for requests sent prior to March 1, 2014) or Hartford Funds, P.O. Box 55022, Boston, Massachusetts 02205-5022 (effective March 1, 2014) or


call 1-888-843-7824 and a copy will be sent without charge by first class mail within three business days of your request.

SHAREHOLDER PROPOSALS

No Fund isThe Funds are not required to hold annualshareholder meetings of shareholdersannually and none of the Funds currently intends to hold such meetings, unless shareholder action is required in accordance with the 1940 Act.Act or other applicable law. To be considered for inclusion in the proxy statement at any subsequent meeting of shareholders pursuant to Rule 14a-8 under the Securities Exchange Act of 1934, a shareholder proposal must be submitted to the applicable Fund at the address above at a reasonable time before the proxy statement for that meeting is mailed. Whether a proposal is included in the proxy statement will be determined in accordance with applicable federal and state laws. The timely submission of a proposal does not guarantee its inclusion. As of the date of this Proxy Statement, no shareholder proposals had been submitted for this Shareholder Meeting.

Each Company's Bylaws currently provide that, in order for a shareholder to nominate a candidate for election as a director or a shareholder to propose other business to be presented at a Company's next annual meeting of shareholders, other than a stockholder proposal included in a Proxy Statement pursuant to Rule 14a-8, notice of such nomination or proposal must be delivered to the Company's Secretary at its principal executive office not earlier than 120 days prior to such annual meeting and no later than 5:00 p.m., Eastern Time, on the 90th day prior to such annual meeting, or the 10th day following the day on which public announcement is first made of the date of the annual meeting. The public announcement of a postponement or adjournment of an annual meeting shall not commence a new time period for the giving of a shareholder's notice.

  On behalf of the Board of Directors,

  

  Edward P. Macdonald
  
Secretary and Chief Legal Officer

January 31, 20146, 2016



INDEX OF APPENDICES

Appendix A:A  Fund Shares Outstanding

Appendix B:B  Additional Information About the Companies and Independent Registered Public Accounting Firm

Beneficial Ownership of the Directors and Nominees
Management Compensation
Board Meetings, Committees and Other Related Matters
Independent Registered Public Accounting Firm

Appendix C  Nominating and Governance Committee Charter

Appendix D  Form of Proposed New Investment Sub-AdvisoryManagement Agreement

Appendix C: Principal Executive OfficersE  Additional Information About HFMC and Directorsthe New Agreement

The Investment Manager
Management of the Investment Manager
Prior Approvals of Current Agreements
Management Fees under the Current Agreements
Other Fee Payments
Compensation Paid to HFMC by Investment Companies with Similar Investment Objectives

Appendix D:F  Beneficial Owners



APPENDIX A

Fund Shares Outstanding on January 10, 2014FUND SHARES OUTSTANDING ON DECEMBER 23, 2015

The Hartford Balanced Allocation FundTHE HARTFORD MUTUAL FUNDS, INC.

Fund

Class

 Shares Outstanding on
on Record Date
 
Class A

The Hartford Balanced Fund

  

37,306,583.230A

29,839,056.69

  
Class B

The Hartford Balanced Fund

  

3,061,290.937B

220,264.63

  
Class C

The Hartford Balanced Fund

  

13,685,299.082C

7,640,071.15

  
Class I

The Hartford Balanced Fund

  

775,865.807I

551,356.72

  
Class R3

The Hartford Balanced Fund

  

3,227,340.239R3

65,750.27

  
Class R4

The Hartford Balanced Fund

  

1,841,734.863R4

28,939.77

  
Class R5

The Hartford Balanced Fund

  

778,778.563R5

7,705.26

  
Total all classes

The Hartford Balanced Fund

  

60,676,892.721Y

376,592.02

The Hartford Balanced Income Fund

A

202,032,737.52

The Hartford Balanced Income Fund

B

919,159.20

The Hartford Balanced Income Fund

C

190,060,548.84

The Hartford Balanced Income Fund

I

101,300,874.61

The Hartford Balanced Income Fund

R3

10,554,513.77

The Hartford Balanced Income Fund

R4

5,137,613.98

The Hartford Balanced Income Fund

R5

1,730,213.78

The Hartford Balanced Income Fund

R6

459,330.01

The Hartford Balanced Income Fund

Y

2,529,617.98

The Hartford Capital Appreciation Fund

A

153,352,407.41

The Hartford Capital Appreciation Fund

B

5,173,518.35

The Hartford Capital Appreciation Fund

C

61,545,190.77

The Hartford Capital Appreciation Fund

I

46,313,195.45

The Hartford Capital Appreciation Fund

R3

3,238,021.96

The Hartford Capital Appreciation Fund

R4

4,472,107.96

The Hartford Capital Appreciation Fund

R5

1,321,741.51

The Hartford Capital Appreciation Fund

R6

261.57

The Hartford Capital Appreciation Fund

Y

26,907,998.84

The Hartford Checks and Balances Fund

A

147,102,413.17

The Hartford Checks and Balances Fund

B

8,245,176.84

The Hartford Checks and Balances Fund

C

35,908,565.41

The Hartford Checks and Balances Fund

I

3,785,293.51

The Hartford Checks and Balances Fund

R3

1,366,148.89

The Hartford Checks and Balances Fund

R4

461,603.78

The Hartford Checks and Balances Fund

R5

546,466.30

The Hartford Conservative
Allocation Fund

A

11,075,390.12

The Hartford Conservative
Allocation Fund

B

312,351.55

  

The Hartford Conservative Allocation Fund

Class

 Shares Outstanding on
on Record Date
 
Class AThe Hartford Conservative
Allocation Fund
  

13,383,676.577C

3,836,760.92

  
Class BThe Hartford Conservative
Allocation Fund
  

995,156.813I

104,526.34

  
Class CThe Hartford Conservative
Allocation Fund
  

4,834,997.039R3

821,243.48

  
Class IThe Hartford Conservative
Allocation Fund
  

124,525.952R4

255,333.06

  
Class R3The Hartford Conservative
Allocation Fund
  

955,591.390R5

249,297.31

  
Class R4

Hartford Core Equity Fund

  

648,170.281A

13,870,027.80

  
Class R5

Hartford Core Equity Fund

  

313,686.804B

59,604.81

  
Total all classes

Hartford Core Equity Fund

  

21,255,804.856C

4,941,973.60

Hartford Core Equity Fund

I

7,816,162.75

Hartford Core Equity Fund

R3

395,729.99

Hartford Core Equity Fund

R4

1,162,740.43

Hartford Core Equity Fund

R5

1,241,216.19

Hartford Core Equity Fund

R6

51,922.26

Hartford Core Equity Fund

Y

10,908,002.93

The Hartford Dividend and Growth Fund

A

161,087,726.56

The Hartford Dividend and Growth Fund

B

1,818,038.87

The Hartford Dividend and Growth Fund

C

20,804,316.19

The Hartford Dividend and Growth Fund

I

74,643,162.55

The Hartford Dividend and Growth Fund

R3

3,604,993.97

The Hartford Dividend and Growth Fund

R4

5,997,823.30

The Hartford Dividend and Growth Fund

R5

9,763,887.33

The Hartford Dividend and Growth Fund

R6

435.37

The Hartford Dividend and Growth Fund

Y

57,753,189.88

Hartford Duration-Hedged
Strategic Income Fund

A

877,836.73

Hartford Duration-Hedged
Strategic Income Fund

C

217,418.37

Hartford Duration-Hedged
Strategic Income Fund

I

48,392.70

Hartford Duration-Hedged
Strategic Income Fund

R3

43,240.68

Hartford Duration-Hedged
Strategic Income Fund

R4

43,498.77

Hartford Duration-Hedged
Strategic Income Fund

R5

43,758.15

Hartford Duration-Hedged
Strategic Income Fund

Y

197,299.29

Hartford Emerging Markets Equity Fund

A

1,180,848.67

  

The Hartford Growth Allocation Fund

Class

 Shares Outstanding on
on Record Date
 
Class A

Hartford Emerging Markets Equity Fund

  

42,680,533.795C

319,099.84

  
Class B

Hartford Emerging Markets Equity Fund

  

4,241,526.239I

378,254.11

  
Class C

Hartford Emerging Markets Equity Fund

  

14,917,083.476R3

246,280.95

  
Class I

Hartford Emerging Markets Equity Fund

  

338,985.681R4

228,748.08

  
Class R3

Hartford Emerging Markets Equity Fund

  

1,404,175.043R5

227,793.02

  
Class R4

Hartford Emerging Markets Equity Fund

  

1,200,802.647Y

11,469,618.62

  
Class R5The Hartford Emerging Markets
Local Debt Fund
  

452,642.513A

795,480.00

  
Total all classesThe Hartford Emerging Markets
Local Debt Fund
  

65,235,749.394C

158,604.07

The Hartford Emerging Markets
Local Debt Fund

I

267,261.44

The Hartford Emerging Markets
Local Debt Fund

R3

2,585.39

The Hartford Emerging Markets
Local Debt Fund

R4

6,909.14

The Hartford Emerging Markets
Local Debt Fund

R5

1,501.50

The Hartford Emerging Markets
Local Debt Fund

Y

22,504,468.82

The Hartford Equity Income Fund

A

100,427,002.40

The Hartford Equity Income Fund

B

734,708.64

The Hartford Equity Income Fund

C

26,415,471.54

The Hartford Equity Income Fund

I

46,594,078.98

The Hartford Equity Income Fund

R3

3,131,681.50

The Hartford Equity Income Fund

R4

4,137,442.75

The Hartford Equity Income Fund

R5

4,247,709.11

The Hartford Equity Income Fund

R6

784,722.44

The Hartford Equity Income Fund

Y

21,968,193.30

The Hartford Floating Rate Fund

A

123,838,757.38

The Hartford Floating Rate Fund

B

841,937.85

The Hartford Floating Rate Fund

C

166,116,627.07

The Hartford Floating Rate Fund

I

184,518,995.42

The Hartford Floating Rate Fund

R3

1,589,447.01

The Hartford Floating Rate Fund

R4

1,052,515.36

The Hartford Floating Rate Fund

R5

337,512.28

The Hartford Floating Rate Fund

Y

38,394,485.09

The Hartford Floating Rate High
Income Fund

A

12,923,723.58

The Hartford Floating Rate High
Income Fund

C

9,782,610.49

The Hartford Floating Rate High
Income Fund

I

12,496,849.64


Fund

Class

Shares Outstanding
on Record Date
The Hartford Floating Rate High
Income Fund

R3

45,500.31

The Hartford Floating Rate High
Income Fund

R4

49,851.17

The Hartford Floating Rate High
Income Fund

R5

3,701.90

The Hartford Floating Rate High
Income Fund

Y

377,178.47

The Hartford Global All-Asset Fund

A

15,191,480.32

The Hartford Global All-Asset Fund

C

9,289,793.64

The Hartford Global All-Asset Fund

I

6,247,297.79

The Hartford Global All-Asset Fund

R3

200,123.00

The Hartford Global All-Asset Fund

R4

128,947.80

The Hartford Global All-Asset Fund

R5

1,005.03

The Hartford Global All-Asset Fund

Y

9,721,587.79

The Hartford Global Alpha Fund

A

490,114.98

The Hartford Global Alpha Fund

C

214,519.90

The Hartford Global Alpha Fund

I

252,098.24

The Hartford Global Alpha Fund

R3

200,000.00

The Hartford Global Alpha Fund

R4

200,000.00

The Hartford Global Alpha Fund

R5

200,000.00

The Hartford Global Alpha Fund

Y

1,113,715.05

Hartford Global Capital
Appreciation Fund

A

44,140,392.43

Hartford Global Capital
Appreciation Fund

B

1,237,028.78

Hartford Global Capital
Appreciation Fund

C

17,728,300.93

Hartford Global Capital
Appreciation Fund

I

6,654,202.61

Hartford Global Capital
Appreciation Fund

R3

1,947,933.97

Hartford Global Capital
Appreciation Fund

R4

951,772.94

Hartford Global Capital
Appreciation Fund

R5

35,202.99

Hartford Global Capital
Appreciation Fund

Y

444,373.96

Hartford Global Equity Income Fund

A

10,318,416.00

Hartford Global Equity Income Fund

B

105,772.03

Hartford Global Equity Income Fund

C

1,322,098.30

Hartford Global Equity Income Fund

I

341,513.41

Hartford Global Equity Income Fund

R3

16,497.85


Fund

Class

Shares Outstanding
on Record Date

Hartford Global Equity Income Fund

R4

8,017.71

Hartford Global Equity Income Fund

R5

14,247.50

Hartford Global Equity Income Fund

Y

436,018.15

The Hartford Global Real Asset Fund

A

2,848,796.52

The Hartford Global Real Asset Fund

C

1,238,053.72

The Hartford Global Real Asset Fund

I

2,610,864.61

The Hartford Global Real Asset Fund

R3

14,630.35

The Hartford Global Real Asset Fund

R4

360,896.61

The Hartford Global Real Asset Fund

R5

44,429.05

The Hartford Global Real Asset Fund

Y

25,803,146.42

The Hartford Growth Allocation Fund

A

53,919,711.65

The Hartford Growth Allocation Fund

B

1,798,742.22

The Hartford Growth Allocation Fund

C

17,165,973.82

The Hartford Growth Allocation Fund

I

818,333.90

The Hartford Growth Allocation Fund

R3

1,373,029.22

The Hartford Growth Allocation Fund

R4

1,279,334.65

The Hartford Growth Allocation Fund

R5

537,711.97

The Hartford Healthcare Fund

A

26,887,077.16

The Hartford Healthcare Fund

B

193,848.12

The Hartford Healthcare Fund

C

10,711,853.46

The Hartford Healthcare Fund

I

7,854,604.84

The Hartford Healthcare Fund

R3

1,746,005.78

The Hartford Healthcare Fund

R4

1,397,881.57

The Hartford Healthcare Fund

R5

144,790.76

The Hartford Healthcare Fund

Y

297,331.79

The Hartford High Yield Fund

A

31,301,224.95

The Hartford High Yield Fund

B

403,574.60

The Hartford High Yield Fund

C

8,907,703.38

The Hartford High Yield Fund

I

3,027,453.70

The Hartford High Yield Fund

R3

387,849.25

The Hartford High Yield Fund

R4

179,231.93

The Hartford High Yield Fund

R5

64,470.97

The Hartford High Yield Fund

Y

1,078,519.37

The Hartford Inflation Plus Fund

A

23,576,402.12

The Hartford Inflation Plus Fund

B

934,960.51

The Hartford Inflation Plus Fund

C

16,578,745.34

The Hartford Inflation Plus Fund

I

5,632,828.04

The Hartford Inflation Plus Fund

R3

5,713,021.62

The Hartford Inflation Plus Fund

R4

1,741,747.21

The Hartford Inflation Plus Fund

R5

316,275.89

The Hartford Inflation Plus Fund

Y

8,776,052.58

Hartford International Equity Fund

A

1,390,884.75

Hartford International Equity Fund

B

87,808.04


Fund

Class

Shares Outstanding
on Record Date

Hartford International Equity Fund

C

303,918.14

Hartford International Equity Fund

I

498,020.15

Hartford International Equity Fund

R3

132,376.54

Hartford International Equity Fund

R4

123,571.24

Hartford International Equity Fund

R5

113,270.21

Hartford International Equity Fund

Y

1,137,515.12

The Hartford International Growth Fund

A

9,861,862.35

The Hartford International Growth Fund

B

185,647.35

The Hartford International Growth Fund

C

1,646,263.29

The Hartford International Growth Fund

I

2,983,893.00

The Hartford International Growth Fund

R3

93,832.35

The Hartford International Growth Fund

R4

690,548.26

The Hartford International Growth Fund

R5

522,452.59

The Hartford International Growth Fund

Y

1,040,923.85

The Hartford International
Opportunities Fund

A

37,097,358.90

The Hartford International
Opportunities Fund

B

303,539.92

The Hartford International
Opportunities Fund

C

4,651,911.14

The Hartford International
Opportunities Fund

I

9,802,399.71

The Hartford International
Opportunities Fund

R3

3,359,338.45

The Hartford International
Opportunities Fund

R4

8,102,551.11

The Hartford International
Opportunities Fund

R5

6,537,689.20

The Hartford International
Opportunities Fund

R6

214,904.96

The Hartford International
Opportunities Fund

Y

53,825,914.06

The Hartford International
Small Company Fund

A

5,335,161.18

The Hartford International
Small Company Fund

B

67,138.69

The Hartford International
Small Company Fund

C

1,188,452.54

The Hartford International
Small Company Fund

I

5,645,770.62

The Hartford International
Small Company Fund

R3

724,836.86


Fund

Class

Shares Outstanding
on Record Date
The Hartford International
Small Company Fund

R4

512,741.41

The Hartford International
Small Company Fund

R5

34,327.16

The Hartford International
Small Company Fund

Y

17,991,514.75

The Hartford International Value Fund

A

25,557,142.14

The Hartford International Value Fund

C

3,180,722.64

The Hartford International Value Fund

I

47,374,620.71

The Hartford International Value Fund

R3

35,647.29

The Hartford International Value Fund

R4

115,693.29

The Hartford International Value Fund

R5

25,902.03

The Hartford International Value Fund

Y

12,367,380.96

Hartford Long/Short Global Equity Fund

A

461,940.09

Hartford Long/Short Global Equity Fund

C

241,427.68

Hartford Long/Short Global Equity Fund

I

592,657.84

Hartford Long/Short Global Equity Fund

Y

1,126,233.95

The Hartford MidCap Fund

A

85,113,515.62

The Hartford MidCap Fund

B

1,307,676.69

The Hartford MidCap Fund

C

34,056,093.94

The Hartford MidCap Fund

I

29,767,201.52

The Hartford MidCap Fund

R3

2,800,086.83

The Hartford MidCap Fund

R4

5,128,335.83

The Hartford MidCap Fund

R5

5,971,178.81

The Hartford MidCap Fund

R6

252,440.30

The Hartford MidCap Fund

Y

46,520,975.77

The Hartford MidCap Value Fund

A

17,093,297.94

The Hartford MidCap Value Fund

B

109,964.01

The Hartford MidCap Value Fund

C

3,390,188.66

The Hartford MidCap Value Fund

I

2,202,873.78

The Hartford MidCap Value Fund

R3

726,116.66

The Hartford MidCap Value Fund

R4

946,891.51

The Hartford MidCap Value Fund

R5

535,357.10

The Hartford MidCap Value Fund

Y

5,493,508.76

Hartford Moderate Allocation Fund

A

37,100,907.49

Hartford Moderate Allocation Fund

B

1,066,125.57

Hartford Moderate Allocation Fund

C

12,203,964.24

Hartford Moderate Allocation Fund

I

876,462.22

Hartford Moderate Allocation Fund

R3

2,220,017.86

Hartford Moderate Allocation Fund

R4

774,178.64

Hartford Moderate Allocation Fund

R5

639,808.34

Hartford Multi-Asset Income Fund

A

1,811,739.64

Hartford Multi-Asset Income Fund

C

478,890.65


Fund

Class

Shares Outstanding
on Record Date

Hartford Multi-Asset Income Fund

I

295,375.56

Hartford Multi-Asset Income Fund

R3

212,612.12

Hartford Multi-Asset Income Fund

R4

213,621.49

Hartford Multi-Asset Income Fund

R5

214,264.65

Hartford Multi-Asset Income Fund

Y

3,714,184.07

Hartford Municipal Income Fund

A

356,088.30

Hartford Municipal Income Fund

C

251,418.42

Hartford Municipal Income Fund

I

519,598.92

The Hartford Municipal
Opportunities Fund

A

26,766,694.05

The Hartford Municipal
Opportunities Fund

B

258,158.15

The Hartford Municipal
Opportunities Fund

C

11,942,249.70

The Hartford Municipal
Opportunities Fund

I

22,204,218.85

Hartford Municipal Short Duration Fund

A

669,004.21

Hartford Municipal Short Duration Fund

C

385,265.70

Hartford Municipal Short Duration Fund

I

508,178.42

The Hartford Quality Bond Fund

A

706,028.48

The Hartford Quality Bond Fund

C

103,828.18

The Hartford Quality Bond Fund

I

21,336.43

The Hartford Quality Bond Fund

R3

1,009.09

The Hartford Quality Bond Fund

R4

993.26

The Hartford Quality Bond Fund

R5

991.37

The Hartford Quality Bond Fund

Y

8,223,387.35

Hartford Real Total Return Fund

A

75,065.62

Hartford Real Total Return Fund

C

23,899.07

Hartford Real Total Return Fund

I

24,113.51

Hartford Real Total Return Fund

R3

10,344.88

Hartford Real Total Return Fund

R4

11,824.33

Hartford Real Total Return Fund

R5

10,342.72

Hartford Real Total Return Fund

Y

13,983,908.33

The Hartford Short Duration Fund

A

49,749,901.17

The Hartford Short Duration Fund

B

409,612.90

The Hartford Short Duration Fund

C

12,729,423.41

The Hartford Short Duration Fund

I

14,462,389.83

The Hartford Short Duration Fund

R3

129,310.09

The Hartford Short Duration Fund

R4

70,821.98

The Hartford Short Duration Fund

R5

11,404.02

The Hartford Short Duration Fund

Y

1,977,815.30

Hartford Small Cap Core Fund

A

4,371,791.73

Hartford Small Cap Core Fund

B

150,056.30


Fund

Class

Shares Outstanding
on Record Date

Hartford Small Cap Core Fund

C

1,189,530.33

Hartford Small Cap Core Fund

I

203,390.76

Hartford Small Cap Core Fund

R3

71,046.04

Hartford Small Cap Core Fund

R4

35,919.10

Hartford Small Cap Core Fund

R5

3,687.37

Hartford Small Cap Core Fund

Y

10,827,968.78

The Hartford Small Company Fund

A

19,019,474.49

The Hartford Small Company Fund

B

182,990.70

The Hartford Small Company Fund

C

2,752,061.87

The Hartford Small Company Fund

I

3,819,999.06

The Hartford Small Company Fund

R3

1,948,896.35

The Hartford Small Company Fund

R4

2,183,479.39

The Hartford Small Company Fund

R5

1,611,515.41

The Hartford Small Company Fund

R6

471.52

The Hartford Small Company Fund

Y

10,145,422.77

The Hartford Strategic Income Fund

A

14,262,613.13

The Hartford Strategic Income Fund

B

437,377.73

The Hartford Strategic Income Fund

C

9,770,877.63

The Hartford Strategic Income Fund

I

3,174,921.11

The Hartford Strategic Income Fund

R3

36,616.51

The Hartford Strategic Income Fund

R4

20,703.56

The Hartford Strategic Income Fund

R5

36,175.47

The Hartford Strategic Income Fund

R6

1,158.68

The Hartford Strategic Income Fund

Y

21,978,843.07

The Hartford Total Return Bond Fund

A

66,839,553.08

The Hartford Total Return Bond Fund

B

940,862.76

The Hartford Total Return Bond Fund

C

6,526,348.10

The Hartford Total Return Bond Fund

I

2,261,957.51

The Hartford Total Return Bond Fund

R3

573,832.53

The Hartford Total Return Bond Fund

R4

1,482,989.16

The Hartford Total Return Bond Fund

R5

138,974.26

The Hartford Total Return Bond Fund

R6

967.19

The Hartford Total Return Bond Fund

Y

100,720,691.49

The Hartford Unconstrained Bond Fund

A

5,679,763.96

The Hartford Unconstrained Bond Fund

B

106,022.59

The Hartford Unconstrained Bond Fund

C

1,227,610.95

The Hartford Unconstrained Bond Fund

I

353,301.09

The Hartford Unconstrained Bond Fund

R3

14,942.72

The Hartford Unconstrained Bond Fund

R4

47,632.76

The Hartford Unconstrained Bond Fund

R5

11,680.84

The Hartford Unconstrained Bond Fund

Y

2,106,079.17

The Hartford World Bond Fund

A

57,300,381.57

The Hartford World Bond Fund

C

17,109,604.45


Fund

Class

Shares Outstanding
on Record Date

The Hartford World Bond Fund

I

222,530,298.79

The Hartford World Bond Fund

R3

82,815.74

The Hartford World Bond Fund

R4

481,583.08

The Hartford World Bond Fund

R5

33,597.60

The Hartford World Bond Fund

R6

18,328.89

The Hartford World Bond Fund

Y

57,466,495.97

THE HARTFORD MUTUAL FUNDS II, INC.

Fund

Class

Shares Outstanding
on Record Date

The Hartford Growth Opportunities Fund

A

50,173,106.48

The Hartford Growth Opportunities Fund

B

502,395.62

The Hartford Growth Opportunities Fund

C

16,637,087.80

The Hartford Growth Opportunities Fund

I

63,914,849.64

The Hartford Growth Opportunities Fund

R3

1,211,474.26

The Hartford Growth Opportunities Fund

R4

1,664,890.37

The Hartford Growth Opportunities Fund

R5

3,076,188.32

The Hartford Growth Opportunities Fund

R6

17,458.20

The Hartford Growth Opportunities Fund

Y

8,667,359.13

The Hartford Municipal Real Return Fund

A

11,224,355.78

The Hartford Municipal Real Return Fund

B

80,759.27

The Hartford Municipal Real Return Fund

C

3,004,656.27

The Hartford Municipal Real Return Fund

I

1,657,681.14

The Hartford Municipal Real Return Fund

Y

1,980,759.76

The Hartford SmallCap Growth Fund

A

5,399,110.29

The Hartford SmallCap Growth Fund

B

38,424.78

The Hartford SmallCap Growth Fund

C

1,369,874.10

The Hartford SmallCap Growth Fund

I

4,468,766.61

The Hartford SmallCap Growth Fund

R3

366,073.08

The Hartford SmallCap Growth Fund

R4

1,596,545.43

The Hartford SmallCap Growth Fund

R5

2,407,015.38

The Hartford SmallCap Growth Fund

R6

287.02

The Hartford SmallCap Growth Fund

Y

6,580,570.77

The Hartford Value Opportunities Fund

A

11,665,701.07

The Hartford Value Opportunities Fund

B

110,486.32

The Hartford Value Opportunities Fund

C

1,733,240.39

The Hartford Value Opportunities Fund

I

1,162,741.22

The Hartford Value Opportunities Fund

R3

194,555.96

The Hartford Value Opportunities Fund

R4

640,563.21

The Hartford Value Opportunities Fund

R5

140,275.68

The Hartford Value Opportunities Fund

Y

90,551.68

  


APPENDIX B

ADDITIONAL INFORMATION ABOUT THE COMPANIES AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Beneficial Ownership of the Directors and Nominees

The following table sets forth the dollar range of equity securities beneficially owned by each Director of the Boards or Nominee for election as a Director of the Boards and on an aggregate basis in any registered investment companies overseen by the Director or Nominee within the Hartford Fund Family* as a group, as of November 30, 2015.

Name of Director or
Nominee

Funds

Dollar Range of
Equity Securities
in the Fund
Aggregate Dollar
Range of Equity
Securities in All
Registered
Investment Companies
Overseen
by Director in the
Hartford Fund
Family*

Hilary E. Ackermann

None

None

None

Lynn S. Birdsong

Global Capital Appreciation Fund

Over $100,000

Over $100,000

Dividend and Growth Fund

Over $100,000

Value Opportunities Fund

$10,001-$50,000

International Opportunities Fund

$10,001-$50,000

Equity Income Fund

Over $100,000

MidCap Fund

Over $100,000

Global All Asset Fund

Over $100,000

Emerging Markets Equity Fund

$50,001-$100,000

Capital Appreciation Fund

Over $100,000

Growth Opportunities Fund

$50,001-$100,000

World Bond Fund

$50,001-$100,000

Christine Detrick

None

None

None

Duane E. Hill

Capital Appreciation Fund

Over $100,000

Over $100,000

Floating Rate Fund

$50,001-$100,000

Sandra S. Jaffee

Capital Appreciation Fund

$50,001-$100,000$50,001 to $100,000

William P. Johnston

Global Capital Appreciation Fund

Over $100,000

Over $100,000

World Bond Fund

Over $100,000

Dividend and Growth Fund

Over $100,000

Equity Income Fund

Over $100,000

International Opportunities Fund

Over $100,000

Global All-Asset Fund

Over $100,000

MidCap Value Fund

Over $100,000

Phillip O. Peterson

Healthcare Fund

Over $100,000

Over $100,000

Capital Appreciation Fund

$50,001-$100,000

Global Capital Appreciation Fund

$50,001-$100,000

Name of Director or
Nominee

Funds

Dollar Range of
Equity Securities
in the Fund
Aggregate Dollar
Range of Equity
Securities in All
Registered
Investment Companies
Overseen
by Director in the
Hartford Fund
Family*

Lemma W. Senbet

Healthcare Fund

$50,001-$100,000

Over $100,000

Growth Opportunities Fund

$10,001-$50,000

Dividend and Growth Fund

$10,001-$50,000

Small Company Fund

$10,001-$50,000

Global Capital Appreciation Fund

$10,001-$50,000

Value Opportunities Fund

$10,001-$50,000

Municipal Real Return Fund

$1-$10,000

James E. Davey

Municipal Opportunities Fund

Over $100,000

Over $100,000

Equity Income Fund

Over $100,000

Healthcare Fund

Over $100,000

International Value Fund

Over $100,000

Small Company Fund

Over $100,000

MidCap Fund

Over $100,000

International Opportunities Fund

Over $100,000

International Small Company
Fund

Over $100,000

Core Equity Fund

Over $100,000

*  The Hartford Fund Family currently consists of four open-end investment companies, consisting of 67 separate series.

As of the Record Date, to the knowledge of each Company's management, the directors and officers as a group owned less than 1% of the outstanding shares of each Fund. As of this date, no person, to the knowledge of each Company's management, owned beneficially more than 5% of the outstanding shares of any Fund, except as listed in Appendix F.

As of December 1, 2015, none of the Independent Directors or nominee for Independent Director (or their immediate family members) had share ownership in securities of either Company's investment manager, or in an entity controlling, controlled by or under common control with the investment manager of either Company (not including registered investment companies).

Management Compensation

The Companies pay no compensation to any Director or officer who is an officer or employee of HFMG, HFMC, HFD or any affiliated company. During the fiscal year ended October 31, 2015, the Companies paid a fee to each Director who is not an officer or employee of HFMG, HFMC, HFD or any affiliated company.


The following table sets forth the compensation that each Director (or nominee for director) received during the fiscal year ended October 31, 2015 from the Companies and the entire Hartford fund complex.

Name of Person,
Position
 Aggregate
Compensation
From HMF
 Aggregate
Compensation
From
HMF II
 Pension Or
Retirement
Benefits
Accrued As
Part of
Fund
Expenses
 Estimated
Annual
Benefits
Upon
Retirement
 Total
Compensation
From the
Fund
Complex
Paid To
Directors*
 
Hilary E. Ackermann,
Director
 

$

143,706

  

$

15,885

  

$

0

  

$

0

  

$

207,828

  
Lynn S. Birdsong,
Director
 

$

170,442

  

$

18,677

  

$

0

  

$

0

  

$

247,224

  
Christine Detrick,
Nominee for
Director
 

$

0

  

$

0

  

$

0

  

$

0

  

$

0

  
Dr. Robert M. Gavin,
Former Director**
 

$

204,444

  

$

23,180

  

$

0

  

$

0

  

$

300,215

  
Duane E. Hill,
Director
 

$

184,551

  

$

20,696

  

$

0

  

$

0

  

$

268,256

  
Sandra S. Jaffee,
Director
 

$

169,059

  

$

19,391

  

$

0

  

$

0

  

$

244,803

  
William P. Johnston,
Director and
Chairman of
the Boards
 

$

191,104

  

$

20,674

  

$

0

  

$

0

  

$

276,082

  
Phillip O. Peterson,
Director
 

$

177,338

  

$

19,820

  

$

0

  

$

0

  

$

257,466

  
Lemma W. Senbet,
Director
 

$

151,048

  

$

16,538

  

$

0

  

$

0

  

$

218,189

  

*  As of October 31, 2015, five registered investment companies in the fund complex paid compensation to the Directors.

**  Dr. Gavin retired as a Director effective August 16, 2015.

The sales load for Class A shares of the Funds is waived for present and former officers, directors and employees of the Companies, The Hartford, the sub-adviser, the transfer agent and their affiliates. Such waiver is designed to provide an incentive for individuals that are involved and affiliated with the Funds and their operations to invest in the Funds.

Each Company's Articles of Incorporation provide that the Company, to the full extent permitted by Maryland General Corporate Law and the federal securities laws, shall indemnify the directors and officers of the Company. The Articles of Incorporation do not authorize the Companies to indemnify any director or officer against any liability to which he or she would otherwise be subject by reason of or for willful misfeasance, bad faith, gross negligence or reckless disregard of such person's duties.


Board Meetings, Committees and Other Related Matters

Each Board has established an Audit Committee, a Compliance Committee, a Contracts Committee, an Investment Committee and a Nominating and Governance Committee. The Companies do not have standing compensation committees. However, each Nominating and Governance Committee is responsible for making recommendations to the applicable Board regarding the compensation of the independent members of the Board. Each Board has adopted written charters for the Audit Committee and the Nominating and Governance Committee. A copy of the Nominating and Governance Committee charter is included as Appendix C to this Joint Proxy Statement.

During the fiscal year ended October 31, 2015, there were 6 meetings of the Boards, 5 meetings of the Audit Committees, 6 meetings of the Investment Committee, 4 meetings of the Nominating and Governance Committee, 1 meeting of the Contracts Committee and 4 meetings of the Compliance Committee. Each Director attended (either in person or by telephone) 75% or more of the total number of meetings of the Board and of the Committees on which the Director served.

Shareholders wishing to communicate with members of the Boards of Directors may submit a written communication directed to the Board of Directors in care of the applicable Company's Secretary, Edward P. Macdonald, c/o Hartford Funds, 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

The Audit Committees

Each Audit Committee currently consists of the following non-interested directors: Hilary E. Ackermann, Sandra S. Jaffee, William P. Johnston and Phillip O. Peterson.

Each Audit Committee (i) oversees the Funds' accounting and financial reporting policies and practices, their internal controls and, as appropriate, the internal controls of certain service providers; (ii) assists the applicable Board in its oversight of the qualifications, independence and performance of the Funds' independent registered public accounting firm; the quality, objectivity and integrity of the Funds' financial statements and the independent audit thereof; and the performance of the Fund's internal audit function, and (iii) acts as a liaison between the Funds' independent registered public accounting firm and the respective full Board. The Funds' independent registered accounting firm reports directly to each Audit Committee, and each Audit Committee regularly reports to its applicable Board.

Management is responsible for maintaining appropriate systems for accounting. Each Company's independent registered public accounting firm is responsible for conducting a proper audit of the Company's financial statements and is ultimately accountable to the applicable Audit Committee. The Audit Committees have the ultimate authority and responsibility to select (subject to ratification by the Independent Directors and Company shareholders, as required) and evaluate the applicable Company's independent registered public accounting firm, to determine the compensation of the Company's independent registered public accounting firm


and, when appropriate, to replace the Company's independent registered public accounting firm.

Report of The Audit Committees

The Audit Committees have met and held discussions with management and the independent registered public accounting firm. Management represented to the Audit Committees that the Companies' financial statements were prepared in accordance with generally accepted accounting principles, and the Audit Committees have reviewed and discussed the financial statements with management and the independent registered public accounting firm. The Audit Committees discussed with the independent registered public accounting firm the matters required to be discussed by Statement on Auditing Standards No. 114 (Communications with Audit Committees).

The Audit Committees have received the written disclosures and the letter from Ernst &Young LLP ("E&Y") required by applicable requirements of the Public Company Accounting Oversight Board regarding E&Y's communication with the Audit Committees concerning independence, and the Audit Committees have discussed with E&Y the accounting firm's independence.

Based upon the Audit Committees' discussion with management and E&Y, and the Audit Committees' review of the representation of management and the report of E&Y to the Audit Committees, the Audit Committees agreed to the inclusion of the Funds' Audited Financial Statements in the Funds' annual reports dated October 31, 2015 to be filed with the SEC.

The Compliance Committees

Each Compliance Committee currently consists of Hilary E. Ackermann, Sandra S. Jaffee, William P. Johnston and Phillip O. Peterson. Each Compliance Committee assists the applicable Board in its oversight of the implementation by the Funds of policies and procedures that are reasonably designed to prevent the Funds from violating the Federal securities laws.

The Contracts Committees

Each Contracts Committee currently consists of all non-interested directors of the Funds: Hilary E. Ackermann, Lynn S. Birdsong, Duane E. Hill, Sandra S. Jaffee, William P. Johnston, Phillip O. Peterson and Lemma W. Senbet. Each Contracts Committee assists the applicable Board in its consideration and review of fund contracts and the consideration of strategy-related matters.

The Investment Committees

Each Investment Committee currently consists of Lynn S. Birdsong, Duane E. Hill and Lemma W. Senbet. Each Investment Committee assists the applicable Board in its oversight of the Funds' investment performance and related matters.


The Nominating and Governance Committees

Each Nominating and Governance Committee currently consists of all non-interested directors of the Funds: Hilary E. Ackermann, Lynn S. Birdsong, Duane E. Hill, Sandra S. Jaffee, William P. Johnston, Phillip O. Peterson and Lemma W. Senbet. Each Nominating and Governance Committee (i) screens and selects candidates to the applicable Board, and (ii) periodically reviews and evaluates the compensation of the non-interested directors and makes recommendations to the Board regarding the compensation of, and expense reimbursement policies with respect to, non-interested directors. Each Nominating and Governance Committee is also authorized to consider and make recommendations to the Board regarding governance policies, including, but not limited to, any retirement policy for non-interested directors. Each Nominating and Governance Committee will consider nominees recommended by shareholders for non-interested director positions if a vacancy among the non-interested directors occurs and if the nominee meets the Committee's criteria.

Shareholders wishing to submit recommendations for nominees must send a letter to the chairperson of the Nominating and Governance Committees, in care of the applicable Company's Secretary, Edward P. Macdonald, c/o Hartford Funds, 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087 and must include, at a minimum: (1) the shareholder's contact information; (2) the nominee's contact information, the nominee's resume or curriculum vitae, and the number of applicable Fund shares owned by the proposed nominee; (3) a statement as to whether the nominee is an "interested person" of the Company as defined in Section 2(a)(19) of the 1940 Act, and appropriate documentation to support the statement; (4) all information regarding the nominee that would be required to be disclosed in solicitations of proxies for elections of directors required by Regulation 14A of the Securities Exchange Act of 1934; and (5) a notarized letter executed by the nominee, stating his or her intention to serve as a nominee and be named in the applicable Fund's proxy statement, if so designated by the Nominating and Governance Committee and the Company's Board. A shareholder nominee recommendation must be received by the Nominating and Governance Committee within a reasonable time period prior to the proxy submission. A shareholder or shareholder group may not submit for consideration a nominee who has previously been considered by the Nominating and Governance Committee. Candidates submitted by shareholders are evaluated according to the same criteria as other non-interested director candidates. The Nominating and Governance Committee has not received a recommended nominee from an eligible shareholder or shareholder group who individually, or in the aggregate, beneficially owned more than 5% of the applicable Fund's voting shares for at least one year. A copy of the Nominating and Governance Committee Charter is included in Appendix C.

Independent Registered Public Accounting Firm

The Boards of Directors selected Ernst & Young LLP ("E&Y") as independent registered public accounting firm of the Companies for the fiscal year ending October 31, 2016. E&Y also served as independent registered public accounting


firm of the Companies for the fiscal year ended October 31, 2015. Representatives of E&Y are not expected to be present at the Meeting but will be available telephonically upon request.

Audit Fees. Audit Fees are fees related to the audit and review of the financial statements included in annual reports and registration statements, and other services that are normally provided in connection with statutory and regulatory filings or engagements. The aggregate fees billed by E&Y for professional services rendered for the audit of HMF's annual financial statements for the fiscal years ended October 31, 2015 and October 31, 2014 were $928,500 and $712,021, respectively. The aggregate fees billed by E&Y for professional services rendered for the audit of HMF II's annual financial statements for the fiscal years ended October 31, 2015 and October 31, 2014 were $69,310 and $67,811, respectively.

Audit-Related Fees. Audit-Related Fees are fees related to assurance and related services that are reasonably related to the performance of the audit or review of financial statements, but not reported under "Audit Fees." The aggregate fees billed by E&Y for assurance and related services that are not reasonably related to the performance of the HMF audit for the fiscal years ended October 31, 2015 and October 31, 2014 were $29,118 and $25,614, respectively. The aggregate fees billed by E&Y for assurance and related services that are not reasonably related to the performance of the HMF II audit for the fiscal years ended October 31, 2015 and October 31, 2014 were $2,647 and $2,439, respectively.

Tax Fees. Tax Fees are fees associated with tax compliance, tax advice and tax planning, including services relating to the filing or amendment of federal, state or local income tax returns, regulated investment company qualification reviews, and tax distribution and analysis reviews. The aggregate fees billed by E&Y for professional services rendered for tax compliance, tax advice and tax planning to HMF for the fiscal years ended October 31, 2015 and October 31, 2014 were $258,820 and $203,826, respectively. The aggregate fees billed by E&Y for professional services rendered for tax compliance, tax advice and tax planning to HMF II for the fiscal years ended October 31, 2015 and October 31, 2014 were $22,985 and $18,884, respectively.

All Other Fees. All Other Fees are fees related to services other than those reported above under "Audit Fees," "Audit-Related Fees" and "Tax Fees." The aggregate fees billed for products and services not otherwise reported under "Audit Fees," "Audit-Related Fees," and "Tax Fees" for each Company for each of the fiscal years ended October 31, 2015 and October 31, 2014 were $0.

For the fiscal years ended October 31, 2015 and October 31, 2014, no services described under "Audit-Related Fees," "Tax Fees" or "All Other Fees" were approved pursuant to the de minimis exception.

Pre-Approval of Audit and Non-Audit Services Provided. The pre-approval policies and procedures (the "Policy") adopted by the Audit Committees sets forth the procedures pursuant to which services performed by the applicable independent


registered public accounting firm may be pre-approved. Main provisions of the Policy include the following:

1.  The Audit Committee must pre-approve all audit services and non-audit services that the independent registered public accounting firm provides to the Company.

2.  The Audit Committee must pre-approve any engagement of the independent registered public accounting firm to provide non-audit services to any Service Affiliate (which is defined to include any entity controlling, controlled by, or under common control with the investment adviser that provides ongoing services to the Company) during the period of the independent registered public accounting firm's engagement to provide audit services to the Company, if the non-audit services to the Service Affiliate directly impact the Company's operations and financial reporting.

3.  The Audit Committee shall pre-approve certain non-audit services to the Company and its Service Affiliates pursuant to procedures set forth in the Policy.

4.  The Audit Committee, from time to time, may designate one or more of its members who are Independent Directors (each a "Designated Member") to consider, on the Audit Committee's behalf, any non-audit services, whether to the Company or to any Service Affiliate, that have not been pre-approved by the Audit Committee. The Designated Member also shall review, on the Audit Committee's behalf, any proposed material change in the nature or extent of any non-audit services previously approved. In considering any requested non-audit services or proposed material change in such services, the Designated Member shall not authorize services which would exceed $50,000 in fees for such services.

5.  The independent registered public accounting firm may not provide specified prohibited non-audit services set forth in the Policy to the Company, the Company's investment adviser, the Services Affiliates or any other member of the investment company complex.

Pre-approval has not been waived with respect to services described above under "Audit-Related Fees," "Tax Fees' and "All Other Fees," since the pre-approval procedures were adopted by the Audit Committee.

Aggregate Non-Audit Fees. The aggregate non-audit fees billed by E&Y for services rendered to HMF, HFMC, and Service Affiliates that provide ongoing services to HMF for the fiscal years ended October 31, 2015 and October 31, 2014 were $2,134,034 and $1,646,194, respectively. The aggregate non-audit fees billed by E&Y for services rendered to HMF II, HFMC, and Service Affiliates that provide ongoing services to HMF II for the fiscal years ended October 31, 2015 and October 31, 2014 were $1,871,728 and $1,438,077, respectively. Services were for tax consulting, actuarial and business advisory services throughout the period.



APPENDIX C

NOMINATING AND GOVERNANCE COMMITTEE CHARTER

THE HARTFORD MUTUAL FUNDS, INC.
THE HARTFORD MUTUAL FUNDS II, INC.
HARTFORD SERIES FUND, INC.
HARTFORD HLS SERIES FUND II, INC.
(the "Funds")

NOMINATING AND GOVERNANCE COMMITTEE CHARTER

Membership

The Nominating and Governance Committee of the Funds (the "Committee") shall be composed of all of the Directors/Trustees of the Funds that are not "interested persons" of the Funds, as that term is defined in the Investment Company Act of 1940, as amended ("Independent Directors").

Duties and Powers

1.  The Committee shall make nominations for Independent Director membership on the Board of Directors/Trustees of the Funds (the "Board"). The Committee shall evaluate candidates' qualifications for Board membership and their independence from the Funds' investment adviser and other principal service providers. Persons selected must not be "interested persons" of the Funds, as that term is defined in the Investment Company Act of 1940 as amended (the "1940 Act"). The Committee shall also consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence, e.g. business, financial or family relationships with the investment adviser or its affiliates. In determining nominees' qualifications for Board membership, the Committee may consider such other factors as it may determine to be relevant to fulfilling the role of being a member of the Board. The Committee may seek suggestions for candidates for nomination from any person or source it deems appropriate.

2.  The Committee shall consider nominees recommended by shareholders if a vacancy among the Independent Directors occurs pursuant to the procedures attached hereto as Appendix A.

3.  The Committee shall (1) periodically review and evaluate the compensation of the Independent Directors and (2) make recommendations to the Board regarding the compensation of, and expense reimbursement policies with respect to, the Independent Directors. In evaluating the compensation of the Independent Directors, the Committee may consider the factors set forth in Appendix B or other factors the Committee deems appropriate.


4.  The Committee is authorized to consider and make recommendations to the Board regarding governance policies, including, but not limited to, any retirement policy for Independent Directors.

5.  The Committee shall meet as appropriate prior to a meeting of the full Board and is empowered to hold special meetings as appropriate.

6.  The Committee shall have the resources and authority appropriate to discharge its responsibilities, including authority to utilize Fund counsel and/or independent counsel to the Independent Directors and to retain experts, as deemed appropriate, at the expense of the Funds.

7.  The Committee shall review these Procedures as appropriate and recommend any changes to Board.

Adopted: May 13, 2003
Revised: November 4, 2015, June 22, 2011, November 1, 2006


APPENDIX A

Procedures For Consideration of Shareholder Nominations
for Independent Director Membership by the Nominating and Governance Committee

1.  The Nominating and Governance Committee (the "Committee") will consider nominees recommended by shareholders if a vacancy among the Independent Directors of the Funds occurs. Each eligible shareholder or shareholder group may submit not more than one Independent Director nominee.

2.  In order for the Committee to consider a nominee recommended by shareholders, the nominee, as well as the shareholder or shareholder group making the recommendation, must meet all requirements provided under applicable federal and state law and in the applicable Fund's organizational documents.

3.  In order to recommend a nominee, a shareholder must send a letter to the Chair of the Committee, in care of the Secretary of the applicable Fund, at 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, PA 19087, and must include, at a minimum:

  (i)  the shareholder's contact information;

  (ii)  the nominee's contact information, the nominee's resume or curriculum vitae, and the number of applicable Fund shares owned by the proposed nominee;

  (iii)  a statement as to whether the nominee is an "interested person" of the applicable Fund as defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended, and appropriate documentation to support the statement;

  (iv)  all information regarding the nominee that would be required to be disclosed in solicitations of proxies for elections of directors required by Regulation 14A of the Securities Exchange Act of 1934; and

  (v)  a notarized letter executed by the nominee, stating his or her intention to serve as a nominee and be named in the applicable Fund's proxy statement, if so designated by the Committee and the Fund's Board of Directors.

It shall be in the Committee's sole discretion whether to seek corrections of a deficient submission or to exclude a nominee from consideration due to the deficient submission.

4.  A shareholder nominee recommendation must be received by the Committee within a reasonable time period prior to the proxy submission.


5.  A shareholder or shareholder group may not submit for consideration a nominee which has previously been considered by the Committee.

6.  If the Committee receives a recommended nominee from an eligible shareholder or shareholder group who individually, or in the aggregate, beneficially owned more than 5% of the applicable Fund's voting shares for at least one year as of the date of the recommendation and the shareholder or shareholder group and their candidate provides his or her written consent at the time the recommendation is made, the Fund shall disclose in the applicable proxy statement: (1) the candidate's identity, (2) the identity of the shareholder or shareholder group making the recommendation, and (3) whether or not the Committee chose to nominate that candidate.

7.  The Committee shall evaluate the qualifications of a director nominee in accordance with the guidelines attached hereto as Exhibit 1. The Committee may, in its sole discretion, consider any factors that it deems relevant in its consideration of a director nominee. Candidates submitted by shareholders shall be evaluated according to the same criteria as other director candidates.

8.  The Committee may, in its sole discretion, hire third-parties to assist it with identifying, screening and evaluating nominees. If a third-party is used with respect to a particular election, appropriate disclosure of that fact in the relevant proxy statement shall be made in accordance with applicable law.

9.  The final nomination of a prospective director rests solely with the Committee.

10.  The Committee shall review these Procedures as necessary and recommend any changes to the full Board of Directors of the Funds.


EXHIBIT 1

CRITERIA FOR SELECTION OF NEW INDEPENDENT DIRECTORS

The ideal panel of Independent Directors should represent a cross section of the shareholder base of the Funds and, since their duties involve oversight of the management company's and service providers' activities relative to shareholder interests, care should be given to insure that the panel of individuals brings to their deliberation education, work and personal experiences that would improve the value provided to the shareholders.

To maintain the vitality of the panel, some mandatory turnover of members is desired and should be accomplished through a reasonable retirement policy.

The following criteria giving no prejudice towards an individual's gender, religion or race should be considered as a minimum requirement for consideration as an Independent Director:

1.  Fifteen (15) years business or academic experience in a management, administrative, or other oversight capacity.

2.  College degree or business experience equivalent to a college degree.

3.  At least one Independent Director should have an investment background and at least one Director should have a financial/accounting background.

4.  Personal accomplishments that would provide ready acceptance by shareholders that the individual was capable of representing their interests.

5.  An ability to invest in Funds.

6.  A person able to think through and discuss complicated regulatory and financial issues and arrive at reasonable decisions on these issues on behalf of the shareholders.

7.  A person of high ethical standards.


APPENDIX B

There is no specific formula that the Committee is required to use when reviewing and evaluating the appropriate level of Independent Directors compensation. Rather, the Committee's review and evaluation should be based on the business judgment of its members, after an examination of the surrounding circumstances. The factors listed below may be considered by the Committee in reviewing and evaluating the compensation of the Independent Directors.

1.  The current level of compensation paid to the Independent Directors;

2.  The number of directors relative to the assets of the Funds overseen by the Board;

3.  The size, complexity and structure of the Funds in the Fund complex as well as the Fund complex as a whole;

4.  The complexity of the responsibilities assumed by the Independent Directors;

5.  The frequency of Board meetings;

6.  The time required to review and carefully evaluate the materials provided by management in connection with each Board meeting;

7.  The amount of compensation necessary to attract and retain highly qualified Board members;

8.  Time required to serve as Board and committee chair;

9.  The potential liability to which the Directors are exposed; and

10.  The amounts paid to Independent Directors of other mutual funds and the amounts paid to corporate directors.



APPENDIX D

FORM OF NEW INVESTMENT SUB-ADVISORYMANAGEMENT AGREEMENT

INVESTMENT MANAGEMENT AGREEMENT

This Investment Sub-Advisory Agreement is made by and between Hartford Funds Management Company, LLC, a Delaware limited liability company (the "Adviser"), and Wellington Management Company, LLP, a Massachusetts limited liability partnership (the "Sub-Adviser").

WHEREAS, the Adviser has entered into an agreement for the provisioneach of investment management services to The Hartford Mutual Funds, Inc. (theand The Hartford Mutual Funds II, Inc., each a corporation organized under the laws of the State of Maryland (each a "Company"), includingon its own behalf and on behalf of each of its series listed on Schedule A hereto, as it may be amended from time to time (each, a "Portfolio" and, togethercollectively, the "Portfolios"); and.

WHEREAS, the Adviser wisheshas agreed to engagefurnish investment advisory, management and administrative services to each Company, an open-end management investment company registered under the Investment Company Act of 1940, as amended (the "1940 Act") and each Portfolio; and

WHEREAS, each Company and the Adviser wish to enter into this Agreement setting forth the investment advisory, management and administrative services to be performed by the Adviser for each Company and each Portfolio, and the terms and conditions under which such services will be performed; and

WHEREAS, this Agreement has been approved in accordance with the provisions of the Sub-Adviser as sub-adviser to1940 Act, and the Portfolios listed in Schedule A, as it may be amended from time to time; and

WHEREAS, the Sub-AdviserAdviser is willing to provide investment advisoryfurnish such services to the Portfolios upon the terms and conditions and for the compensation hereinafterherein set forth.

NOW, THEREFORE, in consideration of the promises and the mutual agreements herein contained, the parties hereto agree as follows:

1.  General Provision

1.  The AdviserEach Company hereby employs the Sub-Adviser to serve as sub-adviser with respect to the assets of the Portfolios and to perform the services hereinafter set forth subject to the terms and conditions of the investment objectives, policies and restrictions of each Portfolio, and the Sub-Adviser hereby accepts such employment and agrees during such period to assume the obligations herein set forth for the compensation herein provided.

2.  The Sub-Adviser shall evaluate and implement an investment program appropriate for each Portfolio, which program shall be amended and updated from time to time as financial and other economic conditions change as determined by the Adviser and the Sub-Adviser.

3.  The Sub-Adviser, in consultation with the Adviser when appropriate, will make all determinations with respecthereby undertakes to act as the investment manager of the assets ofCompany and to each Portfolio and to perform for the PortfoliosCompany such other duties and the purchase or sale of portfolio securities,functions as are hereinafter set forth and shall take such stepsother duties as may be necessary or appropriate in connection with its services as investment manager. The Adviser shall, in all matters, give to implementeach Company and its Board of Directors the same. Suchbenefit of its best judgment, effort, advice and recommendations and shall at all times conform to, and use its best efforts to enable the Company to conform to (i) the provisions of the 1940 Act and any rules or regulations thereunder, (ii) any other applicable provisions of state or federal law; (iii) the provisions of the Articles of Incorporation and By-Laws of the Company as amended from time to time; (iv) the policies and determinations and services shall include advisingof the Company's Board of Directors of the mannerCompany; (v) the fundamental policies and investment restrictions of the Company and Portfolios as reflected in which voting rights, rightsthe Company's registration statement under the 1940 Act or as such policies may, from time to consenttime, be amended by the Company's shareholders, and (vi) the Prospectus and Statement of Additional Information of the Company in effect from time to corporate action,time. The appropriate officers and employees of the Adviser shall be available upon reasonable notice for consultation with any other non-investment decisions pertaining to a Portfolio's securities should be exercised.

4.  The Sub-Adviser will regularly furnish reportsof the Directors and officers of the Company with respect to


any matters dealing with the Portfolios at periodic meetingsbusiness and affairs of the Company including the valuation of any of each Portfolios' securities.

2.  Investment Management Services

In its capacity as investment manager to each Portfolio, Adviser shall have the following duties:

(a)  Subject to the direction and control by each Company's Board of Directors, the Adviser shall, or shall cause an affiliate to, regularly provide each Portfolio with investment research, advice and at such other times as may be reasonably requested bysupervision and will furnish continuously an investment program for each Portfolio consistent with the Company's Board of Directors, which reports shall include the Sub-Adviser's economic outlookinvestment objectives and


investment strategy and a discussion policies of the portfolio activityPortfolio, including but not limited to:

  1.  Providing and, as necessary, re-evaluating and updating the performanceinvestment objectives and parameters, asset classes, and risk profiles of the Portfolios since the last report. Copies of all such reports shall be furnished to the Adviser for examination and review within a reasonable time prior to the presentation of such reports to the Company's Board of Directors.Portfolios;

5.  The Sub-Adviser shall manage each Portfolio in conformity with the Company's Articles of Incorporation and By-laws, each as amended  2.  Determining, from time to time and subject to the Investment Companyprovisions of Section 4 hereof, what securities and other financial instruments shall be purchased for each Portfolio, what securities or other financial instruments shall be held or sold by each Portfolio, and what portion of each Portfolio's assets shall be held uninvested, subject always to the provisions of the Company's Articles of Restatement and Amended and Restated By-Laws and of the 1940 Act, of 1940, as amended, other applicable laws, and to the investment objectives, policies and restrictions of each Portfolio, each as set forthshall be from time to time in the Portfolios' prospectus and statement of additional information, or any investment guidelines or other instructions received in writing from the Adviser,effect, and subject, further, to such policies and instructionsrestrictions as the Company's Board of Directors may from time to time establish.

  3.  Monitoring the Portfolios' performance and examining and recommending ways to improve the performance of the Portfolios, including by scrutinizing security selection, style focus, sector concentration, market cap preference, and prevailing market conditions;

  4.  Monitoring subadvisers to confirm their compliance with the Portfolios' investment strategies and policies, for any changes that may impact the Portfolios or the subadvisers' operations or overall business continuity, for their adherence to legal and compliance procedures, for any litigation enforcement or regulatory matters relating to the subadvisers, and with respect to the subadvisers' brokerage practices and trading quality;

  5.  Conducting periodic on-site due diligence meetings as well as other meetings with subadvisers;

  6.  Researching, selecting, and making recommendations to replace subadvisers or portfolio managers, and assisting in managing the


transition process when subadvisers or portfolio managers are appointed, terminated, or replaced.

(b)  The Adviser shall provide, or shall cause an affiliate to provide, such economic and statistical data relating to each Portfolio and such information concerning important economic, political and other developments as the Adviser shall deem appropriate or as shall be requested by each Company's Board of Directors.

(c)  The Adviser shall advise and assist the officers of each Company in taking such steps as are necessary or appropriate to carry out the decisions of the Company's Board of Directors and the appropriate committees of the Board regarding the conduct of the business of the Company insofar as it relates to the Portfolios.

3.  Administrative and Management Services

(a)  In addition to the performance of investment advisory services and subject to the supervision of each Company's Board of Directors, the Adviser shall regularly provide, or shall cause an affiliate to provide, such administrative and management services as may from time to time be requested by the Company or Portfolios as necessary for the operation of the Portfolios including, but not limited to:

  1.  assisting in the supervision of all aspects of the Company's operation, including the supervision and coordination of all matters relating to the functions of the custodian, transfer agent or other shareholder servicing agents (if any), accountants, attorneys and other parties performing services or operational functions for the Company, including serving as the liaison between such service providers and the Company's Board of Directors;

  2.  drafting and negotiating all aspects of agreements and amendments with the custodian, transfer agent or other shareholder servicing agents (if any) for the Company;

  3.  providing the Company with the services of persons, who may be the Adviser's officers or employees, competent to serve as officers of the Company and to perform such administrative and clerical functions as are necessary in order to provide effective administration for the Company, including the preparation and maintenance of required reports, books and records of the Company;

  4.  providing the Company with adequate office space, facilities, equipment, personnel and related services for the effective administration of the affairs of the Company as contemplated in this Agreement;


  5.  preparation and production of meeting materials for the Company's Board of Directors, as well as such other materials as the Board of Directors or the Adviser may from time to time establishreasonably request, including in connection with the Board's annual review of the Portfolios' investment management agreement, the subadvisory agreements, and deliverrelated agreements;

  6.  coordinating and overseeing the preparation and filing with the U.S. Securities and Exchange Commission ("SEC") of registration statements, notices, shareholder reports, proxy statements and other material for the Portfolios required to be filed under applicable law;

  7.  developing and implementing compliance programs for the Portfolios, developing and implementing procedures for monitoring compliance with the Portfolios' investment objectives, policies and guidelines and with applicable regulatory requirements; and preparing reports to the Sub-Adviser.Board concerning compliance matters;

  In addition, the Sub-Adviser will cause8.  providing day-to-day legal and regulatory support for the Portfolios in connection with the administration of the affairs of the Company, including but not limited to complyproviding advice on legal, compliance, regulatory and operational issues, advice relating to litigation involving the Portfolios and/or its directors or officers, and procuring legal services for the Portfolios and supervising the work of outside legal counsel;

  9.  assisting the Portfolios in the handling of regulatory examinations and working with the Portfolios' legal counsel in response to non-routine regulatory matters;

  10.  making reports to the Board of the Adviser's performance of its obligations hereunder and furnish advice and recommendations with respect to such other aspects of the business and affairs of the Portfolio as the Adviser shall determine to be desirable;

  11.  preparing Board materials and Board reports generally and provide such other information or assistance to the Board as may be necessary from time to time;

  12.  maintaining and preserving or overseeing the maintenance and preservation of, as applicable, the records specified in the Portfolio agreements not maintained by other Portfolio service providers and any other records related to the Portfolios' transactions as are required under any applicable state or federal securities;

  13.  preparing such information and reports as may be required by any banks from which a Portfolio borrows funds;


  14.  performing due diligence on third-party service providers and negotiating service agreements with those third-parties; and

  15.  providing such other services as the parties hereto may agree upon from time to time for the efficient operation of the Company and Portfolios.

4.  Sub-Advisers and Sub-Contractors

The Adviser, upon approval of the Board of Directors, may engage one or more investment advisers that are registered as such under the 1940 Act to act as sub-adviser and provide certain services set forth in Section 2 hereof with respect to existing and future Portfolios of each Company, all as shall be subject to approval in accordance with the requirements of (a) Section 851(b)(2)the 1940 Act and as such requirements may be modified by rule, regulation or order of the Internal Revenue Code of 1986, as amended (the "Code") regarding derivation of income from specified investment activities;SEC. Each sub-adviser shall perform its duties subject to the direction and (b) Section 851(b)(3)control of the Code regarding diversificationAdviser. Subject to the discretion and control of each Company's Board of Directors, the Adviser will monitor, supervise and oversee each sub-adviser's management of the Portfolios' assets.investment operations in accordance with the investment objectives and related investment policies of each Portfolio, as set forth in each Company's registration statement with the SEC, and review and report to the Board of Directors periodically on the performance of each sub-adviser and recommend action as appropriate. In addition, the Adviser may engage other parties to assist it with any of the administrative and management services set forth in Section 3 above.

6.  The Sub-Adviser will select the brokers or dealers that will execute5.  Brokerage Transactions

In connection with the purchases andor sales of portfolio securities or other financial instruments for the Portfoliosaccount of a Portfolio, neither the Adviser, nor any of its partners, directors, officers or employees nor any sub-adviser engaged by the Adviser pursuant to Section 4 hereof will act as principal or agent or receive any commission. The Adviser, a sub-adviser engaged by the Adviser, or the agent of the Adviser or a sub-adviser, shall arrange for the placing of all orders for the purchase and place, insale of portfolio securities and other financial instruments for a Portfolio's account with brokers or dealers selected by the nameAdviser or a sub-adviser, as applicable. In the selection of each Portfoliosuch brokers or its nominees, all such orders. Whendealers and the placing of such orders, the Sub-Adviser shallAdviser or a sub-adviser, as applicable, will use its best efforts to obtain the bestmost favorable execution and net security price available for eacha Portfolio. It is understood that it is desirable for a Portfolio that the Adviser or sub-adviser have access to supplemental investment and market research and security and economic analyses provided by certain brokers who may execute brokerage transactions at a higher cost to the Portfolio than may result when allocating brokerage to other brokers on the basis of seeking the most favorable price and efficient execution. It is also understood that the services provided by such brokers may be useful to the Adviser or sub-adviser in connection with Adviser's or sub-adviser's services to other clients. Subject to and in accordance with any directions that theeach Company's Board of Directors or the Adviser may issue from time to time the Sub-AdviserAdviser or a sub-adviser, as applicable, may also be authorized to effect individual securities transactions at commission


rates in excess of the minimum commission rates available, if the Sub-AdviserAdviser or the sub-adviser, as applicable, determines in good faith that such amount of commission is reasonable in relation to the value of the brokerage or research services provided by such broker or dealer, viewed in terms of either that particular transaction or the Sub-Adviser'sAdviser's or the sub-adviser's overall responsibilities with respect to the Portfoliosa Portfolio and the Sub-Adviser's other advisory clients. The execution of such transactions shallAdviser's services to a Portfolio pursuant to this Investment Management Agreement are not be deemed to represent an unlawful act or breach of any duty created by this Agreement or otherwise. The Sub-Adviser will promptly communicate to the Board of Directors orbe exclusive and it is understood that the Adviser such information relatingmay render investment advice, management and other services to portfolio transactions as they may reasonably request.others.

7.  (a)  As compensation for6.  Allocation of Charges and Expenses

The Adviser will pay all costs incurred by the Adviser in connection with the performance of its duties under Section 2 of this Investment Management Agreement. The Adviser will not be required to bear any expenses of any Portfolio other than those specifically allocated to the Adviser in this Section 6. In particular, but without limiting the generality of the foregoing, the Adviser will not be required to pay expenses related to: (i) interest and taxes; (ii) brokerage commissions; (iii) premiums for fidelity and other insurance coverage requisite to each Company's operations; (iv) the fees and expenses of its non-interested directors; (v) legal, audit and fund accounting expenses; (vi) custodian and transfer agent fees and expenses; (vii) expenses incident to the redemption of its shares; (viii) fees and expenses related to the registration under federal and state securities laws of shares of each Company for public sale; (ix) expenses of printing and mailing prospectuses, reports, notices and proxy material to shareholders of each Company; (x) all other expenses incidental to holding meetings of each Company's shareholders; and (xi) such extraordinary non-recurring expenses as may arise, including litigation affecting each Company and any obligation which the Company may have to indemnify its officers and Directors with respect thereto. Any officer or employee of the Adviser or of any entity controlling, controlled by or under common control with the Adviser, who may also serve as officers, directors or employees of each Company shall not receive any compensation from the Company for their services, with the exception of the chief compliance officer of the Company, who may be compensated by the Sub-Adviser hereunder,Company for services provided to the Company.

7.  Compensation of the Adviser

For all services to be rendered, each Portfolio shall pay to the Sub-Adviser,Adviser as promptly as possible after the last day of each calendar year quarter,month during the term of this Agreement, a fee accrued daily and paid quarterly,monthly, as shown onset forth in Schedule B attached hereto.to this Agreement, as it may be amended from time to time:

The Adviser, or an affiliate of the Adviser, may agree to subsidize any of the Portfolios to any level that the Adviser, or any such affiliate, may specify. Any such undertaking may be modified or discontinued at any time except to the extent the Adviser explicitly agrees to maintain such undertaking for a specified period.


  The Sub-Adviser may waive all or a portion of its fees from time to time as agreed between the parties.

If it is necessary to calculate the fee for a period of time that is notless than a calendar quarter,month, then the fee shall be (i) calculated at the annual rates provided in Schedule B but prorated for the number of days elapsed in the periodmonth in question as a percentage of the total number of days in such period,month, (ii) based upon the average of eachthe Portfolio's daily net asset value for the period in question, and (iii) paid within a reasonable time after the close of such period.

(b) The Sub-Adviser will bear all expenses"daily net asset value" of a Portfolio shall be determined on the basis set forth in connectionthe Portfolio's prospectus(es) or otherwise consistent with the performance of its services under this Agreement.1940 Act and the regulations promulgated thereunder.

(c)  The Sub-Adviser will not be entitled to receive any payment for the performance of its services hereunder from the Portfolios.

(d)  The Sub-Adviser agrees to notify the Adviser of any change in the Sub-Adviser's personnel that are directly involved in the management8.  Liability of the Portfolios within a reasonable time following the occurrence of such change.Adviser

8.(a)  The Sub-AdviserAdviser shall not be liable for any loss or losses sustained by reason of any investment including the purchase, holding or sale of any security, or with respect to the administration of each Company, as long as the Sub-AdviserAdviser shall have acted in good faith and with due care; provided, however, that no provision in this Agreement shall be deemed to protect the Sub-Adviser, and the Sub-Adviser shall indemnify the Adviser foragainst any and all loss, damage, judgment, fine or award paid in settlement and attorney's fees relatedliability to the Sub-Advisers'Company or its shareholders by reason of its willful misfeasance, bad faith or gross negligence in the performance of its duties or by reason of its reckless disregard of its obligations and duties under this Agreement.

(b)  The rights of exculpation and indemnification are not to be construed so as to provide for exculpation or indemnification provided under 8(a) of any person for any liability (including liability under U.S. federal securities laws that, under certain circumstances, impose liability even on persons that act in good faith) to the extent (but only to the extent) that exculpation or indemnification would be in violation of applicable law, but will be construed so as to effectuate the applicable provisions of this section to the maximum extent permitted by applicable law.

9.  Duration of Agreement

(a)  This Sub-Advisory Agreement shall becomebe effective on January 1, 2013.and as of [  ], and shall continue through the period ending two years from such date. This Agreement, unless sooner terminated in accordance with 9(b) below, shall continue in effect from year to year thereafter provided that its continuance is specifically approved at least annually (1) by a vote of thea majority of the members of the Board of Directors of the Company or by a vote of a majority of the outstanding voting securities of each Portfolio, and (2) in either event, by the vote of a majority of the members of the Company's Board of Directors who are not parties to this Agreement or interested persons of any such party, cast in person at a meeting called for the purpose of voting on this Agreement.

(b)  This Agreement (1) may be terminated with respect to each Portfolio at any time without the payment of any penalty either by a vote of a majority of the members of the Board of Directors of the applicable Company or by a vote of a majority of anythe Portfolio's outstanding voting securities, or byon sixty days' prior written notice to the Adviser; (2) shall immediately terminate in


Adviser on written notice to the Sub-Adviser, (2) shall immediately terminate in the event of its assignment and (3) may be terminated by the Sub-AdviserAdviser on ninetysixty days' prior written notice to the Adviser,Portfolio, but such termination will not be effective until the AdviserPortfolio shall have contracted with one or more persons to serve as a successor sub-adviserinvestment adviser for the Portfolio (or the Adviser or an affiliate of the Adviser agrees to manage the Portfolio) and such person(s) shall have assumed such position, and (4) will terminate automatically upon termination of the advisory agreement between the Adviser and the Company of even date herewith.position.

(c)  As used in this Agreement, the terms "assignment,""assignment", "interested parties"person" and "vote of a majority of the Company's outstanding voting securities" shall have the meanings set forth for such terms in the Investment Company1940 Act, of 1940, as amended.

(d)  Any notice under this Agreement shall be given in writing, addressed and delivered, or mailed postpaid, to the other party or partiesto this Agreement to whom such notice is to be given at thesuch party's current office address provided by each party.address.

10.  Other Activities

Nothing in this Agreement shall limit or restrict the right of any partner,director, officer, or employee of the Sub-AdviserAdviser to engage in any other business or to devote his or her time and attention in part to the management or other aspects of any other business, whether of a similar nature or a dissimilar nature, nor to limit or restrict the right of the Sub-AdviserAdviser to engage in any other business or to render services of any kind to any other corporation, firm individual or association.

11.  Additional Series

The Adviser agreesamendment of Schedule A to this Agreement for the sole purpose of adding one or more Portfolios shall not be deemed an amendment of this Agreement or an amendment affecting an already existing Portfolio and requiring the approval of shareholders of that neither it nor any affiliate of the Adviser will use the Sub-Adviser's name or refer to the Sub-Adviser or the Sub-Adviser's clients in marketing and promotional materials without prior notification to and authorization by the Sub-Adviser, such authorization not to be unreasonably withheld.Portfolio.

12.  Invalid Provisions

If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby.

13.  ThisGoverning Law

To the extent that federal securities laws do not apply, this Agreement includingand all performance hereunder shall be governed by the schedules hereto, constituteslaws of the entire understanding betweenState of New York, which apply to contracts made and to be performed in the parties pertaining toState of New York. To the subject matter hereofextent that the applicable laws of the State of New York conflict with the applicable provisions of the 1940 Act, the latter shall control.

14.  Amendments

No provision of this Agreement may be changed, waived, discharged, or terminated orally, but only by an instrument in writing signed by the party against whom enforcement of the change, waiver, discharge, or termination is sought, and supersedes any prior agreement between the parties on this subject matter.

14.  Theno amendment of this Agreement will be effective until approved in a manner consistent with the 1940 Act and rules and regulations under the 1940 Act and any


applicable Securities and Exchange Commission exemptive order from such rules and regulations. Any such instrument signed by a Portfolio must be (a) approved by the vote of a majority of the Directors who are not parties to this Agreement or "interested persons" of any party to this Agreement, cast in person at a meeting called for the sole purpose of adding onevoting on such approval, and (b) by the vote of a majority of the Directors of each Company, or more Portfolios shall not be deemed an amendment affecting an already existing Portfolio and requiringby the approvalvote of shareholdersa majority of thatthe outstanding voting securities of the Portfolio. The amendment of Schedule A and/or Schedule B to this Agreement for the sole purpose of (i) adding or deleting one or more Portfolios or (ii) making other non-material changes to the information


included in the Schedule shall not be deemed an amendment of this Agreement.

15.  ToEntire Agreement

This Agreement, including the extent that federal securities laws do not apply,schedules hereto, constitutes the entire understanding between the parties pertaining to the subject matter hereof and supersedes any prior agreement between the parties on this Agreement and all performance hereunder shall be governed by the lawssubject matter.

[The remainder of the State of Connecticut which apply to contracts made and to be performed in the State of Connecticut.this page left intentionally blank.]


IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed as of January 1, 2013.the [  ] day of [  ], 201[  ].

Hartford Funds Management Company, LLC

By:

Name:  

James E. Davey
Title: President

Wellington Management Company, LLPThe Hartford Mutual Funds, Inc.
on behalf of each of its series listed on
Attachment A

By: James E. Davey
Title: President

Name:  The Hartford Mutual Funds II, Inc.
on behalf of each of its series listed on
Attachment A

By: James E. Davey
Title: President


Schedule A

List of Portfolios

THE HARTFORD MUTUAL FUNDS, INC.
ON BEHALF OF:

[List of Funds]

Last updated: [  ]

THE HARTFORD MUTUAL FUNDS II, INC.
ON BEHALF OF:

[List of Funds]

Last updated: [  ]



APPENDIX CE

ADDITIONAL INFORMATION ABOUT HFMC AND THE NEW AGREEMENT

The information set forth below regarding HFMC and New Agreement should be read in conjunction with Proposal 2.

PrincipalThe Investment Manager

HFMC is the investment manager to each of the Funds. As investment manager, HFMC is responsible for the management of each of the Funds and supervises the activities of the Funds' investment sub-adviser (as applicable). In addition, HFMC currently provides administrative services to each of the Funds. HFMC is wholly-owned by HFMG, a holding company. Hartford Life, Inc. owns approximately 99% of HFMG. Hartford Life, Inc. is wholly-owned by Hartford Holdings, Inc., which is wholly-owned by The Hartford, a Connecticut based financial services company. Excluding affiliated funds of funds, as of October 31, 2015, HFMC had approximately $92.3 billion (or $74 billion additionally, excluding certain annuity products) in discretionary and non-discretionary assets under management. The Hartford is principally located at One Hartford Plaza, Hartford, Connecticut 06155. HFMC is principally located at 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

James E. Davey currently serves as Senior Managing Director, Manager, President and Chairman of the Board of HFMC. Mr. Davey also currently serves as Director, President and Chief Executive OfficersOfficer of the Companies. Vernon J. Meyer currently serves as Managing Director and DirectorsChief Investment Officer of HFMC. Mr. Meyer also currently serves as Vice President of the Companies. Joseph G. Melcher currently serves as Executive Vice President and Chief Compliance Officer of HFMC. Mr. Melcher also currently serves as Vice President and Chief Compliance Officer of the Companies. Edward P. Macdonald currently serves as Assistant Secretary, Executive Vice President and Deputy General Counsel of HFMC. Edward P. Macdonald also currently serves as Vice President, Secretary and Chief Legal Officer of the Companies. No other officer or director of the Companies is currently an officer, employee, director or shareholder of HFMC. Mr. Davey and each of the Companies' officers have an equity ownership interest in HFMG, the direct parent of HFMC.


Wellington

Management Company, LLPof the Investment Manager

The principal executive officers and directors of HFMC and their principal occupations are set forth below. The business address of each such person is 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087.

Name

 Position andHeld with
Principal OccupationHFMC
Position Held
with the
Companies
 

AddressPrincipal Occupation

 
Saul Joseph Pannell

James E. Davey

 

Senior Managing Director, President and Chairman of the Board

Director, President and Chief Executive Officer

Executive Vice President Partnerof The Hartford and
Executive Committee Member

280 Congress Street
Boston, MA 02210 HLIC; Senior Managing Director, Chairman of the Board and Manager of HFD; President, Senior Managing Director, Director and Chairman of the Board of HASCO and President, Director, Chairman and Senior Managing Director of HFMG

 
Perry Marques Traquina

Walter F. Garger

 Chief Executive Officer,

Managing PartnerDirector and Executive
Committee MemberGeneral Counsel

 280 Congress Street
Boston, MA 02210

N/A

Secretary, Managing Director and General Counsel of HFD, HASCO and HFMG

 
Cynthia Mary Clarke

Vernon J. Meyer

 

Managing Director and Chief Investment Officer

Vice President

Senior Vice President Partnerof HLIC; and
Chief Legal Officer

280 Congress Street
Boston, MA 02210 Managing Director of HFMG

 
Phillip H. Perelmuter

Gregory A. Frost

 Senior Vice President, Partner

Managing Director and
Executive Committee Member Chief Financial Officer

 280 Congress Street
Boston, MA 02210

N/A

Director, Managing Director and Chief Financial Officer of HASCO; Chief Financial Officer/FINOP, Manager, Managing Director of HFD; and Managing Director and Chief Financial Officer of HFMG

 
Edward

Joseph Steinborn
G. Melcher

 Senior

Executive Vice President Partner and
Chief FinancialCompliance Officer

 280 Congress Street
Boston, MA 02210
Brendan Joseph Swords

Vice President and Chief Compliance Officer

 President, Managing Partner and

Executive Committee Member

280 Congress Street
Boston, MA 02210
Wendy Miller Cromwell
Senior Vice President Partnerof HFD, HASCO and
Executive Committee Member
280 Congress Street
Boston, MA 02210
Ray Eugene Helfer
Managing Director, Partner and
Executive Committee Member
280 Congress Street
Boston, MA 02210
Louis Chabrier
Senior Vice President, Partner and
Executive Committee Member
280 Congress Street
Boston, MA 02210
Nancy Marie Morris
Vice President, Chief Compliance
Officer
280 Congress Street
Boston, MA 02210
John Franklin Averill
Senior Vice President, Partner and
Executive Committee Member
280 Congress Street
Boston, MA 02210
Nicolas Milorad
Choumenkovitch
Senior Vice President, Partner and
Executive Committee Member
280 Congress Street
Boston, MA 02210 HFMG

 

Principal Executive OfficersPrior Approvals of Current Agreements

The Current Agreements were first approved by the Boards at a meeting on November 8, 2012 in connection with a corporate restructuring plan (the "Restructuring") whereby the Boards, including the Independent Directors, unanimously voted to terminate the investment management agreements with Hartford Investment Financial Services, LLC, the Funds' former investment manager, and Directorsto approve the Current Agreements with HFMC. Shareholders of
Hartford the Funds Management Company, LLC
were not required to approve the Current Agreements because the

Name

Position and
Principal Occupation

Address

James E. Davey





President, Chairman of the Board
and Senior Managing Director




c/o Hartford Funds
Management
Company, LLC
5 Radnor Corporate
Center, Suite 300,
100 Matsonford Road,
Radnor, PA 19087

Name

Restructuring was solely organizational in nature and there was no change in actual control or management of the Funds' investment manager. Furthermore, the terms of the Current Agreements and services provided thereunder were functionally indistinguishable from the prior agreements with Hartford Investment Financial Services, LLC. The Current Agreements were most recently approved by the Boards at a meeting on August 4-5, 2015, in connection with the annual continuance thereof. The proposed New Agreement, as described in Proposal 2 and elsewhere herein, was approved by the Boards at a meeting on November 4-5, 2015.

Position and
Principal Occupation

Address

Walter F. Garger





General Counsel and Managing
Director




c/o Hartford Funds
Management
Company, LLC
5 Radnor Corporate
Center, Suite 300,
100 Matsonford Road,
Radnor, PA 19087
Vernon J. Meyer





Chief Investment Officer and
Managing Director




c/o Hartford Funds
Management
Company, LLC
5 Radnor Corporate
Center, Suite 300,
100 Matsonford Road,
Radnor, PA 19087
Gregory A. Frost





Chief Financial Officer and
Managing Director




c/o Hartford Funds
Management
Company, LLC
5 Radnor Corporate
Center, Suite 300,
100 Matsonford Road,
Radnor, PA 19087
Joseph G. Melcher





Executive Vice President and
Chief Compliance Officer




c/o Hartford Funds
Management
Company, LLC
5 Radnor Corporate
Center, Suite 300,
100 Matsonford Road,
Radnor, PA 19087

Principal Executive OfficersManagement Fees under the Current Agreements

The following table sets forth the management fee schedule (as a percentage of the Fund's average daily net assets) and contractual expense limitation arrangements in effect as of December 16, 2015 and amount of management fees paid by each of the Funds to HFMC under the Current Agreements during the fiscal year ended October 31, 2015. The New Agreement, if approved by shareholders of each Fund, will not result in any change to the management fee schedules set forth below.

The Hartford Mutual Funds, Inc.

Name

Position and
Principal Occupation

Address

James E. Davey



Director, President and Chief
Executive Officer


c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999
Mark A. Annoni


Vice President, Treasurer and
Controller

c/o Hartford
Mutual Funds
500 Bielenberg Drive,
Suite 500,Woodbury,
MN 55125

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Balanced Fund
 
 
 
 
 
 
 
 
 0.6900% of the
first $500 million;
0.6250% of the
next $500 million;
0.5750% of the
next $4 billion;
0.5725% of the
next $5 billion; and
0.5700% in excess
of $10 billion
 1.18% (Class A)
0.93% (Class I)
1.40% (Class R3)
1.10% (Class R4)
0.80% (Class R5)
 

$

5,091,933.84

 

$

5,091,933.84

 
The Hartford
Balanced Income
Fund
 
 
 
 
 
 
 
 
 
 
 
 
 0.7000% of the
first $250 million;
0.6300% of the
next $250 million;
0.6000% of the
next $500 million;
0.5700% of the
next $1.5 billion;
0.5500% of the
next $2.5 billion;
0.5300% of the
next $5 billion; and
0.5250% in excess
of $10 billion
 0.99% (Class A)
1.74% (Class B)**
1.74% (Class C)
0.74% (Class I)
1.24% (Class R3)
0.94% (Class R4)
0.69% (Class R5)
0.64% (Class R6)
0.64% (Class Y)
 

$

34,890,567.79

 

$

34,890,567.79

 

Name

Position and
Principal Occupation

Address

Michael Dressen



AML Compliance Officer



c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999
Edward P. Macdonald



Vice President, Secretary and
Chief Legal Officer


c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999
Joseph G. Melcher



Vice President and Chief
Compliance Officer


c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999
Vernon J. Meyer



Vice President



c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999
Laura S. Quade



Vice President



c/o Hartford
Mutual Funds
500 Bielenberg Drive,
Suite 500, Woodbury,
MN 55125
Martin A. Swanson



Vice President



c/o Hartford
Mutual Funds
P.O. Box 2999
Hartford,
CT 06104-2999

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford Capital
Appreciation Fund
 
 
 
 
 
 
 
 
 0.8000% of the
first $500 million;
0.7000% of the
next $500 million;
0.6500% of the
next $4 billion;
0.6475% of the
next $5 billion; and
0.6450% in excess
of $10 billion
 1.29% (Class A)
1.04% (Class I)
1.40% (Class R3)
1.10% (Class R4)
0.80% (Class R5)
0.75% (Class R6)
 

$

73,924,970.33

 

$

73,924,970.33

 
The Hartford
Checks and
Balances Fund
 
 
 
 
 The Fund does
not pay a monthly
management fee
to the Investment
Manager.

 1.25% (Class A)
2.00% (Class B)
2.00% (Class C)
1.00% (Class I)
1.40% (Class R3)
1.10% (Class R4)
0.80% (Class R5)
 

 

 
The Hartford
Conservative
Allocation Fund1
 
 
 
 
 
 
 
 
 
 
 
 
 0.1000% of the
first $500 million;
0.0950% of the
next $500 million;
0.0900% of the
next $1.5 billion;
0.0800% of the
next $2.5 billion;
0.0700% of the
next $2.5 billion;
0.0600% of the
next $2.5 billion;
and
0.0500% in excess
of $10 billion
 1.19% (Class A)
1.94% (Class B)
1.94% (Class C)
0.94% (Class I)
1.44% (Class R3)
1.14% (Class R4)
0.84% (Class R5)
 

$

276,661.94

 

$

276,661.94

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
Hartford Core
Equity Fund
 
 
 
 
 
 
 
 
 
 
 
 0.4500% of the
first $500 million;
0.3500% of the
next $500 million;
0.3300% of the
next $1.5 billion;
0.3250% of the
next $2.5 billion;
and
0.3225% in excess
of $5 billion
 0.79% (Class A)
1.54% (Class B)
1.54% (Class C)
0.54% (Class I)
1.09% (Class R3)
0.79% (Class R4)
0.49% (Class R5)
0.45% (Class R6)
0.49% (Class Y)
 

$

1,364,672.03

 

$

1,364,672.03

 
The Hartford
Dividend and
Growth Fund
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $500 million;
0.6500% of the
next $500 million;
0.6000% of the
next $1.5 billion;
0.5950% of the
next $2.5 billion;
0.5900% of the
next $5 billion; and
0.5850% in excess
of $10 billion
 1.25% (Class A)
1.00% (Class I)
1.35% (Class R3)
1.05% (Class R4)
0.75% (Class R5)
0.70% (Class R6)
 

$

48,115,857.11

 

$

48,115,857.11

 
Hartford
Duration-Hedged
Strategic
Income Fund
 
 
 
 
 
 
 
 
 
 
 0.1000% of the
first $500 million;
0.0900% of the
next $500 million;
0.0850% of the
next $1.5 billion;
0.0800% of the
next $2.5 billion;
0.0750% of the
next $2.5 billion;
0.0700% of the
next 2.5 billion; and
0.0650% in excess
of $10 billion
 1.15% (Class A)
1.90% (Class C)
0.90% (Class I)
1.45% (Class R3)
1.15% (Class R4)
0.85% (Class R5)
0.75% (Class Y)
 

$

13,918.44

 

$

13,918.44

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
Hartford Emerging
Markets Equity
Fund2
 
 
 
 
 
 
 
 1.1000% of the
first $250 million;
1.0500% of the
next $250 million;
1.0000% of the
next $500 million;
and
0.9700% in excess
of $1 billion
 1.75% (Class A)
2.50% (Class C)
1.50% (Class I)
1.95% (Class R3)
1.65% (Class R4)
1.35% (Class R5)
1.30% (Class Y)
 

$

2,225,565.76

 

$

2,225,565.76

 
The Hartford
Emerging Markets
Local Debt Fund
 
 
 
 
 
 
 
 
 1.0000% of the
first $250 million;
0.9500% of the
next $250 million;
0.9000% of the
next $4.5 billion;
0.8975% of the
next $5 billion; and
0.8950% in excess
of $10 billion
 1.25% (Class A)
2.00% (Class C)
1.00% (Class I)
1.55% (Class R3)
1.25% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

2,807,037.5

 

$

2,807,037.5

 
The Hartford
Equity Income
Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $250 million;
0.7000% of the
next $250 million;
0.6500% of the
next $500 million;
0.6000% of the
next $1.5 billion;
0.5900% of the
next $2.5 billion;
and
0.5875% in excess
of $5 billion
 1.25% (Class A)
2.00% (Class B)***
2.00% (Class C)
1.00% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.90% (Class R5)
0.85% (Class R6)
0.85% (Class Y)
 

$

23,133,999.29

 

$

23,133,999.29

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Floating Rate
Fund
 
 
 
 
 
 
 
 
 
 0.6500% of the
first $500 million;
0.6000% of the
next $2 billion;
0.5900% of the
next $2.5 billion;
0.5800% of the
next $5 billion; and
0.5700% in excess
of $10 billion
 1.00% (Class A)
1.75% (Class B)
1.75% (Class C)
0.75% (Class I)
1.25% (Class R3)
1.00% (Class R4)
0.70% (Class R5)
0.70% (Class Y)
 

$

31,839,748.96

 

$

31,839,748.96

 
The Hartford
Floating Rate
High Income Fund
 
 
 
 
 
 
 
 
 0.7000% of the
first $500 million;
0.6500% of the
next $2 billion;
0.6400% of the
next $2.5 billion;
0.6300% of the
next $5 billion; and
0.6200% in excess
of $10 billion
 1.05% (Class A)
1.80% (Class C)
0.80% (Class I)
1.35% (Class R3)
1.05% (Class R4)
0.75% (Class R5)
0.75% (Class Y)
 

$

3,308,933.96

 

$

3,308,933.96

 
The Hartford
Global All-Asset
Fund
 
 
 
 
 
 
 
 
 
 
 
 0.9500% of the
first $250 million;
0.9000% of the
next $250 million;
0.8000% of the
next $500 million;
0.7300% of the
next $1.5 billion;
0.7000% of the
next $2.5 billion;
0.6600% of the
next $5 billion; and
0.6550% in excess
of $10 billion
 1.25% (Class A)
2.00% (Class C)
1.00% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

3,846,071.29

 

$

3,846,071.29

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Global Alpha
Fund3
 
 
 
 
 
 
 
 
 1.1000% of the
first $500 million;
1.0900% of the
next $500 million;
1.0800% of the
next $1.5 billion;
1.0700% of the
next $2.5 billion;
and
1.0600% in excess
of $5 billion
 1.55% (Class A)
2.30% (Class C)
1.30% (Class I)
1.85% (Class R3)
1.55% (Class R4)
1.25% (Class R5)
1.20% (Class Y)
 

$

279,233.47

 

$

279,233.47

 
Hartford
Global Capital
Appreciation Fund
 
 
 
 
 
 
 
 
 
 0.8500% of the
first $500 million;
0.7500% of the
next $500 million;
0.7000% of the
next $4 billion;
0.6800% of the
next $5 billion; and
0.6750% in excess
of $10 billion
 1.25% (Class A)
2.00% (Class B)
2.00% (Class C)
1.00% (Class I)
1.35% (Class R3)
1.05% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

10,775,697.6

 

$

10,775,697.6

 
Hartford Global
Equity Income
Fund
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $500 million;
0.7000% of the
next $500 million;
0.6900% of the
next $4 billion;
0.6850% of the
next $5 billion; and
0.6700% in excess
of $10 billion
 1.25% (Class A)
2.00% (Class B)
2.00% (Class C)
1.00% (Class I)
1.45% (Class R3)
1.15% (Class R4)
0.85% (Class R5)
0.80% (Class Y)
 

$

2,205,386.33

 

$

2,205,386.33

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Global Real
Asset Fund4
 
 
 
 
 
 
 
 
 0.8450% of the
first $500 million;
0.8100% of the
next $500 million;
0.7800% of the
next $1.5 billion;
0.7500% of the
next $2.5 billion;
and
0.7100% in excess
of $5 billion
 1.25% (Class A)
2.00% (Class C)
1.00% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

3,371,819.28

 

$

2,844,026.86

 
The Hartford
Growth
Allocation Fund5
 
 
 
 
 
 
 
 
 
 
 
 
 0.1000% of the
first $500 million;
0.0950% of the
next $500 million;
0.0900% of the
next $1.5 billion;
0.0800% of the
next $2.5 billion;
0.0700% of the
next $2.5 billion;
0.0600% of the
next $2.5 billion;
and
0.0500% in excess
of $10 billion
 1.50% (Class A)
2.25% (Class B)
2.25% (Class C)
1.25% (Class I)
1.70% (Class R3)
1.40% (Class R4)
1.10% (Class R5)
 

$

1,135,597.8

 

$

1,002,754.01

 
The Hartford
Healthcare Fund
 
 
 
 
 
 
 
 
 
 
 0.9000% of the
first $500 million;
0.8500% of the
next $500 million;
0.8000% of the
next $4 billion;
0.7975% of the
next $5 billion; and
0.7950% in excess
of $10 billion
 1.60% (Class A)
2.35% (Class B)
2.35% (Class C)
1.35% (Class I)
1.65% (Class R3)
1.35% (Class R4)
1.05% (Class R5)
1.00% (Class Y)
 

$

11,732,543.69

 

$

11,732,543.69

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford High
Yield Fund
 
 
 
 
 
 
 
 
 
 
 
 0.6500% of the
first $500 million;
0.6000% of the
next $500 million;
0.5950% of the
next $1.5 billion;
0.5900% of the
next $2.5 billion;
0.5800% of the
next $5 billion; and
0.5700% in excess
of $10 billion
 1.05% (Class A)
1.80% (Class B)
1.80% (Class C)
0.80% (Class I)
1.35% (Class R3)
1.05% (Class R4)
0.75% (Class R5)
0.70% (Class Y)
 

$

2,500,935.74

 

$

2,500,935.74

 
The Hartford
Inflation Plus Fund
 
 
 
 
 
 
 
 
 
 
 
 0.5000% of the
first $500 million;
0.4500% of the
next $500 million;
0.4450% of the
next $1.5 billion;
0.4400% of the
next $2.5 billion;
0.4300% of the
next $5 billion; and
0.4200% in excess
of $10 billion
 0.85% (Class A)
1.60% (Class B)
1.60% (Class C)
0.60% (Class I)
1.20% (Class R3)
0.90% (Class R4)
0.60% (Class R5)
0.55% (Class Y)
 

$

4,291,825.05

 

$

4,291,825.05

 
Hartford
International
Equity Fund6
 
 
 
 
 
 
 
 
 
 0.7000% of the
first $500 million;
0.6500% of the
next $500 million;
0.6400% of the
next $1.5 billion;
0.6300% of the
next $2.5 billion;
and
0.6250% in excess
of $5 billion
 1.19% (Class A)
1.94% (Class B)
1.94% (Class C)
0.89% (Class I)
1.49% (Class R3)
1.19% (Class R4)
0.89% (Class R5)
0.79% (Class Y)
 

$

286,172.34

 

$

286,172.34

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
International
Growth Fund7
 
 
 
 
 
 
 
 
 
 0.8500% of the
first $500 million;
0.8000% of the
next $500 million;
0.7500% of the
next $4 billion;
0.7475% of the
next $5 billion; and
0.7450% in excess
of $10 billion
 1.30% (Class A)
2.05% (Class B)
2.05% (Class C)
1.00% (Class I)
1.60% (Class R3)
1.30% (Class R4)
1.00% (Class R5)
0.95% (Class Y)
 

$

1,757,312.57

 

$

1,757,312.57

 
The Hartford
International
Opportunities Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $500 million;
0.6500% of the
next $500 million;
0.6400% of the
next $1.5 billion;
0.6350% of the
next $2.5 billion;
0.6300% of the
next $5 billion; and
0.6250% in excess
of $10 billion
 1.30% (Class A)
2.05% (Class B)
2.05% (Class C)
1.05% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.90% (Class R5)
0.85% (Class R6)
0.85% (Class Y)
 

$

10,411,355.79

 

$

10,411,355.79

 
The Hartford
International
Small Company
Fund
 
 
 
 
 
 
 
 
 0.9000% of the
first $500 million;
0.8500% of the
next $500 million;
0.8000% of the
next $4 billion;
0.7975% of the
next $5 billion; and
0.7950% in excess
of $10 billion
 1.60% (Class A)
2.35% (Class B)
2.35% (Class C)
1.35% (Class I)
1.65% (Class R3)
1.35% (Class R4)
1.05% (Class R5)
1.00% (Class Y)
 

$

2,730,586.91

 

$

2,730,586.91

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
International
Value Fund
 
 
 
 
 
 
 
 
 0.8500% of the
first $500 million;
0.8000% of the
next $500 million;
0.7500% of the
next $4 billion;
0.7475% of the
next $5 billion; and
0.7450% in excess
of $10 billion
 1.40% (Class A)
2.15% (Class C)
1.15% (Class I)
1.60% (Class R3)
1.30% (Class R4)
1.00% (Class R5)
0.95% (Class Y)
 

$

8,079,320.22

 

$

8,079,320.22

 
Hartford
Long/Short
Global Equity
Fund
 
 
 1.4000% of the
first $1 billion;
1.3900% of the
next $1 billion; and
1.3800% in excess
of $2 billion
 1.90% (Class A)
2.65% (Class C)
1.65% (Class I)
1.50% (Class Y)
 

$

279,024.45

 

$

279,024.45

 
The Hartford
MidCap Fund
 
 
 
 
 
 
 
 
 0.8500% of the
first $500 million;
0.7500% of the
next $500 million;
0.7000% of the
next $4 billion;
0.6975% of the
next $5 billion; and
0.6950% in excess
of $10 billion
 1.37% (Class A)
1.12% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.90% (Class R5)
0.85% (Class R6)
 

$

34,035,548.8

 

$

34,035,548.8

 
The Hartford
MidCap Value
Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $500 million;
0.6500% of the
next $500 million;
0.6000% of the
next $1.5 billion;
0.5950% of the
next $2.5 billion;
0.5900% of the
next $5 billion; and  
0.5850% in excess
of $10 billion
 
 
 1.35% (Class A)
2.10% (Class B)
2.10% (Class C)
1.10% (Class I)
1.55% (Class R3)
1.25% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

3,735,556.26

 

$

3,735,556.26

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
Hartford Moderate
Allocation Fund8
 
 
 
 
 
 
 
 
 
 
 
 
 
 0.1000% of the
first $500 million;
0.0950% of the
next $500 million;
0.0900% of the
next $1.5 billion;
0.0800% of the
next $2.5 billion;
0.0700% of the
next $2.5 billion;
0.0600% of the
next $2.5 billion;
and
0.0500% in excess
of $10 billion
 1.40% (Class A)
2.15% (Class B)
2.15% (Class C)
1.15% (Class I)
1.65% (Class R3)
1.35% (Class R4)
1.05% (Class R5)
 

$

924,464.67

 

$

924,464.67

 
Hartford
Multi-Asset
Income Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $250 million;
0.7000% of the
next $250 million;
0.6800% of the
next $500 million;
0.6600% of the
next $1.5 billion;
0.6500% of the
next $2.5 billion;
0.6400% of the
next 5 billion; and
0.6350% in excess
of $10 billion
 1.12% (Class A)
1.87% (Class C)
0.87% (Class I)
1.42% (Class R3)
1.12% (Class R4)
0.93% (Class R5)
0.83% (Class Y)
 

$

1,050,310.45

 

$

1,050,310.45

 
Hartford
Municipal
Income Fund
 
 
 
 
 
 
 
 
 0.3500% of the
first $500 million;
0.3000% of the
next $500 million;
0.2900% of the
next $1.5 billion;
0.2850% of the
next $2.5 billion;
and
0.2800% in excess
of $5 billion
 0.69% (Class A)
1.44% (Class C)
0.44% (Class I)
 

$

15,050.31

 

$

15,050.31

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Municipal
Opportunities
Fund9
 
 
 
 
 
 
 
 0.3500% of the
first $500 million;
0.3000% of the
next $500 million;
0.2900% of the
next $1.5 billion;
0.2850% of the
next $2.5 billion;
and
0.2800% in excess
of $5 billion
 0.69% (Class A)
1.44% (Class B)
1.44% (Class C)
0.44% (Class I)
 

$

2,002,679.39

 

$

1,780,298.19

 
Hartford
Municipal Short
Duration Fund
 
 
 
 
 
 
 
 
 0.3500% of the
first $500 million;
0.3000% of the
next $500 million;
0.2900% of the
next $1.5 billion;
0.2850% of the
next $2.5 billion;
and
0.2800% in excess
of $5 billion
 0.69% (Class A)
1.44% (Class C)
0.44% (Class I)
 

$

15,926.05

 

$

15,926.05

 
The Hartford
Quality Bond
Fund
 
 
 
 
 
 
 
 
 
 
 0.5000% of the
first $500 million;
0.4500% of the
next $500 million;
0.4450% of the
next $1.5 billion;
0.4400% of the
next $2.5 billion;
0.4300% of the
next $5 billion;
and
0.4200% in excess
of $10 billion
 0.95% (Class A)
1.70% (Class C)
0.70% (Class I)
1.25% (Class R3)
0.95% (Class R4)
0.65% (Class R5)
0.60% (Class Y)
 

$

150,288.66

 

$

150,288.66

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
Hartford Real
Total Return Fund
 
 
 
 
 
 
 
 
 
 
 
 
 1.2000% of the
first $250 million;
1.1500% of the
next $250 million;
1.1000% of the
next $500 million;
1.0500% of the
next $1.5 billion;
1.0200% of the
next $2.5 billion;
1.0100% of the
next $5 billion; and
1.0000% in excess
of $10 billion
 1.70% (Class A)
2.45% (Class C)
1.45% (Class I)
2.00% (Class R3)
1.70% (Class R4)
1.40% (Class R5)
1.30% (Class Y)
 

$

1,345,829.2

 

$

1,345,829.2

 
The Hartford
Short Duration
Fund
 
 
 
 
 
 
 
 
 
 
 0.4500% of the
first $500 million;
0.4000% of the
next $500 million;
0.3950% of the
next $1.5 billion;
0.3900% of the
next $2.5 billion;
0.3800% of the
next $5 billion; and
0.3700% in excess
of $10 billion
 0.85% (Class A)
1.60% (Class B)****
1.60% (Class C)
0.60% (Class I)
1.15% (Class R3)
0.85% (Class R4)
0.55% (Class R5)
0.55% (Class Y)
 

$

3,289,717.19

 

$

3,289,717.19

 
Hartford Small
Cap Core Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7500% of the
first $500 million;
0.7000% of the
next $500 million;
0.6500% of the
next $2 billion;
0.6400% of the
next $2 billion;
0.6300% of the
next $5 billion; and
0.6200% in excess
of $10 billion
 1.30% (Class A)
2.05% (Class B)
2.05% (Class C)
1.05% (Class I)
1.50% (Class R3)
1.20% (Class R4)
0.90% (Class R5)
0.85% (Class Y)
 

$

557,308.93

 

$

557,308.93

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Small Company
Fund
 
 
 
 
 
 
 
 
 
 
 
 
 0.8500% of the
first $250 million;
0.8000% of the
next $250 million;
0.7500% of the
next $500 million;
0.7000% of the
next $500 million;
0.6500% of the
next $3.5 billion;
0.6300% of the
next $5 billion; and
0.6200% in excess
of $10 billion
 1.40% (Class A)
2.15% (Class B)
2.15% (Class C)
1.15% (Class I)
1.55% (Class R3)
1.25% (Class R4)
0.95% (Class R5)
0.90% (Class R6)
0.90% (Class Y)
 

$

7,446,223.71

 

$

7,446,223.71

 
The Hartford
Strategic Income
Fund
 
 
 
 
 
 
 
 
 
 
 
 0.5500% of the
first $500 million;
0.5000% of the
next $500 million;
0.4750% of the
next $1.5 billion;
0.4650% of the
next $2.5 billion;
0.4550% of the
next $5 billion; and
0.4450% in excess
of $10 billion
 0.95% (Class A)
1.70% (Class B)
1.70% (Class C)
0.70% (Class I)
1.25% (Class R3)
0.95% (Class R4)
0.65% (Class R5)
0.60% (Class R6)
0.60% (Class Y)
 

$

2,147,364.88

 

$

2,147,364.88

 
The Hartford
Total Return
Bond Fund
 
 
 
 
 
 
 
 
 
 
 0.4300% of the
first $500 million;
0.3800% of the
next $500 million;
0.3700% of the
next $4 billion;
0.3600% of the
next $5 billion; and
0.3500% in excess
of $10 billion
 0.87% (Class A)
1.62% (Class B)
1.62% (Class C)
0.62% (Class I)
1.17% (Class R3)
0.87% (Class R4)
0.57% (Class R5)
0.52% (Class R6)
0.52% (Class Y)
 

$

7,185,124.2

 

$

7,185,124.2

 

Fund Name

 Management
Fee Schedule
 Expense
Limitation*
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Unconstrained
Bond Fund
 
 
 
 
 
 
 
 
 
 
 0.5500% of the
first $500 million;
0.5000% of the
next $500 million;
0.4750% of the
next $1.5 billion;
0.4650% of the
next $2.5 billion;
0.4550% of the
next $5 billion; and
0.4450% in excess
of $10 billion
 0.99% (Class A)
1.74% (Class B)
1.74% (Class C)
0.74% (Class I)
1.29% (Class R3)
0.99% (Class R4)
0.69% (Class R5)
0.69% (Class Y)
 

$

584,482.98

 

$

584,482.98

 
The Hartford
World Bond Fund
 
 
 
 
 
 
 
 
 
 
 0.7000% of the
first $250 million;
0.6500% of the
next $250 million;
0.6000% of the
next $4.5 billion;
0.5750% of the
next $5 billion; and
0.5725% in excess
of $10 billion
 1.05% (Class A)
1.80% (Class C)
0.80% (Class I)
1.35% (Class R3)
1.05% (Class R4)
0.75% (Class R5)
0.70% (Class R6)
0.70% (Class Y)
 

$

20,867,662.15

 

$

20,867,662.15

 

The Hartford Mutual Funds II, Inc.

Fund Name

 Management
Fee Schedule
 Expense
Reimbursement
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Growth
Opportunities Fund
 
 
 
 
 
 
 
 
 
 0.8000% of the
first $250 million;
0.7000% of the
next $4.75 billion;
0.6975% of the
next $5 billion; and
0.6950% in excess
of $10 billion
 1.36% (Class A)
2.11% (Class B)
2.11% (Class C)
1.11% (Class I)
1.45% (Class R3)
1.15% (Class R4)
0.85% (Class R5)
0.85% (Class R6)
0.85% (Class Y)
 

$

30,674,577.19

 

$

30,674,577.19

 

Fund Name

 Management
Fee Schedule
 Expense
Reimbursement
 Gross
Management
Fees Paid
 Net
Management
Fees Paid
 
The Hartford
Municipal Real
Return Fund10
 
 
 
 
 
 
 
 
 0.3500% of the
first $500 million;
0.3000% of the
next $500 million;
0.2900% of the
next $1.5 billion;
0.2850% of the
next $2.5 billion;
and
0.2800% in excess
of $5 billion
 0.69% (Class A)
1.44% (Class B)
1.44% (Class C)
0.44% (Class I)
0.44% (Class Y)
 

$

768,535.11

 

$

701,672.18

 
The Hartford
SmallCap Growth
Fund
 
 
 
 
 
 
 
 
 
 
 
 0.9000% of the
first $100 million;
0.8000% of the
next $150 million;
0.7000% of the
next $250 million;
0.6500% of the
next $4.5 billion;
0.6300% of the
next $5 billion; and
0.6200% in excess
of $10 billion
 1.40% (Class A)
2.15% (Class B)
2.15% (Class C)
1.15% (Class I)
1.60% (Class R3)
1.30% (Class R4)
1.00% (Class R5)
0.95% (Class R6)
0.95% (Class Y)
 

$

7,056,945.55

 

$

7,056,945.55

 
The Hartford Value
Opportunities Fund
 
 
 
 
 
 
 
 
 
 
 
 0.7000% of the
first $500 million;
0.6000% of the
next $500 million;
0.5900% of the
next $1.5 billion;
0.5850% of the
next $2.5 billion;
0.5800% of the
next $5 billion; and
0.5750% in excess
of $10 billion
 1.35% (Class A)
2.10% (Class B)
2.10% (Class C)
1.10% (Class I)
1.55% (Class R3)
1.25% (Class R4)
0.95% (Class R5)
0.90% (Class Y)
 

$

2,182,610.53

 

$

2,182,610.53

 

1  Prior to November 1, 2015, the management fee paid by the Fund to HFMC was 0.1500% of the first $500 million, 0.1000% of the next $500 million, 0.0900% of the next $1.5 billion, 0.0800% of the next $2.5 billion, 0.0700% of the next $2.5 billion, 0.0600% of the next $2.5 billion and 0.0500% in excess of $10 billion. Also prior to November 1, 2015, HFMC had contractually agreed to reimburse expenses (exclusive of taxes, interest expenses, brokerage commissions, and extraordinary expenses) to the extent necessary to maintain total operating expenses as follows: 1.35% (Class A), 2.10% (Class B), 2.10% (Class C), 1.10% (Class I), 1.60% (Class R3), 1.30% (Class R4) and 1.00% (Class R5).


2  Prior to May 7, 2015, the management fee paid by the Fund to HFMC was 1.2000% of the first $250 million, 1.1500% of the next $250 million, 1.1000% of the next $500 million, 1.0750% of the next $4 billion, 1.0725% of the next $5 billion and 1.0700% in excess of $10 billion.

3  The management fee paid to HFMC by the Fund consists of a base fee calculated as noted in the Management Fee Schedule above, plus or minus a performance-fee adjustment calculated by applying a variable rate of up to 0.50% (positive or negative over an annual period) to the Fund's average daily net assets during the applicable performance measurement period. The performance measurement period is the previous 36 months.

4  Prior to November 1, 2015, the management fee paid by the Fund to HFMC was 0.9500% of the first $250 million, 0.9300% of the next $250 million, 0.8500% of the next $500 million, 0.7800% of the next $1.5 billion, 0.7500% of the next $2.5 billion and 0.7100% in excess of $5 billion. Also prior to November 1, 2015, HFMC had contractually agreed to reimburse expenses (exclusive of taxes, interest expenses, brokerage commissions, and extraordinary expenses) to the extent necessary to maintain total operating expenses as follows: 1.35% (Class A), 2.10% (Class C), 1.10% (Class I), 1.60% (Class R3), 1.30% (Class R4), 1.05% (Class R5) and 1.00% (Class Y).

5  Prior to November 1, 2015, the management fee paid by the Fund to HFMC was 0.1500% of the first $500 million, 0.1000% of the next $500 million, 0.0900% of the next $1.5 billion, 0.0800% of the next $2.5 billion, 0.0700% of the next $2.5 billion, 0.0600% of the next $2.5 billion and 0.0500% in excess of $10 billion.

6  Prior to August 13, 2015, the management fee paid by the Fund to HFMC was 0.9000% of the first $500 million, 0.8500% of the next $4.5 billion, 0.8475% of the next $5 billion and 0.8450% in excess of $10 billion. Also prior to August 13, 2015, HFMC had contractually agreed to reimburse expenses (exclusive of taxes, interest expenses, brokerage commissions, and extraordinary expenses) to the extent necessary to maintain total operating expenses as follows: 1.45% (Class A), 2.20% (Class B), 2.20% (Class C), 1.20% (Class I), 1.65% (Class R3), 1.35% (Class R4), 1.05% (Class R5) and 1.00% (Class Y).

7  Prior to August 13, 2015, HFMC had contractually agreed to reimburse expenses (exclusive of taxes, interest expenses, brokerage commissions, and extraordinary expenses) to the extent necessary to maintain total operating expenses as follows: 1.55% (Class A), 2.30% (Class B), 2.30% (Class C), 1.30% (Class I), 1.60% (Class R3), 1.30% (Class R4), 1.00% (Class R5) and 0.95% (Class Y).

8  Prior to November 1, 2015, the management fee paid by the Fund to HFMC was 0.150% of the first $500 million, 0.100% of the next $500 million, 0.090% of the next $1.5 billion, 0.080% of the next $2.5 billion, 0.070% of the next $2.5 billion, 0.060% of the next $2.5 billion and 0.050% in excess of $10 billion.

9  Prior to June 1, 2015, the management fee paid by the Fund to HFMC was 0.5500% of the first $500 million, 0.5000% of the next $500 million, 0.4750% of the next $1.5 billion, 0.4650% of the next $2.5 billion, 0.4550% of the next $5 billion and 0.4450 in excess of $10 billion.

10  Prior to June 1, 2015, the management fee paid by the Fund to HFMC was 0.5000% of the first $500 million, 0.4500% of the next $500 million, 0.4400% of the next $1.5 billion, 0.4300% of the next $2.5 billion, 0.4200% of the next $5 billion and 0.4100% in excess of $10 billion.


*  The expense limitation arrangements will remain in effect until February 29, 2016 (except that with respect to The Hartford Conservative Allocation Fund, The Hartford Global Real Asset Fund, The Hartford Growth Allocation Fund, Hartford International Equity Fund, The Hartford International Growth Fund, Hartford Moderate Allocation Fund, Hartford Municipal Income Fund and Hartford Municipal Short Duration Fund, the expense limitations will remain in effect until February 28, 2017) and will renew automatically for one-year terms thereafter unless HFMC provides written notice of termination prior to the start of the next term or upon approval of the applicable Board. HFMC currently intends to extend the expense limitation of The Hartford Emerging Markets Local Debt Fund through February 28, 2017.

**  The reduction in amounts charged in connection with Class B Distribution and Service Plan (12b-1) fees that took effect June 30, 2012, in order to comply with applicable Financial Industry Regulatory Authority ("FINRA") rules, caused the limit on net operating expenses attributable to Class B shares to be, effectively, 0.99%.

***  The reduction in amounts charged in connection with Class B Distribution and Service Plan (12b-1) fees that took effect July 1, 2013, in order to comply with applicable FINRA rules, caused the limit on net operating expenses attributable to Class B shares to be, effectively, 1.25%.

****  The reduction in amounts charged in connection with Class B Distribution and Service Plan (12b-1) fees that took effect January 1, 2011, in order to comply with applicable FINRA rules, caused the limit on net operating expenses attributable to Class B shares to be, effectively, 0.85%.

Other Fee Payments

The following table sets forth the net fees (after any waivers) paid by each of the Funds to HFMC and its affiliates during the fiscal year ended October 31, 2015 for services provided to each of the Funds (other than for management services or for brokerage commissions). Each of the services for which these payments were made will continue to be provided to the Funds by HFMC and/or its affiliates upon shareholder approval of the New Agreement as discussed in the Joint Proxy Statement.

The Hartford Mutual Funds, Inc.

Fund Name

 Fund
Accounting Fees
Paid to HFMC*
 Transfer
Agency Fees
Paid to HASCO
(after waivers)*
 Distribution
(Rule 12b-1)
Fees Paid to
HFD**
 
The Hartford
Balanced Fund
 

$

137,291.95

  

$

1,146,480.64

  

$

3,028,797.59

  
The Hartford Balanced
Income Fund
 

$

1,177,304.38

  

$

5,200,716.46

  

$

29,119,164.55

  
The Hartford Capital
Appreciation Fund
 

$

1,724,331.88

  

$

12,496,455.76

  

$

36,283,631.11

  
The Hartford Checks and
Balances Fund
 

$

232,366.13

  

$

2,017,110.24

  

$

8,127,962.71

  

Fund Name

 Fund
Accounting Fees
Paid to HFMC*
 Transfer
Agency Fees
Paid to HASCO
(after waivers)*
 Distribution
(Rule 12b-1)
Fees Paid to
HFD**
 
The Hartford Conservative
Allocation Fund
 

$

22,133.70

  

$

186,635.61

  

$

829,649.56

  

Hartford Core Equity Fund

 

$

42,637.90

  

$

353,668.16

  

$

841,203.88

  
The Hartford Dividend and
Growth Fund
 

$

1,050,696.01

  

$

8,435,867.24

  

$

15,607,633.16

  
Hartford Duration-Hedged
Strategic Income Fund
 

$

1,948.66

  

$

9,967.86

  

$

43,657.51

  
Hartford Emerging Markets
Equity Fund
 

$

48,241.90

  

$

32,615.08

  

$

64,196.12

  
The Hartford Emerging
Markets Local
Debt Fund
 

$

70,658.49

  

$

32,742.24

  

$

52,942.07

  
The Hartford Equity
Income Fund
 

$

447,655.53

  

$

3,573,215.91

  

$

9,937,286.76

  
The Hartford Floating
Rate Fund
 

$

943,186.31

  

$

3,730,908.53

  

$

19,982,758.41

  
The Hartford Floating Rate
High Income Fund
 

$

85,143.81

  

$

392,485.68

  

$

1,521,895.05

  
The Hartford Global
All-Asset Fund
 

$

103,361.53

  

$

464,893.75

  

$

1,608,815.87

  
The Hartford Global
Alpha Fund
 

$

6,346.08

  

$

1,547.11

  

$

45,392.18

  
Hartford Global Capital
Appreciation Fund
 

$

195,520.26

  

$

1,923,019.16

  

$

5,105,462.76

  
Hartford Global Equity
Income Fund
 

$

52,930.96

  

$

262,756.10

  

$

371,318.12

  
The Hartford Global Real
Asset Fund
 

$

89,550.55

  

$

132,351.29

  

$

215,908.61

  
The Hartford Growth
Allocation Fund
 

$

106,275.49

  

$

1,207,147.50

  

$

3,935,642.00

  
The Hartford
Healthcare Fund
 

$

192,199.91

  

$

1,583,456.52

  

$

4,975,914.17

  
The Hartford High
Yield Fund
 

$

76,949.89

  

$

579,643.95

  

$

1,491,092.69

  
The Hartford Inflation
Plus Fund
 

$

125,751.23

  

$

856,850.07

  

$

3,319,203.47

  
Hartford International
Equity Fund
 

$

6,692.07

  

$

38,052.47

  

$

74,391.24

  
The Hartford International
Growth Fund
 

$

41,347.57

  

$

408,423.85

  

$

484,815.72

  

Fund Name

 Fund
Accounting Fees
Paid to HFMC*
 Transfer
Agency Fees
Paid to HASCO
(after waivers)*
 Distribution
(Rule 12b-1)
Fees Paid to
HFD**
 
The Hartford International
Opportunities Fund
 

$

275,952.79

  

$

1,260,455.46

  

$

2,424,372.43

  
The Hartford International
Small Company Fund
 

$

54,613.35

  

$

252,777.10

  

$

415,901.51

  
The Hartford International
Value Fund
 

$

176,917.56

  

$

1,115,471.35

  

$

1,185,784.72

  
Hartford Long/Short
Global Equity Fund
 

$

4,982.44

  

$

1,462.84

  

$

30,689.14

  

The Hartford MidCap Fund

 

$

566,331.58

  

$

4,284,182.23

  

$

11,803,555.14

  
The Hartford MidCap
Value Fund
 

$

69,851.89

  

$

555,930.23

  

$

1,092,467.90

  
Hartford Moderate
Allocation Fund
 

$

80,938.65

  

$

708,838.82

  

$

2,983,031.35

  
Hartford Multi-Asset
Income Fund
 

$

28,007.60

  

$

11,333.00

  

$

81,173.53

  
Hartford Municipal
Income Fund
 

$

774.02

  

$

103.60

  

$

13,356.43

  
The Hartford Municipal
Opportunities Fund
 

$

77,864.41

  

$

185,206.64

  

$

1,499,181.50

  
Hartford Municipal Short
Duration Fund
 

$

819.08

  

$

158.80

  

$

14,470.51

  
The Hartford Quality
Bond Fund
 

$

4,208.15

  

$

6,321.18

  

$

62,975.31

  
Hartford Real Total
Return Fund
 

$

28,037.70

  

$

2,975.62

  

$

4,293.15

  
The Hartford Short
Duration Fund
 

$

151,981.57

  

$

889,637.37

  

$

2,374,198.49

  
Hartford Small Cap
Core Fund
 

$

10,403.63

  

$

144,961.31

  

$

304,098.88

  
The Hartford Small
Company Fund
 

$

132,008.72

  

$

1,172,403.54

  

$

1,719,009.59

  
The Hartford Strategic
Income Fund
 

$

78,083.71

  

$

327,064.81

  

$

1,384,537.85

  
The Hartford Total Return
Bond Fund
 

$

369,554.01

  

$

1,345,542.94

  

$

2,512,495.06

  
The Hartford Unconstrained
Bond Fund
 

$

26,566.98

  

$

151,191.03

  

$

325,369.05

  
The Hartford World
Bond Fund
 

$

683,071.07

  

$

3,292,290.70

  

$

3,106,458.57

  

The Hartford Mutual Funds II, Inc.

Fund Name

 Fund
Accounting Fees
Paid to HFMC*
 Transfer
Agency Fees
Paid to HASCO
(after waivers)*
 Distribution
(Rule 12b-1)
Fees Paid to
HFD**
 
The Hartford Growth
Opportunities Fund
 

$

521,548.58

  

$

5,479,497.93

  

$

7,766,036.75

  
The Hartford Municipal
Real Return Fund
 

$

27,996.06

  

$

85,640.11

  

$

583,294.26

  
The Hartford SmallCap
Growth Fund
 

$

158,944.54

  

$

929,740.59

  

$

1,442,174.37

  
The Hartford Value
Opportunities Fund
 

$

43,653.75

  

$

473,034.57

  

$

929,552.48

  

*  HFMC and HASCO pay third-party sub-agents out of these fees.

**  For the fiscal year ended October 31, 2015, approximately $191,607,102 of Rule 12b-1 fees paid by the Companies was paid to third-parties and as compensation to sales personnel (including advertising, printing and mailing of prospectuses to prospective shareholders).

Compensation Paid to HFMC by Investment Companies with Similar Investment Objectives

The following table sets forth the management fee rate paid to HFMC and assets under management of each registered investment company with an investment objective similar to the investment objectives of any of the Funds. Rates are provided as a percentage of average daily net assets unless otherwise indicated. No expense limitations or waivers were in place with respect to the funds below.

Fund Name

 Net Assets as of
June 30, 2015
 Management
Fee Rate
 

Hartford Balanced HLS Fund

 

$

2,747,312,325

  

0.6800% on first $250 million;

 
    

0.6550% on next $250 million;

 
    

0.6450% on next $500 million;

 
    

0.5950% on next $4 billion;

 
    

0.5925% on next $5 billion; and

 
    

0.5900% in excess of $10 billion

 

Hartford Capital Appreciation

 

$

6,935,905,587

  

0.7750% on first $250 million;

 

HLS Fund

   

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $1.5 billion;

 
    

0.6200% on next $2.5 billion;

 
    

0.6150% on next $5 billion; and

 
    

0.6100% in excess of $10 billion

 

Fund Name

 Net Assets as of
June 30, 2015
 Management
Fee Rate
 

Hartford Disciplined Equity

 

$

786,451,304

  

0.7750% on first $250 million;

 

HLS Fund

   

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $4 billion;

 
    

0.6225% on next $5 billion; and

 
    

0.6200% in excess of $10 billion

 

Hartford Dividend and Growth

 

$

3,752,166,064

  

0.7750% on first $250 million;

 

HLS Fund

   

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $1.5 billion;

 
    

0.6200% on next $2.5 billion;

 
    

0.6150% on next $5 billion; and

 
    

0.6100% in excess of $10 billion

 

Hartford Growth Opportunities

 

$

1,427,181,321

  

0.7000% on first $100 million;

 

HLS Fund

   

0.6000% on next $4.9 billion;

 
    

0.5975% on next $5 billion; and

 
    

0.5950% in excess of $10 billion

 

Hartford Healthcare HLS Fund

 

$

435,537,992

  

0.8500% on first $250 million;

 
    

0.8000% on next $250 million;

 
    

0.7500% on next $4.5 billion;

 
    

0.7475% on next $5 billion; and

 
    

0.7450% in excess of $10 billion

 

Hartford High Yield HLS Fund

 

$

399,462,976

  

0.7000% on first $500 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $1.5 billion;

 
    

0.6150% on next $2.5 billion;

 
    

0.6050% on next $5 billion; and

 
    

0.5950% in excess of $10 billion

 

Hartford International

 

$

1,453,992,806

  

0.7750% on first $250 million;

 

Opportunities HLS Fund

   

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $1.5 billion;

 
    

0.6200% on next $2.5 billion;

 
    

0.6150% on next $5 billion; and

 
    

0.6100% in excess of $10 billion

 

Hartford MidCap HLS Fund

 

$

1,868,698,394

  

0.7750% on first $250 million;

 
    

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6250% on next $4 billion;

 
    

0.6225% on next $5 billion; and

 
    

0.6200% in excess of $10 billion

 

Fund Name

 Net Assets as of
June 30, 2015
 Management
Fee Rate
 

Hartford MidCap Value

 

$

438,420,888

  

0.8000% on first $500 million;

 

HLS Fund

   

0.7250% on next $500 million;

 
    

0.6750% on next $1.5 billion;

 
    

0.6700% on next $2.5 billion;

 
    

0.6650% on next $5 billion; and

 
    

0.6600% in excess of $10 billion

 

Hartford Small Company

 

$

1,454,343,839

  

0.7750% on first $250 million;

 

HLS Fund

   

0.7250% on next $250 million;

 
    

0.6750% on next $500 million;

 
    

0.6000% on next $500 million;

 
    

0.5500% on next $3.5 billion;

 
    

0.5300% on next $5 billion; and

 
    

0.5200% in excess of $10 billion

 

Hartford SmallCap Growth

 

$

875,984,217

  

0.7000% on first $100 million;

 

HLS Fund

   

0.6000% on next $4.9 billion;

 
    

0.5800% on next $5 billion; and

 
    

0.5700% in excess of $10 billion

 

Hartford Total Return Bond

 

$

3,015,075,269

  

0.5250% on first $250 million;

 

HLS Fund

   

0.5000% on next $250 million;

 
    

0.4750% on next $500 million;

 
    

0.4500% on next $1.5 billion;

 
    

0.4450% on next $2.5 billion;

 
    

0.4300% on next $5 billion; and

 
    

0.4200% in excess of $10 billion

 


APPENDIX DF

5% Beneficial Owners of Fund Shares as of January 10, 2014BENEFICIAL OWNERS OF FUND SHARES AS OF NOVEMBER 30, 2015

THE HARTFORD MUTUAL FUNDS, INC.

As of January 10, 2014,November 30, 2015, the following shareholders were beneficial ownersowned beneficially or of record 5% or more of the percentages of outstanding shares of the classesany class of the Fund indicated below.Funds.

The Hartford Balanced Allocation Fund

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class A

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

222,331,112.63

 

45.95%

 

Class A

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

35,893,864.98

 

7.42%

 

Class A

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

26,730,451.24

 

5.52%

 

Class B

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

7,365,421.28

 

18.58%

 

Class B

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

5,874,194.19

 

14.82%

 

Class B

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

3,360,156.05

 

12.34%

 

Class B

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

4,892,729.84

 

8.48%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Fund

 

A

 

12,251,770.73

 

42

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Fund

 

A

 

1,728,751.52

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Balanced Fund

 

A

 

1,640,045.99

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Fund

 

A

 

1,629,725.81

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Fund

 

B

 

41,276.94

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Fund

 

B

 

21,170.57

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Fund

 

B

 

19,644.77

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Fund

 

C

 

1,053,012.56

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Fund

 

C

 

867,105.97

 

12

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Fund

 

C

 

546,578.77

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class B

 

Charles Schwab & Co. Inc. FBO Clearing Customers San Francisco, CA

 

$

2,814,780.49

 

7.10%

 

Class C

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

21,814,287.55

 

12.34%

 

Class C

 

Raymond James Omnibus For Mutual Funds St Petersburg FL

 

$

17,610,038.13

 

9.96%

 

Class C

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

16,222,810.52

 

9.18%

 

Class C

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

14,848,897.19

 

8.40%

 

Class C

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

12,722,250.95

 

7.20%

 

Class C

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

12,684,785.39

 

7.17%

 

Class C

 

Charles Schwab & Co. Inc. FBO Clearing Customers San Francisco, CA

 

$

9,609,749.46

 

5.43%

 

Class I

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

2,345,104.04

 

23.34%

 

Class I

 

Morgan Stanley Smith Barney Jersey City, NJ

 

$

1,627,636.80

 

16.20%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Fund

 

C

 

532,048.33

 

7

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Fund

 

C

 

500,472.48

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Balanced Fund

 

C

 

489,455.19

 

7

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Balanced Fund

 

C

 

470,446.17

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Balanced Fund

 

C

 

380,702.73

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Balanced Fund

 

I

 

201,807.11

 

46

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Balanced Fund

 

I

 

75,037.55

 

17

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Balanced Fund

 

I

 

64,571.35

 

15

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Balanced Fund

 

I

 

59,460.96

 

14

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Balanced Fund

 

R3

 

13,810.36

 

22

%

 

ASCENSUS TRUST COMPANY FBO BURDA CONSTRUCTION CORP PS PLAN 5

 

Fargo ND

 

The Hartford Balanced Fund

 

R3

 

10,776.93

 

17

%

 

JOE LEO TRUSTEE FBO SCANLAN & LEO LTD PSP 401K

 

Greenwood VLG CO

 

The Hartford Balanced Fund

 

R3

 

7,272.29

 

11

%

 

MATRIX TRUST COMPANY CUSTOMER FBO CAJUN CUTTERS INC

 

Denver CO

 

The Hartford Balanced Fund

 

R3

 

5,073.47

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class I

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

1,179,474.07

 

11.74%

 

Class I

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

1,085,461.99

 

10.80%

 

Class I

 

Stifel Nicolaus & Co. Inc. Exclusive Benefit Of Customers St Louis, MO

 

$

695,368.47

 

6.92%

 

Class I

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

687,969.70

 

6.85%

 

Class I

 

Raymond James Omnibus For Mutual Funds St Petersburg, FL

 

$

543,374.26

 

5.41%

 

Class I

 

MLPF&S For The Sole Benefit Of Its Customers Jacksonville, FL

 

$

533,740.48

 

5.31%

 

Class R3

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

36,254,562.59

 

87.22%

 

Class R4

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

20,181,405.77

 

84.55%

 

Class R4

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

2,610,204.98

 

10.94%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Fund

 

R3

 

4,743.65

 

7

%

 

MID ATLANTIC TRUST COMPANY FBO MARK C VALENTINE PROFIT SHARING PLA

 

Pittsburgh PA

 

The Hartford Balanced Fund

 

R3

 

3,468.82

 

5

%

 

MID ATLANTIC TRUST COMPANY FBO ASPHALT OPERATING SERVICES OF

 

Pittsburgh PA

 

The Hartford Balanced Fund

 

R4

 

8,634.04

 

31

%

 

DATA SURETY CORP LYNN L FINE TRUSTEE IND (K)

 

Albuquerque NM

 

The Hartford Balanced Fund

 

R4

 

4,863.11

 

17

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Balanced Fund

 

R4

 

4,724.22

 

17

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford Balanced Fund

 

R4

 

3,671.89

 

13

%

 

ROBERT E CHURCH FBO ADVANCED PNEUMATICS CO INC 401K PSP

 

Fredericksburg VA

 

The Hartford Balanced Fund

 

R4

 

3,279.80

 

12

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Balanced Fund

 

R4

 

1,534.67

 

5

%

 

FIIOC FBO DAVID L ADAMS ASSOCIATES INC PROFIT SHARING PENSION PLAN IRA

 

Covington KY

 

The Hartford Balanced Fund

 

R5

 

7,643.19

 

99

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Balanced Fund

 

Y

 

142,525.12

 

38

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Balanced Fund

 

Y

 

83,405.20

 

22

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class R5

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

7,904,667.82

 

78.26%

 

Class R5

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

1,982,726.96

 

19.63%

 

*  Each entity set forth in this column is the shareholder of record and may be deemed to be the beneficial owner of certain of the shares listed for certain purposes under the securities laws, although certain of the entities generally do not have an economic interest in these shares and would ordinarily disclaim any beneficial ownership therein.

The Hartford Conservative Allocation Fund

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class A

 

Edward D. Jones & Co. for the Benefit of Customers Saint Louis, MO

 

$

60,751,597.16

 

42.42%

 

Class A

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

9,577,216.63

 

6.69%

 

Class A

 

National Financial Services LLC for the Exclusive Benefit of our Customers Jersey City, NJ

 

$

9,553,166.65

 

6.67%

 

Class A

 

First Clearing LLC Special Custody Account for the Exclusive Benefit of Customers Saint Louis, MO

 

$

8,379,204.07

 

5.85%

 

Class B

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

1,953,602.60

 

18.36%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Fund

 

Y

 

50,535.56

 

14

%

 

SAXON & CO

 

Philadelphia PA

 

The Hartford Balanced Fund

 

Y

 

47,758.18

 

13

%

 

FIIOC FBO MGP INGREDIENTS NON-UNION 401K & PROFIT SHARING PLAN

 

Covington KY

 

The Hartford Balanced Fund

 

Y

 

20,779.93

 

6

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford Balanced Income Fund

 

A

 

108,209,609.68

 

55

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

A

 

14,616,261.52

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

A

 

13,189,249.09

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

A

 

12,869,571.57

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

B

 

486,194.13

 

52

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

B

 

99,733.90

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

B

 

55,724.76

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

B

 

52,827.94

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class B

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

1,927,777.74

 

18.12%

 

Class B

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

1,303,116.10

 

12.25%

 

Class B

 

Charles Schwab & Co. Inc. FBO Clearing Customers San Francisco, CA

 

$

995,698.94

 

9.36%

 

Class B

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

992,918.62

 

9.33%

 

Class C

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

6,990,507.35

 

13.55%

 

Class C

 

Charles Schwab & Co. Inc. FBO Clearing Customers San Francisco, CA

 

$

5,205,073.84

 

10.09%

 

Class C

 

Raymond James Omnibus For Mutual Funds St. Petersburg, FL

 

$

5,003,487.93

 

9.70%

 

Class C

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

4,112,713.88

 

7.97%

 

Class C

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

4,071,245.29

 

7.89%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Income Fund

 

C

 

39,970,455.13

 

22

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

C

 

24,995,225.45

 

14

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Balanced Income Fund

 

C

 

17,962,844.85

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Balanced Income Fund

 

C

 

16,657,455.11

 

9

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

C

 

16,008,988.85

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

C

 

14,104,279.70

 

8

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

C

 

13,145,476.77

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

C

 

11,604,973.72

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Balanced Income Fund

 

I

 

20,570,925.79

 

21

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Balanced Income Fund

 

I

 

13,253,025.98

 

14

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Balanced Income Fund

 

I

 

12,604,263.78

 

13

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class C

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

3,738,111.99

 

7.25%

 

Class C

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

3,601,175.30

 

6.98%

 

Class I

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

429,596.42

 

32.30%

 

Class I

 

Charles Schwab & Co. Inc. Special Custody Account FBO Customers San Francisco, CA

 

$

254,828.74

 

19.16%

 

Class I

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

206,559.68

 

15.53%

 

Class I

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

149,212.31

 

11.22%

 

Class I

 

Elaine M Martinelli TOD Wolcott, CT

 

$

123,158.96

 

9.26%

 

Class R3

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

9,113,238.89

 

88.88%

 

Class R4

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

4,543,535.13

 

65.45%

 

Class R4

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

2,153,625.75

 

31.02%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Income Fund

 

I

 

10,982,631.55

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

I

 

10,977,062.66

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Balanced Income Fund

 

I

 

7,100,194.28

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Balanced Income Fund

 

I

 

6,951,548.63

 

7

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Balanced Income Fund

 

I

 

6,576,715.89

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Balanced Income Fund

 

R3

 

6,356,961.71

 

65

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Balanced Income Fund

 

R3

 

2,116,413.17

 

22

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford Balanced Income Fund

 

R4

 

2,856,064.95

 

57

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Balanced Income Fund

 

R4

 

714,941.24

 

14

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford Balanced Income Fund

 

R4

 

271,878.81

 

5

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford Balanced Income Fund

 

R5

 

661,195.79

 

38

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class R5

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

2,466,670.08

 

73.49%

 

Class R5

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

345,653.40

 

10.30%

 

Class I

 

MG Trust Company Customer FBO GBP Holdings LLC 401 K Plan Denver, CO

 

$

308,715.74

 

9.20%

 

*  Each entity set forth in this column is the shareholder of record and may be deemed to be the beneficial owner of certain of the shares listed for certain purposes under the securities laws, although certain of the entities generally do not have an economic interest in these shares and would ordinarily disclaim any beneficial ownership therein.

The Hartford Growth Allocation Fund

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class A

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

200,289,261.09

 

31.99%

 

Class A

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

50,369,926.09

 

8.04%

 

Class A

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

37,288,566.91

 

5.96%

 

Class B

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

9,737,926.70

 

15.75%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Balanced Income Fund

 

R5

 

549,071.78

 

32

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER PL 764

 

Angleton TX

 

The Hartford Balanced Income Fund

 

R5

 

211,325.80

 

12

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford Balanced Income Fund

 

R5

 

132,348.25

 

8

%

 

VOYA INSTITUTIONAL TRUST CO 1 ORANGE WAY

 

Windsor CT

 

The Hartford Balanced Income Fund

 

R6

 

331,929.21

 

74

%

 

ASCENSUS TRUST COMPANY FBO EDCO DEFERRED COMPENSATION PLAN 20

 

Fargo ND

 

The Hartford Balanced Income Fund

 

R6

 

93,160.71

 

21

%

 

MID ATLANTIC TRUST COMPANY FBO FMB BANKING CORPORATION ESOP W/ 401

 

Pittsburgh PA

 

The Hartford Balanced Income Fund

 

Y

 

1,047,314.20

 

43

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Balanced Income Fund

 

Y

 

247,874.37

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

A

 

62,159,033.65

 

44

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

A

 

9,466,443.21

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class B

 

Edward D. Jones & Co. For The Benefit Of Customers Saint Louis, MO

 

$

8,201,927.17

 

13.26%

 

Class B

 

Pershing LLC Pershing Plaza Jersey City, NJ

 

$

5,613,581.22

 

9.08%

 

Class B

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

5,513,249.72

 

8.92%

 

Class C

 

Raymond James Omnibus For Mutual Funds St. Petersburg. FL

 

$

22,869,253.93

 

10.53%

 

Class C

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

22,270,875.24

 

10.25%

 

Class C

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

21,501,787.36

 

9.90%

 

Class C

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

17,123,157.47

 

7.88%

 

Class C

 

MLPF&S For The Sole Benefit Of Its Customers Jacksonville, FL

 

$

11,030,771.96

 

5.08%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Capital Appreciation Fund

 

A

 

9,342,454.46

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

A

 

8,699,718.09

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

B

 

1,389,486.12

 

28

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

B

 

839,313.52

 

17

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

B

 

442,191.57

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

B

 

311,394.07

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

B

 

295,144.37

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Capital Appreciation Fund

 

C

 

8,110,146.80

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

C

 

6,811,760.80

 

12

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class I

 

LPL Financial FBO Customer Accounts San Diego, CA

 

$

1,337,641.30

 

27.05%

 

Class I

 

National Financial Services LLC For The Exclusive Benefit Of Our Customers Jersey City, NJ

 

$

1,086,099.82

 

21.96%

 

Class I

 

MLPF&S For The Sole Benefit Of Its Customers Jacksonville, FL

 

$

774,973.37

 

15.67%

 

Class I

 

First Clearing LLC Special Custody Account For The Exclusive Benefit Of Customers Saint Louis, MO

 

$

717,851.02

 

14.51%

 

Class I

 

Morgan Stanley Smith Barney Harborside Financial Center Jersey City, NJ

 

$

395,091.20

 

7.99%

 

Class R3

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

17,646,577.76

 

87.03%

 

Class R4

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

14,346,683.40

 

81.78%

 

Class R4

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

1,460,785.64

 

8.33%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Capital Appreciation Fund

 

C

 

6,083,608.36

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Capital Appreciation Fund

 

C

 

5,816,745.82

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Capital Appreciation Fund

 

C

 

4,576,931.52

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

C

 

3,628,368.15

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

C

 

3,470,372.28

 

6

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Capital Appreciation Fund

 

C

 

3,173,436.84

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Capital Appreciation Fund

 

C

 

2,891,488.07

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

I

 

6,119,629.68

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Capital Appreciation Fund

 

I

 

4,921,292.71

 

11

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Capital Appreciation Fund

 

I

 

4,188,803.63

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Class of Shares

 Name and Address of
Beneficial Owner*
 Amount and Nature of
Beneficial Ownership
 Percentage of
Class Owned
 

Class R5

 

Hartford Life Insurance Company Separate Accounts 401k Business Hartford, CT

 

$

3,901,434.93

 

58.79%

 

Class R5

 

Hartford Life Insurance Company Separate Account Government Business Hartford, CT

 

$

2,608,593.61

 

39.31%

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Capital Appreciation Fund

 

I

 

3,657,270.73

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Capital Appreciation Fund

 

I

 

2,943,153.36

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Capital Appreciation Fund

 

R3

 

1,694,530.35

 

56

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Capital Appreciation Fund

 

R3

 

162,051.63

 

5

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Capital Appreciation Fund

 

R4

 

1,543,941.62

 

37

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Capital Appreciation Fund

 

R4

 

1,204,288.14

 

29

%

 

MATRIX TRUST CO CUSTOMER FBO TWIN CITY PIPE TRADES PENSION

 

Phoenix AZ

 

The Hartford Capital Appreciation Fund

 

R5

 

624,873.88

 

50

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Capital Appreciation Fund

 

R5

 

211,476.80

 

17

%

 

WELLS FARGO BANK VARIOUS RETIREMENT PLANS

 

Charlotte NC

 

The Hartford Capital Appreciation Fund

 

R5

 

200,334.94

 

16

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Capital Appreciation Fund

 

R6

 

242.07

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Capital Appreciation Fund

 

Y

 

15,007,266.47

 

52

%

 

HARTFORD CHECKS AND BALANCES FUND

 

Radnor PA

 

The Hartford Capital Appreciation Fund

 

Y

 

5,000,912.70

 

17

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Capital Appreciation Fund

 

Y

 

3,101,399.89

 

11

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

A

 

80,465,457.21

 

60

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Checks and Balances Fund

 

A

 

9,983,378.03

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

A

 

7,595,547.62

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

B

 

2,525,536.80

 

33

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Checks and Balances Fund

 

B

 

971,729.80

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

B

 

927,874.61

 

12

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

B

 

789,046.86

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Checks and Balances Fund

 

B

 

686,942.53

 

9

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Checks and Balances Fund

 

C

 

4,173,698.09

 

13

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Checks and Balances Fund

 

C

 

4,108,914.27

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

C

 

4,095,037.13

 

13

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Checks and Balances Fund

 

C

 

3,840,284.70

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Checks and Balances Fund

 

C

 

2,726,394.87

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

C

 

2,671,328.01

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Checks and Balances Fund

 

C

 

1,715,459.62

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Checks and Balances Fund

 

I

 

754,554.41

 

22

%

 

TD AMERITRADE INC FBO OUR CUSTOMERS

 

Omaha NE

 

The Hartford Checks and Balances Fund

 

I

 

401,362.48

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Checks and Balances Fund

 

I

 

394,552.81

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Checks and Balances Fund

 

I

 

351,398.05

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Checks and Balances Fund

 

I

 

325,410.39

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

I

 

325,122.34

 

9

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Checks and Balances Fund

 

I

 

283,734.31

 

8

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Checks and Balances Fund

 

R3

 

791,215.31

 

65

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Checks and Balances Fund

 

R4

 

310,313.28

 

72

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Checks and Balances Fund

 

R4

 

70,082.05

 

16

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Checks and Balances Fund

 

R5

 

462,503.19

 

96

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Conservative Allocation Fund

 

A

 

4,873,553.70

 

44

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

A

 

754,564.22

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Conservative Allocation Fund

 

A

 

720,484.23

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

A

 

640,071.32

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

A

 

597,712.37

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Conservative Allocation Fund

 

B

 

82,567.37

 

25

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

B

 

48,545.72

 

15

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

B

 

47,826.44

 

14

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Conservative Allocation Fund

 

B

 

29,996.58

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

B

 

27,594.54

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

B

 

21,025.51

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Conservative Allocation Fund

 

C

 

604,560.47

 

16

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

C

 

417,333.04

 

11

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Conservative Allocation Fund

 

C

 

355,287.18

 

9

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Conservative Allocation Fund

 

C

 

317,187.36

 

8

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Conservative Allocation Fund

 

C

 

282,482.05

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

C

 

278,363.01

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Conservative Allocation Fund

 

C

 

260,024.71

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

I

 

26,884.00

 

26

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Conservative Allocation Fund

 

I

 

20,710.83

 

20

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Conservative Allocation Fund

 

I

 

14,066.70

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Conservative Allocation Fund

 

I

 

12,292.40

 

12

%

 

ELAINE M MARTINELLI TOD 18 MARGARET TER

 

Wolcott CT

 

The Hartford Conservative Allocation Fund

 

I

 

11,332.52

 

11

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Conservative Allocation Fund

 

I

 

6,354.87

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Conservative Allocation Fund

 

R3

 

740,632.47

 

91

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Conservative Allocation Fund

 

R4

 

131,323.18

 

52

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Conservative Allocation Fund

 

R4

 

92,692.40

 

37

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Conservative Allocation Fund

 

R5

 

201,703.84

 

81

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Conservative Allocation Fund

 

R5

 

39,309.63

 

16

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

Hartford Core Equity Fund

 

A

 

3,281,921.82

 

27

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Core Equity Fund

 

A

 

1,393,191.84

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Core Equity Fund

 

A

 

1,231,513.07

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Core Equity Fund

 

A

 

1,135,036.99

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Core Equity Fund

 

B

 

14,028.07

 

20

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Core Equity Fund

 

B

 

6,297.19

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Core Equity Fund

 

B

 

5,101.61

 

7

%

 

LPL FINANCIAL

 

San Diego CA

 

Hartford Core Equity Fund

 

B

 

4,432.57

 

6

%

 

STATE STREET BANK AND TRUST C/F MARIE A SCHLAK R/OVER IRA

 

Attleboro MA

 

Hartford Core Equity Fund

 

B

 

4,073.75

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Core Equity Fund

 

C

 

796,109.20

 

21

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Core Equity Fund

 

C

 

411,370.10

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Core Equity Fund

 

C

 

410,310.91

 

11

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Core Equity Fund

 

C

 

376,243.87

 

10

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Core Equity Fund

 

C

 

357,388.78

 

9

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Core Equity Fund

 

C

 

306,063.06

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Core Equity Fund

 

C

 

218,339.86

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Core Equity Fund

 

I

 

1,558,982.60

 

24

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Core Equity Fund

 

I

 

1,368,988.33

 

21

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Core Equity Fund

 

I

 

929,842.24

 

14

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Core Equity Fund

 

I

 

837,780.88

 

13

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Core Equity Fund

 

I

 

525,052.69

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

Hartford Core Equity Fund

 

I

 

392,677.53

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Core Equity Fund

 

I

 

331,442.91

 

5

%

 

PERSHING LLC 1 PERSHING PLZ

 

Jersey City NJ

 

Hartford Core Equity Fund

 

R3

 

50,816.33

 

17

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Core Equity Fund

 

R3

 

42,691.63

 

14

%

 

LINCOLN RETIREMENT SERVICES COMPANY FBO HARRIS CTY BOARD OF ED 403B

 

Fort Wayne IN

 

Hartford Core Equity Fund

 

R3

 

35,748.98

 

12

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Core Equity Fund

 

R3

 

30,553.13

 

10

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

Hartford Core Equity Fund

 

R3

 

21,502.65

 

7

%

 

ASCENSUS TRUST COMPANY FBO PLATINUM BANK 401(K) PLAN

 

Fargo ND

 

Hartford Core Equity Fund

 

R3

 

18,089.15

 

6

%

 

PAI TRUST COMPANY INC JOHN G YUAN, M D, P C 401(K) P/S

 

De Pere WI

 

Hartford Core Equity Fund

 

R3

 

18,031.95

 

6

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K — FG

 

Greenwood VLG CO

 

Hartford Core Equity Fund

 

R4

 

210,986.23

 

21

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

Hartford Core Equity Fund

 

R4

 

140,556.51

 

14

%

 

NATIONAL SURGICAL HEALTHCARE 401K PLAN COMM EST DWS TRUST COMPANY

 

Salem NH

 

Hartford Core Equity Fund

 

R4

 

130,309.90

 

13

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Core Equity Fund

 

R4

 

116,493.97

 

11

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

Hartford Core Equity Fund

 

R4

 

115,786.19

 

11

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER PL 803

 

Palo Alto CA

 

Hartford Core Equity Fund

 

R5

 

1,012,174.72

 

89

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Core Equity Fund

 

R6

 

25,187.85

 

56

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

Hartford Core Equity Fund

 

R6

 

14,477.52

 

32

%

 

MATRIX TRUST CO AS AGENT FOR NTC & CO CUSTODIAN FBO JOHNS' PLUMBING HEATING & AIR

 

Denver CO

 

Hartford Core Equity Fund

 

R6

 

3,940.39

 

9

%

 

MATRIX TRUST COMPANY TRUSTEE NORTH, INC. EMPLOYEE SAVINGS PLAN

 

Denver CO

 

Hartford Core Equity Fund

 

Y

 

454,522.26

 

48

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

Hartford Core Equity Fund

 

Y

 

175,846.56

 

19

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Core Equity Fund

 

Y

 

159,525.64

 

17

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

The Hartford Dividend and Growth Fund

 

A

 

99,447,841.38

 

67

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Dividend and Growth Fund

 

B

 

972,534.64

 

56

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Dividend and Growth Fund

 

C

 

3,001,381.85

 

16

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Dividend and Growth Fund

 

C

 

2,280,591.85

 

12

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Dividend and Growth Fund

 

C

 

2,119,764.63

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Dividend and Growth Fund

 

C

 

1,841,153.29

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Dividend and Growth Fund

 

C

 

1,436,599.79

 

8

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Dividend and Growth Fund

 

C

 

1,240,934.14

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Dividend and Growth Fund

 

C

 

1,039,945.17

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Dividend and Growth Fund

 

I

 

46,701,331.12

 

68

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Dividend and Growth Fund

 

I

 

6,039,552.48

 

9

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Dividend and Growth Fund

 

I

 

3,780,851.85

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Dividend and Growth Fund

 

R3

 

1,854,191.32

 

56

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Dividend and Growth Fund

 

R3

 

371,662.43

 

11

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Dividend and Growth Fund

 

R4

 

1,569,093.83

 

27

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Dividend and Growth Fund

 

R4

 

1,187,171.22

 

20

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Dividend and Growth Fund

 

R4

 

763,584.18

 

13

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Dividend and Growth Fund

 

R4

 

547,096.54

 

9

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Dividend and Growth Fund

 

R4

 

299,682.60

 

5

%

 

TIAA-CREF TRUST CO CUSTOMER/TRUSTEE FBO RETIREMENT PLANS FOR WHICH

 

Saint Louis MO

 

The Hartford Dividend and Growth Fund

 

R5

 

2,692,279.18

 

30

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Dividend and Growth Fund

 

R5

 

1,753,888.81

 

19

%

 

MAC & CO A/C FBO PROFIT SHARING BALANCED TOWARD

 

Pittsburgh PA

 

The Hartford Dividend and Growth Fund

 

R5

 

1,329,654.61

 

15

%

 

MAC & CO A/C FBO PROFIT SHARING ALL EQUITY

 

Pittsburgh PA

 

The Hartford Dividend and Growth Fund

 

R5

 

1,275,292.54

 

14

%

 

MAC & CO A/C FBO PROFIT SHARING-GROWTH FOCUS

 

Pittsburgh PA

 

The Hartford Dividend and Growth Fund

 

R5

 

645,408.99

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Dividend and Growth Fund

 

R5

 

603,429.71

 

7

%

 

MAC & CO A/C FBO PROFIT SHARING- BALANCED

 

Pittsburgh PA

 

The Hartford Dividend and Growth Fund

 

R6

 

399.53

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Dividend and Growth Fund

 

Y

 

25,307,242.69

 

49

%

 

HARTFORD CHECKS AND BALANCES FUND

 

Radnor PA

 

The Hartford Dividend and Growth Fund

 

Y

 

6,825,844.51

 

13

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Dividend and Growth Fund

 

Y

 

3,669,591.21

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Dividend and Growth Fund

 

Y

 

3,004,738.35

 

6

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

Hartford Duration-Hedged Strategic Income Fund

 

A

 

504,641.62

 

54

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Duration-Hedged Strategic Income Fund

 

A

 

163,396.48

 

18

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Duration-Hedged Strategic Income Fund

 

A

 

130,250.77

 

14

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Duration-Hedged Strategic Income Fund

 

A

 

54,199.88

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Duration-Hedged Strategic Income Fund

 

C

 

56,811.67

 

25

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Duration-Hedged Strategic Income Fund

 

C

 

47,045.09

 

21

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Duration-Hedged Strategic Income Fund

 

C

 

42,849.53

 

19

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Duration-Hedged Strategic Income Fund

 

C

 

24,130.17

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Duration-Hedged Strategic Income Fund

 

C

 

17,196.16

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Duration-Hedged Strategic Income Fund

 

I

 

43,675.04

 

88

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Duration-Hedged Strategic Income Fund

 

I

 

2,765.95

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Duration-Hedged Strategic Income Fund

 

R3

 

43,111.20

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Duration-Hedged Strategic Income Fund

 

R4

 

43,357.79

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Duration-Hedged Strategic Income Fund

 

R5

 

43,605.62

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Duration-Hedged Strategic Income Fund

 

Y

 

196,599.02

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

A

 

599,428.61

 

53

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Emerging Markets Equity Fund

 

A

 

72,781.69

 

6

%

 

COATES FAMILY LLC 23005 N 74TH ST UNIT 1314

 

Scottsdale AZ

 

Hartford Emerging Markets Equity Fund

 

C

 

139,101.80

 

45

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

C

 

22,270.52

 

7

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Emerging Markets Equity Fund

 

I

 

224,660.43

 

60

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

I

 

61,510.13

 

16

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Emerging Markets Equity Fund

 

I

 

31,143.04

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Emerging Markets Equity Fund

 

I

 

26,880.45

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Emerging Markets Equity Fund

 

R3

 

220,304.15

 

91

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

R3

 

13,531.05

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Emerging Markets Equity Fund

 

R4

 

222,125.31

 

99

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

R5

 

224,415.11

 

100

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

Hartford Emerging Markets Equity Fund

 

Y

 

10,529,183.36

 

45

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

Hartford Emerging Markets Equity Fund

 

Y

 

4,915,037.24

 

21

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

Hartford Emerging Markets Equity Fund

 

Y

 

4,367,648.84

 

19

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

Hartford Emerging Markets Equity Fund

 

Y

 

1,938,456.60

 

8

%

 

GOLDMAN SACHS & CO C/O MUTUAL FUND OPS

 

Salt Lake City UT

 

The Hartford Emerging Markets Local Debt Fund

 

A

 

377,988.64

 

45

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Emerging Markets Local Debt Fund

 

A

 

208,214.09

 

25

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Emerging Markets Local Debt Fund

 

A

 

73,908.76

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Emerging Markets Local Debt Fund

 

C

 

44,406.54

 

25

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Emerging Markets Local Debt Fund

 

C

 

39,906.03

 

23

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Emerging Markets Local Debt Fund

 

C

 

16,768.83

 

9

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Emerging Markets Local Debt Fund

 

C

 

9,719.63

 

5

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

62,648.33

 

24

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

38,049.90

 

14

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

29,353.34

 

11

%

 

JAMES W VALONE 205 RICE RD

 

Wayland MA

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

25,226.69

 

9

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

23,905.37

 

9

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Emerging Markets Local Debt Fund

 

I

 

20,323.20

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

16,812.63

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Emerging Markets Local Debt Fund

 

I

 

16,374.54

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Emerging Markets Local Debt Fund

 

R3

 

238,437.59

 

100

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

The Hartford Emerging Markets Local Debt Fund

 

R4

 

241,674.00

 

98

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

The Hartford Emerging Markets Local Debt Fund

 

R5

 

244,947.40

 

100

%

 

HARTFORD LIFE & ANNUITY 1 HARTFORD PLZ

 

Hartford CT

 

The Hartford Emerging Markets Local Debt Fund

 

Y

 

19,162,274.45

 

76

%

 

GOLDMAN SACHS & CO C/O MUTUAL FUND OPS

 

Salt Lake City UT

 

The Hartford Emerging Markets Local Debt Fund

 

Y

 

3,427,124.48

 

14

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Emerging Markets Local Debt Fund

 

Y

 

2,432,855.95

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

A

 

64,016,522.79

 

68

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Equity Income Fund

 

B

 

435,963.73

 

63

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Equity Income Fund

 

B

 

47,226.08

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Equity Income Fund

 

B

 

43,230.53

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

C

 

3,852,059.05

 

16

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Equity Income Fund

 

C

 

3,708,787.21

 

15

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Equity Income Fund

 

C

 

2,421,913.12

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Equity Income Fund

 

C

 

2,082,501.52

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

C

 

1,981,436.42

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

C

 

1,800,486.90

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

C

 

1,779,773.96

 

7

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Equity Income Fund

 

C

 

1,625,389.08

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Equity Income Fund

 

C

 

1,564,988.82

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Equity Income Fund

 

I

 

16,315,554.55

 

37

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Equity Income Fund

 

I

 

4,209,130.09

 

9

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

I

 

3,990,723.06

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

I

 

3,853,499.34

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Equity Income Fund

 

I

 

3,726,309.77

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

I

 

3,281,071.23

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Equity Income Fund

 

I

 

2,552,266.06

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Equity Income Fund

 

I

 

2,541,025.22

 

6

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Equity Income Fund

 

I

 

2,339,985.98

 

5

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Equity Income Fund

 

R3

 

1,722,132.60

 

58

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Equity Income Fund

 

R3

 

160,927.34

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Equity Income Fund

 

R4

 

1,012,556.04

 

26

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Equity Income Fund

 

R4

 

659,204.29

 

17

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Equity Income Fund

 

R4

 

473,431.56

 

12

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Equity Income Fund

 

R4

 

253,590.17

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

R4

 

239,201.48

 

6

%

 

MATRIX TRUST CO AS CUSTOMER FBO PRENT EMPLOYEES' PROFIT SHARING TRUST

 

Phoenix AZ

 

The Hartford Equity Income Fund

 

R5

 

612,935.18

 

16

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

R5

 

485,504.10

 

12

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Equity Income Fund

 

R5

 

381,275.70

 

10

%

 

FIIOC FBO JIM KOONS MANAGEMENT

 

Covington KY

 

The Hartford Equity Income Fund

 

R5

 

312,656.63

 

8

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Equity Income Fund

 

R5

 

202,562.72

 

5

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Equity Income Fund

 

R6

 

655,784.75

 

89

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Equity Income Fund

 

R6

 

78,365.79

 

11

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

The Hartford Equity Income Fund

 

Y

 

5,363,599.17

 

42

%

 

WEST VIRGINIA SAVINGS PLAN COMM EST WEST VIRGINIA SAVINGS PLAN

 

Wayne PA

 

The Hartford Equity Income Fund

 

Y

 

1,280,439.50

 

10

%

 

SEI PRIVATE TRUST COMPANY C/O ID 839 EDWARD JONES TRUST CO

 

Oaks PA

 

The Hartford Equity Income Fund

 

Y

 

1,257,961.87

 

10

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford Equity Income Fund

 

Y

 

682,046.41

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

A

 

23,188,331.56

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Floating Rate Fund

 

A

 

18,112,007.19

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

A

 

14,196,452.87

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

A

 

10,847,916.80

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate Fund

 

A

 

7,920,714.25

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Floating Rate Fund

 

A

 

7,657,544.70

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate Fund

 

A

 

6,881,085.99

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

A

 

6,851,056.57

 

5

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Floating Rate Fund

 

B

 

147,716.23

 

17

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

B

 

143,519.91

 

16

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Floating Rate Fund

 

B

 

124,358.89

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

B

 

106,862.47

 

12

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

B

 

98,156.57

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Floating Rate Fund

 

B

 

57,577.30

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate Fund

 

C

 

30,530,727.97

 

18

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate Fund

 

C

 

26,844,221.14

 

16

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

C

 

21,777,228.04

 

13

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

C

 

14,510,201.96

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Floating Rate Fund

 

C

 

12,698,850.69

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

C

 

12,579,880.94

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Floating Rate Fund

 

C

 

10,305,831.79

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

C

 

9,819,241.64

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate Fund

 

I

 

31,721,739.76

 

16

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

I

 

30,769,442.31

 

16

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

I

 

25,888,940.51

 

13

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Floating Rate Fund

 

I

 

22,332,732.90

 

11

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Floating Rate Fund

 

I

 

20,565,438.02

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate Fund

 

I

 

17,049,883.64

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

I

 

12,831,864.71

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

I

 

10,086,578.76

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate Fund

 

R3

 

343,478.15

 

21

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

R3

 

147,235.78

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

R3

 

102,967.64

 

6

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford Floating Rate Fund

 

R3

 

84,176.69

 

5

%

 

FIRST CLEARING LLC A/C MARKET ST

 

Saint Louis MO

 

The Hartford Floating Rate Fund

 

R4

 

426,590.03

 

39

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate Fund

 

R4

 

135,048.12

 

12

%

 

FIIOC FBO CLIPPARD INSTRUMENT LABS INC

 

Covington KY

 

The Hartford Floating Rate Fund

 

R4

 

101,609.24

 

9

%

 

COMMUNITY BANK NA CUSTOMER FBO CLIENTS OF BPA-HARBRIDGE RET PL

 

Utica NY

 

The Hartford Floating Rate Fund

 

R4

 

100,962.82

 

9

%

 

DWS TRUST CO FBO ROCKLAND TRUST CO

 

Salem NH

 

The Hartford Floating Rate Fund

 

R5

 

55,271.23

 

16

%

 

MITRA & CO FBO NJ C/O BMO HARRIS BANK NA ATTN MF

 

Green Bay WI

 

The Hartford Floating Rate Fund

 

R5

 

36,622.38

 

11

%

 

MARIL & CO FBO NJ C/O BMO HARRIS BANK NA ATTN MF

 

Green Bay WI

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate Fund

 

R5

 

33,300.14

 

10

%

 

ASCENSUS TRUST COMPANY FBO DANIEL, MEDLEY & KIRBY, PC 401(K)

 

Fargo ND

 

The Hartford Floating Rate Fund

 

R5

 

26,269.46

 

8

%

 

MID ATLANTIC TRUST COMPANY FBO ELDER GAFFEY & PAINE P C 401 K

 

Pittsburgh PA

 

The Hartford Floating Rate Fund

 

R5

 

25,340.05

 

8

%

 

ASCENSUS TRUST COMPANY FBO RAWLS & MCNELIS, PC 401(K) PLAN 68

 

Fargo ND

 

The Hartford Floating Rate Fund

 

R5

 

24,040.74

 

7

%

 

TD AMERITRADE TRUST COMPANY HOUSE

 

Denver CO

 

The Hartford Floating Rate Fund

 

R5

 

17,476.11

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate Fund

 

Y

 

33,154,596.48

 

71

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Floating Rate Fund

 

Y

 

8,130,334.47

 

17

%

 

MORI & CO 922 WALNUT ST

 

Kansas City MO

 

The Hartford Floating Rate High Income Fund

 

A

 

4,291,506.51

 

32

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Floating Rate High Income Fund

 

A

 

1,748,715.86

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

A

 

1,644,501.24

 

12

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate High Income Fund

 

A

 

1,225,260.89

 

9

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate High Income Fund

 

A

 

1,178,476.92

 

9

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Floating Rate High Income Fund

 

A

 

740,851.45

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

C

 

1,839,555.23

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Floating Rate High Income Fund

 

C

 

1,483,733.87

 

15

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Floating Rate High Income Fund

 

C

 

1,289,692.52

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

C

 

1,162,067.93

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate High Income Fund

 

C

 

823,188.96

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Floating Rate High Income Fund

 

C

 

820,637.10

 

8

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Floating Rate High Income Fund

 

C

 

777,627.89

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate High Income Fund

 

C

 

732,785.00

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

I

 

3,562,008.12

 

24

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

I

 

2,830,296.76

 

19

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Floating Rate High Income Fund

 

I

 

1,885,642.84

 

13

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Floating Rate High Income Fund

 

I

 

1,685,520.88

 

11

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

I

 

1,638,376.53

 

11

%

 

TD AMERITRADE INC FBO OUR CUSTOMERS

 

Omaha NE

 

The Hartford Floating Rate High Income Fund

 

I

 

994,377.28

 

7

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Floating Rate High Income Fund

 

I

 

880,336.35

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

I

 

848,539.61

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate High Income Fund

 

R3

 

40,005.91

 

47

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Floating Rate High Income Fund

 

R3

 

19,273.36

 

23

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate High Income Fund

 

R3

 

14,374.07

 

17

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Floating Rate High Income Fund

 

R4

 

252,053.80

 

84

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Floating Rate High Income Fund

 

R4

 

22,534.71

 

7

%

 

FIIOC FBO AZRAEL FRANZ SCHWAB & LIPOWITZ LLC 401K PS PLAN

 

Covington KY

 

The Hartford Floating Rate High Income Fund

 

R4

 

22,063.46

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Floating Rate High Income Fund

 

R5

 

255,157.84

 

87

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Floating Rate High Income Fund

 

R5

 

37,126.83

 

13

%

 

TD AMERITRADE INC FBO OUR CUSTOMERS

 

Omaha NE

 

The Hartford Floating Rate High Income Fund

 

Y

 

251,864.95

 

50

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Floating Rate High Income Fund

 

Y

 

135,915.28

 

27

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Floating Rate High Income Fund

 

Y

 

110,471.43

 

22

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global All-Asset Fund

 

A

 

7,622,901.32

 

52

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Global All-Asset Fund

 

A

 

1,175,845.30

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

C

 

1,644,281.93

 

18

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Global All-Asset Fund

 

C

 

1,135,624.69

 

13

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

C

 

923,081.29

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Global All-Asset Fund

 

C

 

800,602.67

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Global All-Asset Fund

 

C

 

769,617.25

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Global All-Asset Fund

 

C

 

739,856.67

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

C

 

476,742.25

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global All-Asset Fund

 

I

 

2,342,916.43

 

37

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Global All-Asset Fund

 

I

 

1,039,133.48

 

17

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

I

 

614,115.52

 

10

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Global All-Asset Fund

 

I

 

493,524.41

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Global All-Asset Fund

 

I

 

468,194.93

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Global All-Asset Fund

 

I

 

330,280.15

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

R3

 

105,595.53

 

51

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Global All-Asset Fund

 

R3

 

14,821.24

 

7

%

 

ASCENSUS TRUST COMPANY FBO S SQUARED 401K

 

Fargo ND

 

The Hartford Global All-Asset Fund

 

R3

 

14,305.65

 

7

%

 

PAI TRUST COMPANY, INC JOSEPH L. SUPPA & SONS, INC. 401(K)

 

De Pere WI

 

The Hartford Global All-Asset Fund

 

R4

 

68,155.78

 

54

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Global All-Asset Fund

 

R4

 

22,865.41

 

18

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global All-Asset Fund

 

R4

 

7,371.44

 

6

%

 

FIICO FBO HARRISON BETTIS STAFF MCFARLAND & WEEMS LLP 401K PLAN

 

Covington KY

 

The Hartford Global All-Asset Fund

 

R5

 

56,854.75

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global All-Asset Fund

 

Y

 

1,687,019.25

 

62

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

Y

 

456,374.83

 

17

%

 

MARIL & CO FBO 5A C/O BMO HARRIS BANK NA ATTN MF

 

Green Bay WI

 

The Hartford Global All-Asset Fund

 

Y

 

392,500.26

 

14

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global All-Asset Fund

 

Y

 

170,710.03

 

6

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Global Alpha Fund

 

A

 

444,881.08

 

91

%

 

WILLIAM MEANEY ADMINISTRATOR HARTFORD LIFE AND ANNUITY

 

Hartford CT

 

The Hartford Global Alpha Fund

 

C

 

200,000.00

 

93

%

 

HARTFORD LIFE & ANNUITY PO BOX 1744

 

Hartford CT

 

The Hartford Global Alpha Fund

 

I

 

184,084.21

 

72

%

 

HARTFORD LIFE & ANNUITY INS CO C/O PORTFOLIO SUPPORT 9TH FL

 

Hartford CT

 

The Hartford Global Alpha Fund

 

I

 

50,982.37

 

20

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Global Alpha Fund

 

I

 

15,915.79

 

6

%

 

WILLIAM MEANEY ADMINISTRATOR HARTFORD LIFE AND ANNUITY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global Alpha Fund

 

R3

 

200,000.00

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global Alpha Fund

 

R4

 

200,000.00

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global Alpha Fund

 

R5

 

200,000.00

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global Alpha Fund

 

Y

 

634,773.44

 

57

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Global Alpha Fund

 

Y

 

265,226.56

 

24

%

 

HARTFORD LIFE & ANNUITY INS CO C/O PORTFOLIO SUPPORT 9TH FL

 

Hartford CT

 

The Hartford Global Alpha Fund

 

Y

 

188,274.53

 

17

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

Hartford Global Capital Appreciation Fund

 

A

 

16,476,526.93

 

39

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Capital Appreciation Fund

 

A

 

3,409,348.01

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

A

 

2,399,728.54

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

B

 

259,316.84

 

20

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Capital Appreciation Fund

 

B

 

119,133.48

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Capital Appreciation Fund

 

B

 

114,652.33

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

B

 

95,471.62

 

8

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Hartford Global Capital Appreciation Fund

 

B

 

84,211.05

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

C

 

1,915,317.38

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

C

 

1,839,200.91

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Global Capital Appreciation Fund

 

C

 

1,773,351.85

 

11

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Global Capital Appreciation Fund

 

C

 

1,611,574.58

 

10

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

C

 

1,188,851.08

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

C

 

1,069,385.72

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Capital Appreciation Fund

 

C

 

997,168.65

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Global Capital Appreciation Fund

 

I

 

1,242,168.42

 

19

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Global Capital Appreciation Fund

 

I

 

1,055,556.79

 

16

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

I

 

927,938.21

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Global Capital Appreciation Fund

 

I

 

625,705.62

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

I

 

560,704.06

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Global Capital Appreciation Fund

 

I

 

480,159.11

 

7

%

 

UBS WM USA

 

Weehawken NJ

 

Hartford Global Capital Appreciation Fund

 

I

 

374,560.60

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Global Capital Appreciation Fund

 

R3

 

949,970.55

 

51

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Capital Appreciation Fund

 

R3

 

140,011.74

 

8

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER PL 300

 

Bakersfield CA

 

Hartford Global Capital Appreciation Fund

 

R4

 

199,263.84

 

24

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Global Capital Appreciation Fund

 

R4

 

197,031.08

 

23

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Hartford Global Capital Appreciation Fund

 

R4

 

112,213.75

 

13

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

Hartford Global Capital Appreciation Fund

 

R4

 

111,745.00

 

13

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

Hartford Global Capital Appreciation Fund

 

R5

 

8,507.70

 

26

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Global Capital Appreciation Fund

 

R5

 

7,058.56

 

22

%

 

FIIOC FBO OXFORD NETWORKS 401(K) PS PLAN

 

Covington KY

 

Hartford Global Capital Appreciation Fund

 

R5

 

5,672.83

 

17

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Capital Appreciation Fund

 

R5

 

2,726.87

 

8

%

 

LAZARI ASSET MANAGEMENT INC MICHAEL LAZARI KARAPETIAN

 

Toluca Lake CA

 

Hartford Global Capital Appreciation Fund

 

R5

 

2,289.52

 

7

%

 

MID ATLANTIC TRUST COMPANY FBO LYNCH RETIREMENT INVESTMENT 401 K

 

Pittsburgh PA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Capital Appreciation Fund

 

R5

 

1,848.07

 

6

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

Hartford Global Capital Appreciation Fund

 

Y

 

10,237,054.12

 

96

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

Hartford Global Equity Income Fund

 

A

 

6,890,770.92

 

70

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

B

 

32,004.49

 

29

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

B

 

14,816.56

 

13

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Hartford Global Equity Income Fund

 

B

 

10,481.45

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

B

 

10,251.89

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Equity Income Fund

 

C

 

185,419.09

 

15

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

C

 

138,422.78

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Equity Income Fund

 

C

 

130,294.01

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Global Equity Income Fund

 

C

 

109,533.30

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Equity Income Fund

 

C

 

108,513.64

 

9

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Hartford Global Equity Income Fund

 

C

 

82,857.92

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Global Equity Income Fund

 

C

 

68,123.38

 

5

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Global Equity Income Fund

 

I

 

91,175.18

 

27

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Global Equity Income Fund

 

I

 

85,264.86

 

25

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Global Equity Income Fund

 

I

 

47,477.56

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

I

 

32,551.81

 

9

%

 

UBS WM USA

 

Weehawken NJ

 

Hartford Global Equity Income Fund

 

I

 

28,823.00

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Global Equity Income Fund

 

I

 

19,825.60

 

6

%

 

CHARLES S ARGYLE SHEILA M ARGYLE JT WROS

 

Dover MA

 

Hartford Global Equity Income Fund

 

I

 

19,274.29

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Global Equity Income Fund

 

R3

 

28,659.55

 

69

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Global Equity Income Fund

 

R3

 

3,048.26

 

7

%

 

ASCENSUS TRUST COMPANY FBO LISA GUTTUSO KLENK MD 401K

 

Fargo ND

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Global Equity Income Fund

 

R3

 

2,923.13

 

7

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Global Equity Income Fund

 

R3

 

2,650.64

 

6

%

 

MID ATLANTIC TRUST COMPANY FBO MECHANICAL REPS INC 401 K PROFIT

 

Pittsburgh PA

 

Hartford Global Equity Income Fund

 

R3

 

2,602.80

 

6

%

 

ASCENSUS TRUST COMPANY FBO KENNETH E MACKENZIE ESQUIRE 401K

 

Fargo ND

 

Hartford Global Equity Income Fund

 

R4

 

39,210.88

 

83

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Global Equity Income Fund

 

R5

 

40,035.70

 

75

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Global Equity Income Fund

 

R5

 

13,212.91

 

25

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

Hartford Global Equity Income Fund

 

Y

 

15,044,319.99

 

97

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

The Hartford Global Real Asset Fund

 

A

 

1,519,980.25

 

54

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Global Real Asset Fund

 

A

 

207,598.26

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

A

 

143,879.47

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

C

 

178,448.92

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global Real Asset Fund

 

C

 

147,989.61

 

12

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

C

 

126,347.40

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

C

 

114,949.58

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Global Real Asset Fund

 

C

 

114,418.84

 

9

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Global Real Asset Fund

 

C

 

109,995.32

 

9

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Global Real Asset Fund

 

C

 

92,693.92

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

C

 

89,910.51

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Global Real Asset Fund

 

I

 

622,715.02

 

24

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

I

 

403,373.55

 

16

%

 

STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Global Real Asset Fund

 

I

 

335,033.50

 

13

%

 

SAXON & CO

 

Philadelphia PA

 

The Hartford Global Real Asset Fund

 

I

 

235,440.07

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global Real Asset Fund

 

I

 

216,112.55

 

8

%

 

STRAFE & CO FBO M D ANDERSON FOUNDATION

 

Newark DE

 

The Hartford Global Real Asset Fund

 

I

 

151,755.53

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

R3

 

4,352.96

 

30

%

 

FRONTIER TRUST COMPANY FBO MOBIUS HEALTHCARE CONSULTING 401 K

 

Fargo ND

 

The Hartford Global Real Asset Fund

 

R3

 

2,197.07

 

15

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Global Real Asset Fund

 

R3

 

2,101.26

 

14

%

 

ASCENSUS TRUST COMPANY FBO GEO IMAGING TECHNOLOGIES LLC 401K

 

Fargo ND

 

The Hartford Global Real Asset Fund

 

R3

 

1,893.46

 

13

%

 

ASCENSUS TRUST COMPANY FBO KENNETH E MACKENZIE ESQUIRE 401K

 

Fargo ND

 

The Hartford Global Real Asset Fund

 

R3

 

1,082.26

 

7

%

 

ASCENSUS TRUST COMPANY FBO CHARLES D KING IND K

 

Fargo ND

 

The Hartford Global Real Asset Fund

 

R3

 

809.69

 

6

%

 

ASCENSUS TRUST COMPANY FBO STEPHANIE CROWLEY INDIVIDUAL K 468

 

Fargo ND

 

The Hartford Global Real Asset Fund

 

R4

 

303,731.48

 

85

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER PL 709

 

Avon MN

 

The Hartford Global Real Asset Fund

 

R4

 

17,820.65

 

5

%

 

RELIANCE TRUST COMPANY FBO RETIREMENT PLANS SERVICED BY METLIF

 

Greenwood VLG CO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Global Real Asset Fund

 

R5

 

38,797.16

 

84

%

 

FIIOC FBO TORNIER INC 401K PLAN

 

Covington KY

 

The Hartford Global Real Asset Fund

 

R5

 

5,377.43

 

12

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Global Real Asset Fund

 

Y

 

9,703,292.42

 

33

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Global Real Asset Fund

 

Y

 

3,734,460.30

 

13

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford Global Real Asset Fund

 

Y

 

2,464,335.17

 

8

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford Global Real Asset Fund

 

Y

 

2,180,991.41

 

7

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Global Real Asset Fund

 

Y

 

1,873,002.90

 

6

%

 

NFS LLC FEBO THE NORTHERN TRUST COMPANY

 

Chicago IL

 

The Hartford Global Real Asset Fund

 

Y

 

1,851,901.30

 

6

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

The Hartford Growth Allocation Fund

 

A

 

16,723,738.85

 

33

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Growth Allocation Fund

 

A

 

4,357,181.52

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

A

 

2,919,063.11

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Allocation Fund

 

B

 

346,727.55

 

19

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Growth Allocation Fund

 

B

 

246,958.80

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

B

 

157,504.20

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

B

 

123,626.80

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Allocation Fund

 

C

 

1,658,488.48

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Growth Allocation Fund

 

C

 

1,633,822.87

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Allocation Fund

 

C

 

1,624,708.06

 

10

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Growth Allocation Fund

 

C

 

1,257,693.20

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

C

 

1,022,167.28

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Allocation Fund

 

C

 

854,416.23

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

I

 

173,867.99

 

23

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Growth Allocation Fund

 

I

 

140,478.43

 

19

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Growth Allocation Fund

 

I

 

127,380.54

 

17

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

I

 

100,396.95

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Allocation Fund

 

I

 

64,013.99

 

9

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Growth Allocation Fund

 

I

 

46,519.73

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Allocation Fund

 

R3

 

1,157,160.40

 

89

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Growth Allocation Fund

 

R4

 

958,355.86

 

79

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Allocation Fund

 

R4

 

108,549.21

 

9

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Growth Allocation Fund

 

R5

 

253,213.76

 

50

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Growth Allocation Fund

 

R5

 

230,815.21

 

46

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Healthcare Fund

 

A

 

8,996,857.03

 

38

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Healthcare Fund

 

A

 

3,608,463.61

 

15

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

A

 

2,092,740.85

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

A

 

1,526,022.41

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Healthcare Fund

 

B

 

40,688.65

 

23

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Healthcare Fund

 

B

 

34,465.62

 

19

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

B

 

9,857.93

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Healthcare Fund

 

C

 

1,534,907.24

 

17

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Healthcare Fund

 

C

 

1,281,768.22

 

14

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Healthcare Fund

 

C

 

1,117,711.51

 

12

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

C

 

1,084,093.84

 

12

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Healthcare Fund

 

C

 

699,978.47

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Healthcare Fund

 

C

 

686,058.39

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Healthcare Fund

 

C

 

551,614.52

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

C

 

497,028.70

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Healthcare Fund

 

I

 

2,559,582.98

 

38

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Healthcare Fund

 

I

 

1,126,216.96

 

17

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

I

 

850,117.80

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

I

 

555,191.56

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Healthcare Fund

 

I

 

428,211.26

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Healthcare Fund

 

I

 

407,766.75

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Healthcare Fund

 

R3

 

695,898.76

 

46

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Healthcare Fund

 

R3

 

477,993.92

 

31

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Healthcare Fund

 

R3

 

90,065.43

 

6

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford Healthcare Fund

 

R4

 

686,659.61

 

55

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Healthcare Fund

 

R4

 

224,686.70

 

18

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Healthcare Fund

 

R5

 

63,616.19

 

52

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

The Hartford Healthcare Fund

 

R5

 

16,568.55

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

R5

 

6,563.39

 

5

%

 

TD AMERITRADE TRUST COMPANY C/O HOUSE

 

Denver CO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Healthcare Fund

 

Y

 

138,199.58

 

53

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

The Hartford Healthcare Fund

 

Y

 

51,412.10

 

20

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Healthcare Fund

 

Y

 

26,936.71

 

10

%

 

WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS

 

Charlotte NC

 

The Hartford Healthcare Fund

 

Y

 

13,721.66

 

5

%

 

FIIOC FBO MGP INGREDIENTS NON-UNION 401(K)

 

Covington KY

 

The Hartford High Yield Fund

 

A

 

15,687,819.55

 

46

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford High Yield Fund

 

A

 

4,249,134.14

 

12

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford High Yield Fund

 

A

 

2,598,761.89

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford High Yield Fund

 

A

 

1,877,427.93

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford High Yield Fund

 

B

 

104,668.69

 

24

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford High Yield Fund

 

B

 

55,360.27

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford High Yield Fund

 

B

 

53,395.26

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford High Yield Fund

 

B

 

48,360.60

 

11

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford High Yield Fund

 

C

 

1,813,251.43

 

19

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford High Yield Fund

 

C

 

1,272,718.40

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford High Yield Fund

 

C

 

1,050,106.44

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford High Yield Fund

 

C

 

596,333.54

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford High Yield Fund

 

C

 

593,204.22

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford High Yield Fund

 

C

 

564,728.86

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford High Yield Fund

 

C

 

518,274.72

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford High Yield Fund

 

I

 

1,015,995.64

 

24

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford High Yield Fund

 

I

 

697,783.89

 

17

%

 

SEI PRIVATE TRUST COMPANY

 

Oaks PA

 

The Hartford High Yield Fund

 

I

 

606,951.85

 

15

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford High Yield Fund

 

I

 

442,105.31

 

11

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford High Yield Fund

 

I

 

367,160.25

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford High Yield Fund

 

I

 

293,354.60

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford High Yield Fund

 

R3

 

86,176.51

 

28

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford High Yield Fund

 

R3

 

48,990.28

 

16

%

 

ASCENSUS TRUST COMPANY FBO VILLAGE CERAMICS INC PROFIT SHARI

 

Fargo ND

 

The Hartford High Yield Fund

 

R3

 

22,588.09

 

7

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL PREM

 

Atlanta GA

 

The Hartford High Yield Fund

 

R4

 

72,106.99

 

40

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford High Yield Fund

 

R4

 

22,143.52

 

12

%

 

FIIOC FBO WEASTEC INC RETIREMENT

 

Covington KY

 

The Hartford High Yield Fund

 

R4

 

13,308.47

 

7

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT TWELVE

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford High Yield Fund

 

R4

 

12,492.68

 

7

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford High Yield Fund

 

R5

 

34,140.98

 

50

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford High Yield Fund

 

R5

 

14,914.69

 

22

%

 

LUKE DAHLHEIMER FBO DAHLHEIMER BEVERAGE LLC 401 K

 

Monticello MN

 

The Hartford High Yield Fund

 

R5

 

5,340.67

 

8

%

 

MICHAEL GUOKAS FBO SUNCOAST DENTAL CENTER PA 401K PSP

 

Naples FL

 

The Hartford High Yield Fund

 

R5

 

5,035.10

 

7

%

 

CHEM-NUT INC TRUSTEE FBO CHEM-NUT INC 401K PSP

 

Greenwood VLG CO

 

The Hartford High Yield Fund

 

R5

 

4,326.92

 

6

%

 

ASCENSUS TRUST COMPANY FBO MICHAEL'S APPLIANCE SALES & SVC INC

 

Fargo ND

 

The Hartford High Yield Fund

 

Y

 

1,065,444.85

 

99

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Inflation Plus Fund

 

A

 

6,937,966.35

 

29

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

A

 

2,606,289.10

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

A

 

1,894,032.54

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Inflation Plus Fund

 

A

 

1,781,735.84

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

B

 

223,476.19

 

23

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

B

 

144,880.48

 

15

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

B

 

132,595.01

 

14

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

B

 

109,078.48

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Inflation Plus Fund

 

B

 

66,754.60

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

B

 

52,829.47

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Inflation Plus Fund

 

C

 

2,274,439.30

 

13

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

C

 

1,976,483.07

 

12

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Inflation Plus Fund

 

C

 

1,810,963.48

 

11

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Inflation Plus Fund

 

C

 

1,615,785.80

 

9

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

C

 

1,483,149.47

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

C

 

1,467,515.80

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

C

 

1,304,385.31

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Inflation Plus Fund

 

C

 

1,155,837.18

 

7

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Inflation Plus Fund

 

C

 

935,678.42

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Inflation Plus Fund

 

I

 

1,530,775.48

 

26

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

I

 

1,105,126.26

 

19

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Inflation Plus Fund

 

I

 

927,532.78

 

16

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Inflation Plus Fund

 

I

 

863,455.61

 

15

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Inflation Plus Fund

 

I

 

422,533.67

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Inflation Plus Fund

 

R3

 

4,790,034.59

 

82

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Inflation Plus Fund

 

R4

 

732,952.91

 

41

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Inflation Plus Fund

 

R4

 

330,303.49

 

19

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Inflation Plus Fund

 

R4

 

134,592.51

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

R4

 

98,707.31

 

6

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford Inflation Plus Fund

 

R5

 

66,382.18

 

20

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Inflation Plus Fund

 

R5

 

47,519.92

 

14

%

 

FIIOC FBO TIMBERLANE DENTAL ASSOCIATES

 

Covington KY

 

The Hartford Inflation Plus Fund

 

R5

 

33,159.07

 

10

%

 

FIIOC FBO WEILER CORPORATION

 

Covington KY

 

The Hartford Inflation Plus Fund

 

R5

 

20,787.43

 

6

%

 

FIIOC FBO NGC 401K PLAN

 

Covington KY

 

The Hartford Inflation Plus Fund

 

R5

 

17,429.76

 

5

%

 

FIIOC FBO UNIVERSITY EMERGENCY MEDICINE

 

Covington KY

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Inflation Plus Fund

 

Y

 

7,299,806.68

 

37

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford Inflation Plus Fund

 

Y

 

3,469,474.58

 

18

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Inflation Plus Fund

 

Y

 

3,444,538.26

 

18

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

The Hartford Inflation Plus Fund

 

Y

 

2,001,919.18

 

10

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

Hartford International Equity Fund

 

A

 

639,131.55

 

46

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford International Equity Fund

 

A

 

141,140.55

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford International Equity Fund

 

A

 

109,673.37

 

8

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford International Equity Fund

 

A

 

87,096.17

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford International Equity Fund

 

B

 

61,589.33

 

70

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford International Equity Fund

 

B

 

15,322.18

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford International Equity Fund

 

C

 

46,783.71

 

15

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford International Equity Fund

 

C

 

33,954.87

 

11

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford International Equity Fund

 

C

 

31,758.24

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford International Equity Fund

 

C

 

20,717.95

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford International Equity Fund

 

C

 

19,616.27

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford International Equity Fund

 

I

 

243,772.85

 

50

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford International Equity Fund

 

I

 

111,987.07

 

23

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford International Equity Fund

 

I

 

32,886.04

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford International Equity Fund

 

I

 

30,802.41

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford International Equity Fund

 

I

 

28,000.35

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford International Equity Fund

 

I

 

27,454.67

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford International Equity Fund

 

R3

 

107,728.45

 

83

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford International Equity Fund

 

R3

 

9,312.55

 

7

%

 

KURT HARRIS TRUSTEE FBO KURT HARRIS ATTORNEY AT LAW

 

Du Quoin IL

 

Hartford International Equity Fund

 

R4

 

109,673.47

 

90

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford International Equity Fund

 

R5

 

111,664.25

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford International Equity Fund

 

Y

 

1,121,387.30

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford International Growth Fund

 

A

 

5,107,576.03

 

53

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Growth Fund

 

A

 

635,734.39

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Growth Fund

 

B

 

73,385.67

 

38

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Growth Fund

 

B

 

10,697.25

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Growth Fund

 

B

 

10,647.95

 

5

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Growth Fund

 

B

 

10,444.25

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Growth Fund

 

C

 

274,672.15

 

17

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Growth Fund

 

C

 

162,579.52

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Growth Fund

 

C

 

116,452.47

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Growth Fund

 

C

 

111,395.20

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford International Growth Fund

 

C

 

100,910.74

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford International Growth Fund

 

C

 

84,079.08

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Growth Fund

 

I

 

697,584.63

 

23

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Growth Fund

 

I

 

425,114.83

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Growth Fund

 

I

 

395,874.49

 

13

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford International Growth Fund

 

I

 

366,414.96

 

12

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Growth Fund

 

I

 

348,514.15

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Growth Fund

 

I

 

232,540.38

 

8

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford International Growth Fund

 

I

 

167,352.85

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Growth Fund

 

R3

 

41,508.16

 

44

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Growth Fund

 

R3

 

11,539.96

 

12

%

 

MID ATLANTIC TRUST COMPANY FBO OEC FREIGHT 401(K) PROFIT SHARING P

 

Pittsburgh PA

 

The Hartford International Growth Fund

 

R3

 

4,986.49

 

5

%

 

STATE STREET BANK AND TRUST CO CUSTOMER FBO THE FIRST NATIONAL BANK

 

Sycamore OH

 

The Hartford International Growth Fund

 

R4

 

336,196.29

 

69

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Growth Fund

 

R4

 

47,669.64

 

10

%

 

ASCENSUS TRUST COMPANY FBO ALTERNATE SOLUTIONS HEALTHCARE SYST

 

Fargo ND

 

The Hartford International Growth Fund

 

R4

 

27,238.67

 

6

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K — FG

 

Greenwood VLG CO

 

The Hartford International Growth Fund

 

R4

 

24,552.85

 

5

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Growth Fund

 

R5

 

124,746.38

 

24

%

 

FIIOC FBO LOJACK CORPORATION 401K

 

Covington KY

 

The Hartford International Growth Fund

 

R5

 

107,909.46

 

21

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER PL 719

 

Urbandale IA

 

The Hartford International Growth Fund

 

R5

 

103,723.82

 

20

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford International Growth Fund

 

R5

 

68,190.11

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Growth Fund

 

R5

 

46,950.84

 

9

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford International Growth Fund

 

Y

 

1,763,303.45

 

58

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford International Growth Fund

 

Y

 

740,068.81

 

24

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford International Growth Fund

 

Y

 

240,075.02

 

8

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

The Hartford International Growth Fund

 

Y

 

159,787.97

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

A

 

25,238,725.84

 

70

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Opportunities Fund

 

A

 

2,246,400.36

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

B

 

98,386.62

 

31

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

B

 

32,482.69

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

B

 

23,757.98

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

B

 

16,978.83

 

5

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

C

 

606,699.04

 

13

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

C

 

605,999.22

 

13

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

C

 

433,689.81

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

C

 

314,486.55

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Opportunities Fund

 

C

 

291,700.94

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Opportunities Fund

 

C

 

286,986.39

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

C

 

279,196.05

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

C

 

229,375.38

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford International Opportunities Fund

 

I

 

1,306,692.50

 

19

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

I

 

1,024,259.18

 

15

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

I

 

850,598.26

 

12

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Opportunities Fund

 

I

 

805,597.01

 

12

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

I

 

613,057.05

 

9

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Opportunities Fund

 

I

 

562,677.98

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

I

 

397,366.21

 

6

%

 

FIFTH THIRD BANK CUSTOMER FBO FIDUCIARY TECH PARTNERS

 

Cincinnati OH

 

The Hartford International Opportunities Fund

 

I

 

352,910.89

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford International Opportunities Fund

 

R3

 

1,534,258.56

 

47

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford International Opportunities Fund

 

R3

 

535,059.24

 

16

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford International Opportunities Fund

 

R3

 

296,026.70

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Opportunities Fund

 

R3

 

202,074.93

 

6

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford International Opportunities Fund

 

R4

 

1,996,304.70

 

25

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

R4

 

1,544,273.63

 

20

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford International Opportunities Fund

 

R4

 

772,567.84

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Opportunities Fund

 

R4

 

610,298.33

 

8

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford International Opportunities Fund

 

R5

 

3,366,679.85

 

53

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

R5

 

418,849.72

 

7

%

 

TIAA-CREF TRUST CO CUSTOMER/TRUSTEE FBO RETIREMENT PLANS FOR WHICH

 

Saint Louis MO

 

The Hartford International Opportunities Fund

 

R5

 

350,224.81

 

5

%

 

GREAT WEST TRUST CO LLC FBO RECORDKEEPING FOR VARIOUS BENE

 

Greenwood VLG CO

 

The Hartford International Opportunities Fund

 

R6

 

182,663.35

 

95

%

 

NEW YORK LIFE TRUST COMPANY

 

Parsippany NJ

 

The Hartford International Opportunities Fund

 

Y

 

17,576,100.74

 

41

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Opportunities Fund

 

Y

 

11,054,042.10

 

26

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford International Opportunities Fund

 

Y

 

2,889,270.18

 

7

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford International Opportunities Fund

 

Y

 

2,513,227.85

 

6

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 
The Hartford International Small Company Fund 

A

 

1,413,831.57

 

27

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Small Company Fund

 

A

 

425,909.59

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

A

 

301,570.31

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

B

 

8,272.85

 

11

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Small Company Fund

 

B

 

5,915.72

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

B

 

5,018.07

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

B

 

4,077.08

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Small Company Fund

 

C

 

195,847.27

 

17

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Small Company Fund

 

C

 

104,937.66

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford International Small Company Fund

 

C

 

89,753.83

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Small Company Fund

 

C

 

86,940.75

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford International Small Company Fund

 

C

 

70,649.74

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Small Company Fund

 

C

 

68,209.04

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

C

 

61,620.42

 

5

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

I

 

1,659,669.18

 

30

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford International Small Company Fund

 

I

 

648,556.54

 

12

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford International Small Company Fund

 

I

 

625,630.00

 

11

%

 

TD AMERITRADE INC FBO OUR CUSTOMERS

 

Omaha NE

 

The Hartford International Small Company Fund

 

I

 

573,273.41

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

I

 

527,051.04

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Small Company Fund

 

I

 

351,626.52

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Small Company Fund

 

I

 

281,603.19

 

5

%

 

RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING

 

Minneapolis MN

 

The Hartford International Small Company Fund

 

R3

 

635,257.76

 

91

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford International Small Company Fund

 

R4

 

363,453.05

 

71

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford International Small Company Fund

 

R4

 

126,418.04

 

25

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Small Company Fund

 

R5

 

8,311.39

 

25

%

 

FIIOC FBO WEST HERR EMPLOYEES

 

Covington KY

 

The Hartford International Small Company Fund

 

R5

 

7,186.88

 

22

%

 

MID ATLANTIC TRUST COMPANY FBO VANTAGE PARTNERS LLC 401 K PROFIT

 

Pittsburgh PA

 

The Hartford International Small Company Fund

 

R5

 

6,225.03

 

19

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

R5

 

3,580.28

 

11

%

 

TD AMERITRADE TRUST COMPANY C/O HOUSE

 

Denver CO

 

The Hartford International Small Company Fund

 

R5

 

2,361.13

 

7

%

 

PAI TRUST COMPANY INC WILLIAM A CLARK

 

De Pere WI

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Small Company Fund

 

R5

 

1,903.22

 

6

%

 

FIIOC FBO DEMAND MEDIA INC. 401K PLAN

 

Covington KY

 

The Hartford International Small Company Fund

 

Y

 

2,897,103.69

 

23

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford International Small Company Fund

 

Y

 

2,851,721.11

 

22

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford International Small Company Fund

 

Y

 

1,532,501.03

 

12

%

 

MAC & CO

 

Pittsburgh PA

 

The Hartford International Small Company Fund

 

Y

 

1,513,108.16

 

12

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford International Small Company Fund

 

Y

 

817,856.52

 

6

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford International Small Company Fund

 

Y

 

705,960.32

 

6

%

 

MITRA & CO FBO 98 C/O BMO HARRIS BANK NA ATTN MF

 

Green Bay WI

 

The Hartford International Small Company Fund

 

Y

 

676,150.57

 

5

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

The Hartford International Value Fund

 

A

 

21,062,210.07

 

79

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford International Value Fund

 

A

 

2,136,125.84

 

8

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford International Value Fund

 

C

 

550,024.29

 

17

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Value Fund

 

C

 

412,402.91

 

13

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Value Fund

 

C

 

332,967.18

 

10

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford International Value Fund

 

C

 

331,236.19

 

10

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Value Fund

 

C

 

309,621.28

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Value Fund

 

C

 

293,302.69

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford International Value Fund

 

I

 

13,587,391.01

 

28

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford International Value Fund

 

I

 

4,724,949.69

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford International Value Fund

 

I

 

2,591,147.08

 

5

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford International Value Fund

 

R3

 

55,816.08

 

62

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford International Value Fund

 

R3

 

11,510.40

 

13

%

 

PAI TRUST COMPANY, INC. NETPLUS MARKETING, INC.

 

De Pere WI

 

The Hartford International Value Fund

 

R3

 

5,152.59

 

6

%

 

MATRIX TRUST COMPANY CUSTOMER FBO IMPAQ INTERNATIONAL LLC

 

Denver CO

 

The Hartford International Value Fund

 

R4

 

56,401.32

 

33

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Value Fund

 

R4

 

26,508.32

 

16

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford International Value Fund

 

R4

 

18,695.92

 

11

%

 

FIIOC FBO DAVID L ADAMS ASSOCIATES INC PROFIT SHARING PENSION PLAN IRA

 

Covington KY

 

The Hartford International Value Fund

 

R4

 

18,199.22

 

11

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

The Hartford International Value Fund

 

R4

 

14,217.85

 

8

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/ CUSTODIAN

 

Boston MA

 

The Hartford International Value Fund

 

R4

 

10,182.09

 

6

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

The Hartford International Value Fund

 

R5

 

56,932.46

 

69

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford International Value Fund

 

R5

 

16,962.75

 

21

%

 

MID ATLANTIC TRUST COMPANY FBO MOORINGS PARK INSTITUTE INC TAX

 

Pittsburgh PA

 

The Hartford International Value Fund

 

R5

 

7,228.47

 

9

%

 

PAI TRUST COMPANY, INC. RONALD J. PUCCI D/B/A R.J. PUCCI PR

 

De Pere WI

 

The Hartford International Value Fund

 

Y

 

2,655,998.23

 

22

%

 

SEI PRIVATE TRUST COMPANY C/O STATE STREET BANK ID571

 

Oaks PA

 

The Hartford International Value Fund

 

Y

 

2,477,983.86

 

20

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford International Value Fund

 

Y

 

1,546,633.30

 

13

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford International Value Fund

 

Y

 

1,119,788.56

 

9

%

 

GOLDMAN SACHS & CO C/O MUTUAL FUND OPS

 

Salt Lake City UT

 

The Hartford International Value Fund

 

Y

 

1,037,983.74

 

8

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford International Value Fund

 

Y

 

810,332.68

 

7

%

 

THE COMMUNITY FOUNDATION FOR GREATER ATLANTA, INC

 

Atlanta GA

 

The Hartford International Value Fund

 

Y

 

720,346.17

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Long/Short Global Equity Fund

 

A

 

400,000.00

 

88

%

 

HARTFORD ACCIDENT & INDEMNITY COMPANY

 

Hartford CT

 

Hartford Long/Short Global Equity Fund

 

A

 

23,289.21

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Long/Short Global Equity Fund

 

C

 

200,000.00

 

85

%

 

HARTFORD ACCIDENT & INDEMNITY COMPANY

 

Hartford CT

 

Hartford Long/Short Global Equity Fund

 

C

 

14,691.48

 

6

%

 

BLUE STAR ENERGY MARK WILLIAMSON TRUSTEE IND (K)

 

Boulder CO

 

Hartford Long/Short Global Equity Fund

 

I

 

278,708.38

 

50

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

Hartford Long/Short Global Equity Fund

 

I

 

200,000.00

 

36

%

 

HARTFORD ACCIDENT & INDEMNITY COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Long/Short Global Equity Fund

 

I

 

32,112.11

 

6

%

 

STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Long/Short Global Equity Fund

 

Y

 

700,000.00

 

63

%

 

HARTFORD ACCIDENT & INDEMNITY COMPANY

 

Hartford CT

 

Hartford Long/Short Global Equity Fund

 

Y

 

407,747.20

 

37

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford MidCap Fund

 

A

 

34,546,058.37

 

44

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford MidCap Fund

 

A

 

6,079,401.08

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford MidCap Fund

 

A

 

5,310,289.03

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Fund

 

A

 

5,287,581.39

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

A

 

4,560,579.22

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Fund

 

B

 

564,953.48

 

47

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford MidCap Fund

 

B

 

105,008.08

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Fund

 

B

 

101,440.77

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Fund

 

B

 

62,626.63

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

C

 

7,204,065.05

 

24

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford MidCap Fund

 

C

 

4,698,766.46

 

15

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Fund

 

C

 

2,144,804.36

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Fund

 

C

 

1,904,934.41

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford MidCap Fund

 

C

 

1,853,818.05

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

C

 

1,849,271.21

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford MidCap Fund

 

C

 

1,672,720.07

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford MidCap Fund

 

I

 

7,507,188.59

 

28

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Fund

 

I

 

3,820,161.97

 

14

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford MidCap Fund

 

I

 

3,411,332.19

 

13

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford MidCap Fund

 

I

 

2,161,899.30

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Fund

 

I

 

1,881,446.01

 

7

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford MidCap Fund

 

I

 

1,871,293.87

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford MidCap Fund

 

I

 

1,796,506.02

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Fund

 

I

 

1,408,532.48

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Fund

 

I

 

1,350,387.55

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

R3

 

870,999.20

 

34

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford MidCap Fund

 

R3

 

202,212.71

 

8

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

The Hartford MidCap Fund

 

R3

 

166,683.52

 

6

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford MidCap Fund

 

R4

 

507,552.40

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Fund

 

R4

 

357,595.06

 

8

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford MidCap Fund

 

R4

 

357,359.11

 

8

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford MidCap Fund

 

R4

 

309,976.42

 

7

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Fund

 

R4

 

281,162.13

 

6

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford MidCap Fund

 

R5

 

1,890,648.04

 

35

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

R5

 

934,593.70

 

17

%

 

TIAA-CREF TRUST CO CUSTOMER/ TRUSTEE FBO RETIREMENT PLANS

 

Saint Louis MO

 

The Hartford MidCap Fund

 

R5

 

382,094.62

 

7

%

 

WELLS FARGO BANK FBO VARIOUS RETIREEMNT PLANS

 

Charlotte NC

 

The Hartford MidCap Fund

 

R5

 

307,591.77

 

6

%

 

DCGT AS TRUSTEE AND/OR CUSTOMER FBO PLIC VARIOUS RETIREMENT PLANS

 

Des Moines IA

 

The Hartford MidCap Fund

 

R6

 

33,490.89

 

82

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

R6

 

5,488.97

 

13

%

 

ASCENSUS TRUST COMPANY FBO CULLIGAN SOUTHWEST, INC 401(K) PS

 

Fargo ND

 

The Hartford MidCap Fund

 

Y

 

20,082,944.99

 

51

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Fund

 

Y

 

2,021,476.49

 

5

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford MidCap Value Fund

 

A

 

8,170,785.97

 

53

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Value Fund

 

A

 

1,099,967.27

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

B

 

28,916.37

 

28

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford MidCap Value Fund

 

B

 

10,652.44

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Value Fund

 

B

 

9,395.06

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

C

 

385,511.10

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford MidCap Value Fund

 

C

 

347,994.02

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Value Fund

 

C

 

323,172.37

 

10

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford MidCap Value Fund

 

C

 

226,203.53

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

C

 

211,570.14

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

C

 

179,178.98

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Value Fund

 

C

 

169,624.30

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Value Fund

 

C

 

165,614.16

 

5

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

I

 

541,967.31

 

27

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford MidCap Value Fund

 

I

 

243,750.37

 

12

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford MidCap Value Fund

 

I

 

228,223.41

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford MidCap Value Fund

 

I

 

206,105.90

 

10

%

 

JAMES N MORDY

 

Villanova PA

 

The Hartford MidCap Value Fund

 

I

 

166,705.68

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford MidCap Value Fund

 

I

 

149,652.79

 

7

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

I

 

148,826.94

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

R3

 

468,137.46

 

70

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford MidCap Value Fund

 

R3

 

55,413.21

 

8

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Value Fund

 

R3

 

40,003.14

 

6

%

 

MASSACHUSETTS MUTUAL LIFE INS CO

 

Springfield MA

 

The Hartford MidCap Value Fund

 

R4

 

341,348.34

 

39

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Value Fund

 

R4

 

159,468.46

 

18

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford MidCap Value Fund

 

R4

 

93,081.39

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Value Fund

 

R4

 

78,709.80

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford MidCap Value Fund

 

R4

 

69,357.73

 

8

%

 

FIIOC FBO MAN-DELL FOOD STORES INC PSP

 

Covington KY

 

The Hartford MidCap Value Fund

 

R5

 

191,313.25

 

39

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford MidCap Value Fund

 

R5

 

53,754.21

 

11

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

The Hartford MidCap Value Fund

 

R5

 

49,824.75

 

10

%

 

FIIOC FBO WYATT TECHNOLOGY CORP 401K PSP

 

Covington KY

 

The Hartford MidCap Value Fund

 

R5

 

40,514.80

 

8

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford MidCap Value Fund

 

Y

 

3,494,689.09

 

37

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

The Hartford MidCap Value Fund

 

Y

 

2,775,285.04

 

29

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford MidCap Value Fund

 

Y

 

806,698.97

 

8

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford MidCap Value Fund

 

Y

 

593,962.30

 

6

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford MidCap Value Fund

 

Y

 

588,022.12

 

6

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford MidCap Value Fund

 

Y

 

505,254.75

 

5

%

 

T. ROWE PRICE RETIREMENT PLAN SVCS FBO RETIREMENT PLAN CLIENTS

 

Owings Mills MD

 

Hartford Moderate Allocation Fund

 

A

 

16,043,363.65

 

46

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

A

 

2,750,816.22

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

A

 

1,872,319.83

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

B

 

268,647.43

 

26

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

B

 

138,786.08

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

B

 

122,354.50

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

B

 

95,533.23

 

9

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Moderate Allocation Fund

 

B

 

82,232.37

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

C

 

1,151,834.40

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

C

 

1,099,474.77

 

10

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Moderate Allocation Fund

 

C

 

1,003,304.46

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Moderate Allocation Fund

 

C

 

948,275.98

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

C

 

934,554.86

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

C

 

892,822.62

 

8

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

C

 

738,304.30

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

C

 

707,908.88

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Hartford Moderate Allocation Fund

 

I

 

201,346.47

 

25

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Moderate Allocation Fund

 

I

 

124,510.71

 

15

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

I

 

121,414.44

 

15

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

I

 

93,112.01

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Moderate Allocation Fund

 

I

 

86,552.66

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Moderate Allocation Fund

 

I

 

63,861.63

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Moderate Allocation Fund

 

I

 

56,488.45

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Moderate Allocation Fund

 

R3

 

1,883,446.28

 

88

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Hartford Moderate Allocation Fund

 

R4

 

521,295.83

 

67

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Hartford Moderate Allocation Fund

 

R4

 

116,770.00

 

15

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Moderate Allocation Fund

 

R4

 

41,237.50

 

5

%

 

CURT MAULER FBO L & M CONTRACTORS INC PROFIT

 

Ridgeland MS

 

Hartford Moderate Allocation Fund

 

R5

 

508,038.95

 

73

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Hartford Moderate Allocation Fund

 

R5

 

177,032.00

 

26

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

A

 

641,078.01

 

48

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

A

 

547,214.53

 

41

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Multi-Asset Income Fund

 

A

 

68,011.25

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Multi-Asset Income Fund

 

C

 

211,245.38

 

45

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

C

 

69,909.52

 

15

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Multi-Asset Income Fund

 

C

 

46,159.22

 

10

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Multi-Asset Income Fund

 

I

 

214,548.68

 

73

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

I

 

48,711.55

 

17

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Multi-Asset Income Fund

 

I

 

17,205.90

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Multi-Asset Income Fund

 

R3

 

212,612.09

 

100

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

R4

 

213,621.46

 

100

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

R5

 

214,263.59

 

100

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Multi-Asset Income Fund

 

Y

 

10,937,043.06

 

92

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

Hartford Multi-Asset Income Fund

 

Y

 

965,762.50

 

8

%

 

HARTFORD LIFE & ANNUITY C/O PORTFOLIO SUPPORT

 

Hartford CT

 

Hartford Municipal Income Fund

 

A

 

251,902.31

 

79

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Municipal Income Fund

 

A

 

55,860.06

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Municipal Income Fund

 

C

 

251,114.53

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Municipal Income Fund

 

I

 

504,329.69

 

97

%

 

WELLINGTON FINANCE & TREASURY LLC

 

Boston MA

 

The Hartford Municipal Opportunities Fund

 

A

 

6,765,121.89

 

26

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

A

 

3,051,687.97

 

12

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Municipal Opportunities Fund

 

A

 

2,455,675.13

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

A

 

2,300,265.91

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

A

 

2,094,898.56

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

A

 

1,939,965.53

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Municipal Opportunities Fund

 

A

 

1,498,694.51

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Municipal Opportunities Fund

 

A

 

1,434,837.07

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Municipal Opportunities Fund

 

A

 

1,400,252.41

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Opportunities Fund

 

B

 

79,913.81

 

29

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

B

 

66,755.00

 

24

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Municipal Opportunities Fund

 

B

 

65,981.31

 

24

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

C

 

2,050,897.22

 

18

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

C

 

1,774,370.77

 

15

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Opportunities Fund

 

C

 

1,724,956.18

 

15

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

C

 

1,339,481.77

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Municipal Opportunities Fund

 

C

 

1,072,702.24

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

C

 

872,868.02

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Municipal Opportunities Fund

 

C

 

604,229.25

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Opportunities Fund

 

I

 

6,286,593.17

 

30

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Opportunities Fund

 

I

 

2,973,761.50

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Municipal Opportunities Fund

 

I

 

2,752,701.57

 

13

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Municipal Opportunities Fund

 

I

 

2,129,750.69

 

10

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

I

 

2,007,956.17

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Municipal Opportunities Fund

 

I

 

1,108,315.31

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Municipal Short Duration Fund

 

A

 

250,772.86

 

56

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Municipal Short Duration Fund

 

A

 

156,683.43

 

35

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Municipal Short Duration Fund

 

A

 

37,885.94

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Municipal Short Duration Fund

 

C

 

250,065.57

 

66

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Municipal Short Duration Fund

 

C

 

61,646.49

 

16

%

 

RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING

 

Minneapolis MN

 

Hartford Municipal Short Duration Fund

 

C

 

41,806.71

 

11

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Municipal Short Duration Fund

 

I

 

502,058.45

 

99

%

 

WELLINGTON FINANCE & TREASURY LLC

 

Boston MA

 

The Hartford Quality Bond Fund

 

A

 

463,528.79

 

40

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

A

 

344,012.15

 

30

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Quality Bond Fund

 

A

 

165,812.97

 

14

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Quality Bond Fund

 

C

 

151,843.82

 

63

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

C

 

24,019.89

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Quality Bond Fund

 

C

 

18,880.01

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Quality Bond Fund

 

I

 

207,821.27

 

93

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

R3

 

204,800.75

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

R4

 

206,185.71

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

R5

 

207,596.57

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Quality Bond Fund

 

Y

 

2,423,300.17

 

53

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

The Hartford Quality Bond Fund

 

Y

 

1,190,154.40

 

26

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Quality Bond Fund

 

Y

 

935,242.30

 

21

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

A

 

38,731.44

 

51

%

 

STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Real Total Return Fund

 

A

 

10,342.40

 

14

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

A

 

7,394.58

 

10

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Real Total Return Fund

 

A

 

5,193.25

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Real Total Return Fund

 

C

 

10,345.30

 

38

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

C

 

2,862.03

 

11

%

 

STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Real Total Return Fund

 

C

 

2,666.58

 

10

%

 

STATE STREET BANK AND TRUST C/F TODD ADEN IRA

 

Gothenburg NE

 

Hartford Real Total Return Fund

 

C

 

2,385.20

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Real Total Return Fund

 

C

 

1,555.74

 

6

%

 

STATE STREET BANK AND TRUST C/F RANDY G BECK IRA

 

Randolph NE

 

Hartford Real Total Return Fund

 

C

 

1,479.29

 

6

%

 

JANNEY MONTGOMERY SCOTT LLC

 

Philadelphia PA

 

Hartford Real Total Return Fund

 

I

 

10,340.97

 

43

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Real Total Return Fund

 

I

 

7,265.95

 

30

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Real Total Return Fund

 

I

 

2,871.90

 

12

%

 

JANNEY MONTGOMERY SCOTT LLC

 

Philadelphia PA

 

Hartford Real Total Return Fund

 

I

 

2,671.61

 

11

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Real Total Return Fund

 

R3

 

10,343.85

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

R4

 

10,342.76

 

87

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

R4

 

1,480.53

 

13

%

 

ROBERT HAYDEN PC ROBERT W HAYDEN TRUSTEE IND (K)

 

Edmond OK

 

Hartford Real Total Return Fund

 

R5

 

10,341.69

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Real Total Return Fund

 

Y

 

8,308,684.99

 

58

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

Hartford Real Total Return Fund

 

Y

 

2,627,189.21

 

18

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

Hartford Real Total Return Fund

 

Y

 

2,570,877.93

 

18

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford Short Duration Fund

 

A

 

18,313,893.30

 

38

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

A

 

3,018,573.94

 

6

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Short Duration Fund

 

A

 

2,650,355.14

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Short Duration Fund

 

A

 

2,497,692.90

 

5

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

B

 

149,635.20

 

35

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

B

 

39,974.84

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

B

 

35,739.58

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

B

 

24,240.12

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Short Duration Fund

 

B

 

23,566.56

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Short Duration Fund

 

C

 

2,209,829.86

 

18

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

C

 

1,542,319.26

 

13

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

C

 

1,085,427.86

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Short Duration Fund

 

C

 

988,112.41

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Short Duration Fund

 

C

 

978,476.77

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Short Duration Fund

 

C

 

963,379.96

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

C

 

782,108.90

 

6

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

C

 

676,193.24

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Short Duration Fund

 

I

 

4,482,085.95

 

34

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Short Duration Fund

 

I

 

1,850,392.38

 

14

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

I

 

1,788,611.06

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Short Duration Fund

 

I

 

1,432,338.80

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

I

 

847,932.74

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

I

 

704,538.84

 

5

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Short Duration Fund

 

I

 

688,214.25

 

5

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Short Duration Fund

 

R3

 

26,898.45

 

24

%

 

FRONTIER TRUST COMPANY FBO WINICKI LAW FIRM INDIVIDUAL 401K PL

 

Fargo ND

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Short Duration Fund

 

R3

 

20,809.34

 

19

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Short Duration Fund

 

R3

 

11,417.58

 

10

%

 

ASCENSUS TRUST COMPANY FBO DAVID FRANK ANDERSON INDIVIDUAL 401

 

Fargo ND

 

The Hartford Short Duration Fund

 

R3

 

11,355.97

 

10

%

 

ASCENSUS TRUST COMPANY FBO DELZELL BROTHERS, INC 401(K) PLAN

 

Fargo ND

 

The Hartford Short Duration Fund

 

R3

 

11,287.71

 

10

%

 

ASCENSUS TRUST COMPANY FBO RESERVA INTERNATIONAL INDIVIDUAL 40

 

Fargo ND

 

The Hartford Short Duration Fund

 

R3

 

10,727.41

 

10

%

 

WILLIAM J MILLER DEFINED BENEFIT PENSION PLAN ACCT OF

 

Claflin KS

 

The Hartford Short Duration Fund

 

R4

 

21,636.57

 

31

%

 

WILLIAM J MILLER DEFINED BENEFIT PENSION PLAN ACCT OF

 

Claflin KS

 

The Hartford Short Duration Fund

 

R4

 

20,494.37

 

30

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Short Duration Fund

 

R4

 

9,729.11

 

14

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

R4

 

5,482.22

 

8

%

 

MICHAEL JAWAHIR TRUSTEE FBO AVIATION INTERNATIONAL RESOURCES

 

De Soto MO

 

The Hartford Short Duration Fund

 

R4

 

5,092.13

 

7

%

 

KENT CO CONSULTING INC 401K AND PROFIT SHARING PLAN

 

Columbia SC

 

The Hartford Short Duration Fund

 

R5

 

11,267.15

 

99

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Short Duration Fund

 

Y

 

545,596.17

 

35

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

The Hartford Short Duration Fund

 

Y

 

468,852.05

 

30

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford Short Duration Fund

 

Y

 

275,886.58

 

18

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Short Duration Fund

 

Y

 

258,186.74

 

17

%

 

GROUP INSURANCE SERVICES, INC. 1 CAMERON HILL CIRCLE

 

Chattanooga TN

 

Hartford Small Cap Core Fund

 

A

 

985,952.84

 

24

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Hartford Small Cap Core Fund

 

A

 

326,870.27

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Small Cap Core Fund

 

A

 

298,419.71

 

7

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Small Cap Core Fund

 

A

 

285,033.97

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

A

 

265,337.73

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

A

 

223,235.53

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Hartford Small Cap Core Fund

 

B

 

39,266.50

 

27

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Small Cap Core Fund

 

B

 

13,063.47

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Small Cap Core Fund

 

B

 

11,664.23

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

B

 

10,234.98

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

C

 

176,367.34

 

16

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Small Cap Core Fund

 

C

 

147,235.35

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

C

 

136,860.89

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Hartford Small Cap Core Fund

 

C

 

85,837.36

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Hartford Small Cap Core Fund

 

I

 

82,609.20

 

41

%

 

UBS WM USA

 

Weehawken NJ

 

Hartford Small Cap Core Fund

 

I

 

56,053.54

 

28

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Hartford Small Cap Core Fund

 

I

 

36,608.43

 

18

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Small Cap Core Fund

 

R3

 

21,533.36

 

32

%

 

DWS TRUST COMPANY FBO MIDWEST BANK GROUP INC IRA

 

Salem NH

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Small Cap Core Fund

 

R3

 

13,036.84

 

20

%

 

MG TRUST COMPANY CUSTOMER FBO MHAC 401 K SALARY REDUCTION PLAN A

 

Denver CO

 

Hartford Small Cap Core Fund

 

R3

 

6,332.00

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Small Cap Core Fund

 

R3

 

4,783.48

 

7

%

 

FIIOC FBO P.C. MECHANICAL INC.

 

Covington KY

 

Hartford Small Cap Core Fund

 

R3

 

4,754.91

 

7

%

 

ASCENSUS TRUST COMPANY FBO ADVANCED STRUCTURAL TECHNOLOGIES 40

 

Fargo ND

 

Hartford Small Cap Core Fund

 

R3

 

4,321.57

 

6

%

 

FIIOC FBO TEALIUM INC. 401(K) PLAN

 

Covington KY

 

Hartford Small Cap Core Fund

 

R4

 

22,105.29

 

48

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Hartford Small Cap Core Fund

 

R4

 

14,296.62

 

31

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Small Cap Core Fund

 

R4

 

8,885.30

 

19

%

 

FIIOC FBO QMEDTRIX SYSTEMS INC

 

Covington KY

 

Hartford Small Cap Core Fund

 

R5

 

14,398.07

 

84

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Hartford Small Cap Core Fund

 

R5

 

2,650.11

 

16

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

Y

 

45,520.34

 

41

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

Hartford Small Cap Core Fund

 

Y

 

31,276.13

 

28

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Hartford Small Cap Core Fund

 

Y

 

15,576.20

 

14

%

 

MID ATLANTIC TRUST COMPANY FBO ALEXANDER & PELLI, LLC 401(K)

 

Pittsburgh PA

 

Hartford Small Cap Core Fund

 

Y

 

10,237.14

 

9

%

 

HARTFORD LIFE & ANNUITY

 

Hartford CT

 

Hartford Small Cap Core Fund

 

Y

 

8,860.95

 

8

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Small Company Fund

 

A

 

6,900,639.31

 

41

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Small Company Fund

 

A

 

2,640,654.88

 

16

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

A

 

1,242,669.89

 

7

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Small Company Fund

 

A

 

973,185.17

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Small Company Fund

 

A

 

878,386.76

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Small Company Fund

 

B

 

39,895.75

 

25

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Small Company Fund

 

B

 

16,083.09

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Small Company Fund

 

B

 

15,219.82

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

B

 

11,439.75

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Small Company Fund

 

C

 

322,301.11

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Small Company Fund

 

C

 

208,893.00

 

9

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Small Company Fund

 

C

 

205,933.64

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Small Company Fund

 

C

 

178,834.29

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Small Company Fund

 

C

 

147,237.10

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Small Company Fund

 

C

 

146,943.63

 

6

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Small Company Fund

 

C

 

142,763.18

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

C

 

127,702.41

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Small Company Fund

 

I

 

2,018,482.40

 

58

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Small Company Fund

 

I

 

270,101.37

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Small Company Fund

 

I

 

234,242.54

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Small Company Fund

 

I

 

229,524.50

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Small Company Fund

 

I

 

201,040.91

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

R3

 

1,155,234.87

 

67

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Small Company Fund

 

R3

 

97,928.99

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

R4

 

955,525.84

 

49

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Small Company Fund

 

R4

 

186,490.25

 

10

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Small Company Fund

 

R4

 

167,103.40

 

9

%

 

WELLS FARGO BANK WEST NA FBO VARIOUS FASCORP RECORDKEPT PLN

 

Greenwood VLG CO

 

The Hartford Small Company Fund

 

R5

 

916,454.78

 

69

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Small Company Fund

 

R5

 

86,337.92

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

R6

 

416.20

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Small Company Fund

 

Y

 

7,268,567.17

 

60

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Small Company Fund

 

Y

 

2,346,198.09

 

19

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

The Hartford Strategic Income Fund

 

A

 

5,497,083.58

 

38

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Strategic Income Fund

 

A

 

2,352,668.60

 

16

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

A

 

822,990.21

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

A

 

796,094.20

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Strategic Income Fund

 

B

 

86,714.86

 

19

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

B

 

85,096.89

 

19

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Strategic Income Fund

 

B

 

60,512.19

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Strategic Income Fund

 

B

 

52,737.36

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Strategic Income Fund

 

B

 

40,327.83

 

9

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Strategic Income Fund

 

C

 

1,652,670.91

 

17

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Strategic Income Fund

 

C

 

1,289,122.14

 

13

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

C

 

1,170,877.04

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Strategic Income Fund

 

C

 

1,078,270.06

 

11

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

C

 

1,012,763.57

 

10

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Strategic Income Fund

 

C

 

537,181.46

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Strategic Income Fund

 

C

 

531,194.04

 

5

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Strategic Income Fund

 

C

 

505,470.46

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Strategic Income Fund

 

I

 

954,202.95

 

28

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Strategic Income Fund

 

I

 

418,866.93

 

12

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Strategic Income Fund

 

I

 

418,187.79

 

12

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Strategic Income Fund

 

I

 

353,388.37

 

10

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Strategic Income Fund

 

I

 

266,846.91

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

I

 

255,158.48

 

8

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Strategic Income Fund

 

I

 

212,237.92

 

6

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Strategic Income Fund

 

I

 

198,140.82

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Strategic Income Fund

 

R3

 

10,793.95

 

29

%

 

UMB BANK NA CUSTOMER FBO: PLANMEMBER

 

Carpinteria CA

 

The Hartford Strategic Income Fund

 

R3

 

7,536.60

 

20

%

 

ASCENSUS TRUST COMPANY FBO RESERVA INTERNATIONAL INDIVIDUAL 40

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R3

 

3,868.10

 

10

%

 

MATRIX TRUST COMPANY CUSTOMER. FBO CITY OF ABERDEEN (WA) 457(B) PLAN

 

Denver CO

 

The Hartford Strategic Income Fund

 

R3

 

3,143.73

 

8

%

 

ASCENSUS TRUST COMPANY FBO CJ LYONS LLC 401K

 

Fargo ND

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Strategic Income Fund

 

R3

 

3,069.92

 

8

%

 

MG TRUST COMPANY CUSTOMER. FBO SHENANDOAH COUNTY PUB SCH (VA) 403B

 

Denver CO

 

The Hartford Strategic Income Fund

 

R3

 

2,198.52

 

6

%

 

JIMMIE L BALDONADO NANCY E SCHUTZ AND STEVEN D SCOVILLE TRUSTEES

 

Gothenburg NE

 

The Hartford Strategic Income Fund

 

R3

 

2,112.81

 

6

%

 

ASCENSUS TRUST COMPANY FBO ROUTE 50 MEMORIAL HOSPITAL 401K PLA

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R4

 

10,064.19

 

49

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Strategic Income Fund

 

R4

 

4,909.24

 

24

%

 

ROBERT HAYDEN PC ROBERT W HAYDEN TRUSTEE IND (K)

 

Edmond OK

 

The Hartford Strategic Income Fund

 

R4

 

2,166.39

 

10

%

 

ASCENSUS TRUST COMPANY FBO CAROL A ANDERSON 401K

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R4

 

1,787.20

 

9

%

 

ASCENSUS TRUST COMPANY FBO LISA K RADER 401K PLAN

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R4

 

1,708.18

 

8

%

 

ASCENSUS TRUST COMPANY FBO MARK A. CONGDON CFS, INC. 401(K)

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R5

 

22,244.62

 

62

%

 

ASCENSUS TRUST COMPANY FBO WATER EDUCATION FOUNDATION INC PE

 

Fargo ND

 

The Hartford Strategic Income Fund

 

R5

 

13,848.71

 

38

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Strategic Income Fund

 

R6

 

1,158.68

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Strategic Income Fund

 

Y

 

6,068,109.66

 

40

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Strategic Income Fund

 

Y

 

4,328,270.71

 

29

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford Strategic Income Fund

 

Y

 

2,310,859.09

 

15

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford Strategic Income Fund

 

Y

 

1,565,663.24

 

10

%

 

HARTFORD DURATION-HEDGED STRATEGIC INCOME FUND

 

Radnor PA

 

The Hartford Strategic Income Fund

 

Y

 

776,294.11

 

5

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

The Hartford Total Return Bond Fund

 

A

 

47,507,542.05

 

72

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

B

 

478,331.93

 

48

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

B

 

82,602.35

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

B

 

75,387.86

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

B

 

72,824.46

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

C

 

1,027,875.06

 

16

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Total Return Bond Fund

 

C

 

806,405.45

 

12

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Total Return Bond Fund

 

C

 

597,026.69

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

C

 

554,063.38

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

C

 

493,135.97

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

C

 

354,012.67

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Total Return Bond Fund

 

C

 

350,979.39

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Total Return Bond Fund

 

I

 

823,157.60

 

38

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Total Return Bond Fund

 

I

 

428,386.64

 

20

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

I

 

251,158.08

 

12

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Total Return Bond Fund

 

I

 

236,027.61

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

I

 

142,472.07

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Total Return Bond Fund

 

R3

 

301,509.32

 

53

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Total Return Bond Fund

 

R3

 

29,894.57

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Total Return Bond Fund

 

R4

 

1,094,338.78

 

74

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Total Return Bond Fund

 

R4

 

88,695.39

 

6

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Total Return Bond Fund

 

R5

 

83,291.08

 

62

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

R5

 

27,924.68

 

21

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Total Return Bond Fund

 

R5

 

12,801.89

 

10

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT

 

Hartford CT

 

The Hartford Total Return Bond Fund

 

R6

 

963.18

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Total Return Bond Fund

 

Y

 

61,968,266.45

 

58

%

 

HARTFORD CHECKS AND BALANCES FUND

 

Radnor PA

 

The Hartford Total Return Bond Fund

 

Y

 

10,331,494.28

 

10

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Total Return Bond Fund

 

Y

 

9,859,569.19

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Total Return Bond Fund

 

Y

 

6,808,704.27

 

6

%

 

SAXON & CO

 

Philadelphia PA

 

The Hartford Unconstrained Bond Fund

 

A

 

3,060,927.60

 

53

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Unconstrained Bond Fund

 

A

 

515,645.00

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

A

 

326,231.29

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Unconstrained Bond Fund

 

B

 

41,872.59

 

37

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Unconstrained Bond Fund

 

B

 

15,346.96

 

14

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

B

 

14,545.50

 

13

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Unconstrained Bond Fund

 

B

 

7,297.66

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

C

 

170,400.64

 

13

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Unconstrained Bond Fund

 

C

 

159,034.95

 

12

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Unconstrained Bond Fund

 

C

 

129,808.76

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

C

 

97,864.85

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

C

 

85,958.24

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Unconstrained Bond Fund

 

C

 

83,087.45

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Unconstrained Bond Fund

 

C

 

83,078.68

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Unconstrained Bond Fund

 

I

 

129,512.25

 

35

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Unconstrained Bond Fund

 

I

 

46,974.17

 

13

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Unconstrained Bond Fund

 

I

 

39,688.22

 

11

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

I

 

37,230.32

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Unconstrained Bond Fund

 

I

 

32,284.39

 

9

%

 

RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING

 

Minneapolis MN

 

The Hartford Unconstrained Bond Fund

 

I

 

28,915.97

 

8

%

 

BB&T SECURITIES IRA C/F DAVID ALBERT DEBOLT

 

Charleston WV

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Unconstrained Bond Fund

 

I

 

26,150.32

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Unconstrained Bond Fund

 

R3

 

11,362.92

 

76

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Unconstrained Bond Fund

 

R3

 

3,540.08

 

24

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Unconstrained Bond Fund

 

R4

 

30,996.03

 

65

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Unconstrained Bond Fund

 

R4

 

11,502.82

 

24

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Unconstrained Bond Fund

 

R4

 

4,614.47

 

10

%

 

ROBERT HAYDEN PC ROBERT W HAYDEN TRUSTEE IND (K)

 

Edmond OK

 

The Hartford Unconstrained Bond Fund

 

R5

 

11,644.17

 

100

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Unconstrained Bond Fund

 

Y

 

1,571,006.30

 

75

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

The Hartford Unconstrained Bond Fund

 

Y

 

526,540.33

 

25

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford World Bond Fund

 

A

 

14,742,907.14

 

25

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford World Bond Fund

 

A

 

11,960,034.33

 

20

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford World Bond Fund

 

A

 

9,196,888.28

 

16

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford World Bond Fund

 

A

 

4,397,757.94

 

7

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford World Bond Fund

 

A

 

4,147,226.58

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford World Bond Fund

 

C

 

2,471,410.90

 

15

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford World Bond Fund

 

C

 

2,122,616.34

 

13

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford World Bond Fund

 

C

 

2,081,233.01

 

12

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford World Bond Fund

 

C

 

2,027,398.74

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford World Bond Fund

 

C

 

1,630,007.22

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford World Bond Fund

 

C

 

1,546,519.71

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford World Bond Fund

 

C

 

1,125,995.60

 

7

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford World Bond Fund

 

C

 

1,060,957.10

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford World Bond Fund

 

C

 

974,701.74

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford World Bond Fund

 

C

 

842,681.60

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford World Bond Fund

 

I

 

53,004,456.11

 

24

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford World Bond Fund

 

I

 

32,154,683.99

 

15

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford World Bond Fund

 

I

 

24,138,595.12

 

11

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford World Bond Fund

 

I

 

23,730,735.74

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford World Bond Fund

 

I

 

18,002,551.81

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford World Bond Fund

 

I

 

17,918,368.28

 

8

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford World Bond Fund

 

I

 

11,948,772.12

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford World Bond Fund

 

I

 

11,253,912.48

 

5

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford World Bond Fund

 

R3

 

13,127.10

 

17

%

 

MATRIX TRUST COMPANY CUSTOMER. FBO GILBERT A. GIRTZ 401K SAVINGS PLAN

 

Denver CO

 

The Hartford World Bond Fund

 

R3

 

12,470.58

 

16

%

 

MATRIX TRUST COMPANY TRUSTEE CSA/MICHOICE SCHOOLS 401K P/S PLAN

 

Denver CO

 

The Hartford World Bond Fund

 

R3

 

7,763.50

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford World Bond Fund

 

R3

 

7,623.92

 

10

%

 

UBS WM USA

 

Weehawken NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford World Bond Fund

 

R3

 

7,255.04

 

9

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford World Bond Fund

 

R3

 

7,210.34

 

9

%

 

MATRIX TRUST COMPANY TRUSTEE JACK A. DEKKINGA, MD 401K PS PLAN

 

Denver CO

 

The Hartford World Bond Fund

 

R3

 

5,380.85

 

7

%

 

ASCENSUS TRUST COMPANY FBO KENNETH E MACKENZIE ESQUIRE 401K

 

Fargo ND

 

The Hartford World Bond Fund

 

R3

 

5,319.79

 

7

%

 

MATRIX TRUST COMPANY CUSTOMER FBO USA CYCLING, INC 403(B) RETIREMENT

 

Denver CO

 

The Hartford World Bond Fund

 

R4

 

317,072.01

 

68

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford World Bond Fund

 

R4

 

90,062.50

 

19

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford World Bond Fund

 

R5

 

12,026.56

 

37

%

 

FIIOC FBO EMPLOYEE 401K PLAN

 

Covington KY

 

The Hartford World Bond Fund

 

R5

 

7,052.50

 

22

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford World Bond Fund

 

R5

 

5,562.89

 

17

%

 

HARTFORD LIFE & ANNUITY

 

Hartford CT

 

The Hartford World Bond Fund

 

R5

 

2,751.78

 

8

%

 

MID ATLANTIC TRUST COMPANY FBO JOHNNYS MATTRESS & FURNITURE SUPERS

 

Pittsburgh PA

 

The Hartford World Bond Fund

 

R6

 

10,710.66

 

60

%

 

STATE STREET BANK & TRUST COMPANY MML FBO ITS CLIENTS

 

Boston MA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford World Bond Fund

 

R6

 

6,276.24

 

35

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford World Bond Fund

 

R6

 

965.60

 

5

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford World Bond Fund

 

Y

 

20,932,614.39

 

33

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford World Bond Fund

 

Y

 

11,495,286.56

 

18

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford World Bond Fund

 

Y

 

7,851,910.06

 

12

%

 

HARTFORD GROWTH ALLOCATION FUND

 

Radnor PA

 

The Hartford World Bond Fund

 

Y

 

6,397,394.06

 

10

%

 

HARTFORD MODERATE ALLOCATION FUND

 

Radnor PA

 

The Hartford World Bond Fund

 

Y

 

3,710,382.52

 

6

%

 

CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TRUSTEE

 

Wayne PA

 

The Hartford World Bond Fund

 

Y

 

3,362,819.53

 

5

%

 

HARTFORD CONSERVATIVE ALLOCATION FUND

 

Radnor PA

 

*  Each entity set forth in this column isTHE HARTFORD MUTUAL FUNDS II, INC.

As of November 30, 2015, the shareholderfollowing shareholders owned beneficially or of record and may be deemed to be the beneficial owner of certain5% or more of the outstanding shares listed for certain purposes under the securities laws, although certainof any class of the entities generally do not have an economic interest in these shares and would ordinarily disclaim any beneficial ownership therein.Funds.

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Opportunities Fund

 

A

 

10,101,373.95

 

22

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Opportunities Fund

 

A

 

2,930,039.10

 

6

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

A

 

2,882,869.74

 

6

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Growth Opportunities Fund

 

A

 

2,299,832.59

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

B

 

100,049.80

 

20

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Growth Opportunities Fund

 

B

 

45,406.34

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

B

 

41,437.06

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Opportunities Fund

 

B

 

39,787.81

 

8

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

B

 

37,297.53

 

8

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Growth Opportunities Fund

 

B

 

25,413.74

 

5

%

 

CHARLES SCHWAB & CO INC FBO CLEARING CUSTOMERS

 

San Francisco CA

 

The Hartford Growth Opportunities Fund

 

C

 

2,751,393.09

 

19

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Opportunities Fund

 

C

 

2,630,951.41

 

19

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Growth Opportunities Fund

 

C

 

1,962,970.54

 

14

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Opportunities Fund

 

C

 

1,173,559.57

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

C

 

955,957.64

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Growth Opportunities Fund

 

C

 

754,903.33

 

5

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

I

 

24,740,364.71

 

42

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Growth Opportunities Fund

 

I

 

10,779,274.43

 

18

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Growth Opportunities Fund

 

I

 

8,522,853.65

 

15

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Growth Opportunities Fund

 

I

 

4,687,435.94

 

8

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Growth Opportunities Fund

 

R3

 

499,448.67

 

46

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Opportunities Fund

 

R3

 

119,449.35

 

11

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford Growth Opportunities Fund

 

R3

 

74,394.63

 

7

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Growth Opportunities Fund

 

R4

 

1,072,279.30

 

71

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Growth Opportunities Fund

 

R4

 

153,492.56

 

10

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Growth Opportunities Fund

 

R5

 

2,671,974.56

 

94

%

 

MERCER TRUST CO TRUSTEE FBO EDWARD D JONES & CO DEFFDCOMP

 

Norwood MA

 

The Hartford Growth Opportunities Fund

 

R6

 

15,159.16

 

92

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Growth Opportunities Fund

 

R6

 

1,019.85

 

6

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford Growth Opportunities Fund

 

Y

 

1,713,410.85

 

40

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Growth Opportunities Fund

 

Y

 

968,172.47

 

22

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Growth Opportunities Fund

 

Y

 

399,160.46

 

9

%

 

WEST VIRGINIA SAVINGS PLAN TRUSTEE FBO WST VIRGINIA SAVINGS PLAN TRUST

 

Wayne PA

 

The Hartford Growth Opportunities Fund

 

Y

 

288,312.01

 

7

%

 

WELLINGTON TRUST CO, N.A. FBO WELLINGTON RET & PENSION PLAN

 

Boston MA

 

The Hartford Municipal Real Return Fund

 

A

 

5,938,065.01

 

52

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

A

 

930,282.24

 

8

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Real Return Fund

 

A

 

686,135.75

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

B

 

39,499.59

 

48

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

B

 

10,518.97

 

13

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Municipal Real Return Fund

 

B

 

9,978.60

 

12

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Municipal Real Return Fund

 

C

 

746,028.16

 

25

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Real Return Fund

 

C

 

411,442.27

 

14

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Municipal Real Return Fund

 

C

 

315,189.76

 

11

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

C

 

297,624.35

 

10

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

C

 

255,071.66

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Municipal Real Return Fund

 

C

 

215,186.97

 

7

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Municipal Real Return Fund

 

I

 

368,115.48

 

22

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Municipal Real Return Fund

 

I

 

350,626.95

 

21

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Municipal Real Return Fund

 

I

 

266,266.83

 

16

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford Municipal Real Return Fund

 

I

 

204,196.04

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

I

 

187,646.40

 

11

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Municipal Real Return Fund

 

I

 

88,404.10

 

5

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Municipal Real Return Fund

 

Y

 

100,646.76

 

5

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Municipal Real Return Fund

 

Y

 

100,162.01

 

5

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

A

 

603,026.60

 

12

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

A

 

438,149.81

 

9

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

A

 

334,539.91

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

B

 

4,231.44

 

12

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

B

 

2,290.41

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

B

 

2,076.87

 

6

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

C

 

243,745.87

 

19

%

 

UBS WM USA

 

Weehawken NJ

 

The Hartford SmallCap Growth Fund

 

C

 

120,766.66

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

C

 

118,768.95

 

9

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford SmallCap Growth Fund

 

C

 

110,725.78

 

9

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

C

 

109,343.61

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

C

 

94,715.90

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford SmallCap Growth Fund

 

C

 

88,035.90

 

7

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

C

 

67,696.77

 

5

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford SmallCap Growth Fund

 

I

 

1,429,708.54

 

34

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

I

 

751,238.18

 

18

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

I

 

391,690.40

 

9

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford SmallCap Growth Fund

 

I

 

370,562.39

 

9

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford SmallCap Growth Fund

 

I

 

321,958.38

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford SmallCap Growth Fund

 

I

 

279,398.53

 

7

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

R3

 

67,049.53

 

20

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford SmallCap Growth Fund

 

R3

 

26,321.98

 

8

%

 

PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TRUSTEE/CUSTOMER

 

Jacksonville FL

 

The Hartford SmallCap Growth Fund

 

R3

 

25,904.91

 

8

%

 

DWS TRUST CO TRUSTEE FUSION ALLIANCE LLC 401K P/S PLAN

 

Salem NH

 

The Hartford SmallCap Growth Fund

 

R3

 

19,667.38

 

6

%

 

STATE STREET BANK & TRUST COMPANY TRUSTEE/CUSTODIAN

 

Boston MA

 

The Hartford SmallCap Growth Fund

 

R3

 

17,880.32

 

5

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

The Hartford SmallCap Growth Fund

 

R4

 

297,800.49

 

20

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford SmallCap Growth Fund

 

R4

 

241,274.53

 

16

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford SmallCap Growth Fund

 

R4

 

137,300.40

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

R4

 

76,160.73

 

5

%

 

RELIANCE TRUST COMPANY FBO MASSMUTUAL DMF

 

Atlanta GA

 

The Hartford SmallCap Growth Fund

 

R4

 

75,697.13

 

5

%

 

MERCER TRUST CO CUSTOMER FBO IBEW LOCAL NO 38

 

Norwood MA

 

The Hartford SmallCap Growth Fund

 

R5

 

384,135.64

 

17

%

 

STATE STREET BANK & TRUST COMPANY TAYNIK & COMPANY

 

Quincy MA

 

The Hartford SmallCap Growth Fund

 

R5

 

230,311.99

 

10

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford SmallCap Growth Fund

 

R5

 

209,712.97

 

9

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford SmallCap Growth Fund

 

R5

 

191,391.94

 

9

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford SmallCap Growth Fund

 

R5

 

160,108.62

 

7

%

 

NEW YORK LIFE TRUST COMPANY FBO VARIOUS RETIREMENT PLANS IRA

 

Parsippany NJ

 

The Hartford SmallCap Growth Fund

 

R5

 

140,688.44

 

6

%

 

GREAT-WEST TRUST CO LLC FBO RECORDKEEPING

 

Greenwood VLG CO

 

The Hartford SmallCap Growth Fund

 

R5

 

138,752.18

 

6

%

 

MATRIX TRUST CO CUSTOMER FBO LOMA LINDA UNIV HEALTH 401A

 

Phoenix AZ

 

The Hartford SmallCap Growth Fund

 

R5

 

120,267.26

 

5

%

 

T ROWE PRICE RETIREMENT PLAN SVCS FBO RETIREMENT PLAN CLIENTS

 

Owings Mills MD

 

The Hartford SmallCap Growth Fund

 

R6

 

201.26

 

76

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford SmallCap Growth Fund

 

R6

 

40.83

 

15

%

 

VANGUARD FIDUCIARY TRUST CO FBO VARIOUS RETIREMENT PLANS

 

Valley Forge PA

 

The Hartford SmallCap Growth Fund

 

R6

 

22.49

 

9

%

 

ASCENSUS TRUST COMPANY FBO AERO RENTAL, INC 401(K) PLAN

 

Fargo ND

 

The Hartford SmallCap Growth Fund

 

Y

 

2,870,638.86

 

47

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford SmallCap Growth Fund

 

Y

 

491,055.24

 

8

%

 

WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST

 

Wayne PA

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford SmallCap Growth Fund

 

Y

 

340,965.01

 

6

%

 

CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT

 

San Francisco CA

 

The Hartford Value Opportunities Fund

 

A

 

5,836,481.07

 

53

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

B

 

34,439.72

 

31

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

B

 

11,554.86

 

11

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

B

 

8,391.46

 

8

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Value Opportunities Fund

 

C

 

239,390.38

 

15

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Value Opportunities Fund

 

C

 

138,526.33

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Value Opportunities Fund

 

C

 

135,445.55

 

8

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Value Opportunities Fund

 

C

 

131,758.79

 

8

%

 

LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT

 

San Diego CA

 

The Hartford Value Opportunities Fund

 

C

 

130,673.33

 

8

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Value Opportunities Fund

 

C

 

114,744.55

 

7

%

 

PERSHING LLC

 

Jersey City NJ

 

The Hartford Value Opportunities Fund

 

C

 

105,342.24

 

6

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

C

 

99,853.60

 

6

%

 

EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

I

 

343,856.28

 

30

%

 

MORGAN STANLEY SMITH BARNEY

 

Jersey City NJ

 

The Hartford Value Opportunities Fund

 

I

 

232,627.38

 

20

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Value Opportunities Fund

 

I

 

152,663.78

 

13

%

 

FIRST CLEARING LLC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER

 

Saint Louis MO

 

The Hartford Value Opportunities Fund

 

I

 

104,029.38

 

9

%

 

NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUSTOMER

 

Jersey City NJ

 

The Hartford Value Opportunities Fund

 

I

 

82,701.34

 

7

%

 

RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS

 

St Petersburg FL

 

The Hartford Value Opportunities Fund

 

I

 

65,567.52

 

6

%

 

UBS WM USA

 

Weehawken NJ

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Value Opportunities Fund

 

R3

 

31,948.65

 

17

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Value Opportunities Fund

 

R3

 

21,483.54

 

11

%

 

TRITEC COMPANIES TEE FBO TRITEC COMPANIES 401K

 

Greenwood VLG CO

 

The Hartford Value Opportunities Fund

 

R3

 

18,098.00

 

10

%

 

ASCENSUS TRUST COMPANY FBO MIBAR COMPUTER SERVICES 401 K PLAN

 

Fargo ND

 

The Hartford Value Opportunities Fund

 

R3

 

16,201.27

 

9

%

 

J MICHAEL FAY DDS PA TRUSTEE FBO J MICHAEL FAY DDS PA 401K

 

Greenwood VLG CO

 

The Hartford Value Opportunities Fund

 

R3

 

14,923.49

 

8

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F DECATUR MEMORIAL HOSPITAL

 

Greenwood VLG CO

 

The Hartford Value Opportunities Fund

 

R4

 

314,046.89

 

50

%

 

HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS

 

Hartford CT

 

The Hartford Value Opportunities Fund

 

R4

 

180,115.09

 

29

%

 

MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS

 

Jacksonville FL

 

The Hartford Value Opportunities Fund

 

R5

 

79,688.72

 

61

%

 

EMJAY CORPORATION CUSTODIAN FBO PLANS OF GREAT WEST FINANCIAL

 

Greenwood VLG CO

 

The Hartford Value Opportunities Fund

 

R5

 

15,405.98

 

12

%

 

GREAT-WEST TRUST COMPANY LLC TRUSTEE F EMPLOYEE BENEFITS CLIENTS 401K

 

Greenwood VLG CO

 

Fund

 

Class

 

Shares Held

 % of
Class
 

Shareholder Name

 Shareholder
Location
 

The Hartford Value Opportunities Fund

 

R5

 

8,014.94

 

6

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 

The Hartford Value Opportunities Fund

 

R5

 

7,560.30

 

6

%

 

MID ATLANTIC TRUST COMPANY FBO KILMER INSURANCE GROUP INC T/A

 

Pittsburgh PA

 

The Hartford Value Opportunities Fund

 

Y

 

63,231.52

 

75

%

 

MG TRUST COMPANY TRUSTEE AMERICAN OFFICE

 

Denver CO

 

The Hartford Value Opportunities Fund

 

Y

 

8,841.02

 

10

%

 

MG TRUST COMPANY CUSTOMER FBO CHILD GUIDANCE RESOURCE CENTERS INC

 

Denver CO

 

The Hartford Value Opportunities Fund

 

Y

 

6,680.98

 

8

%

 

HARTFORD LIFE & ANNUITY

 

Hartford CT

 

The Hartford Value Opportunities Fund

 

Y

 

5,034.04

 

6

%

 

HARTFORD LIFE INSURANCE COMPANY

 

Hartford CT

 


 

FORM OF PROXY CARD

Your Vote is Important!

 Vote by Internet

Please go to the electronic voting site at  www.2voteproxy.com/hmf. Follow the on-line instructions.  If you vote by internet, you do not have to return your Proxy Card.

 Vote by Telephone

Please call us toll-free at 1-800-830-3542, and follow the instructions provided.  If you vote by telephone, you do not have to return your Proxy Card.

 Vote by Mail

Mark, sign and date your Proxy Card and return it promptly in the envelope provided.

Please ensure the address below shows through the window of the enclosed postage paid return envelope.

 

PROXY

THE HARTFORD MUTUAL FUNDS, INC.PROXY TABULATOR

PROXYPO BOX 55046

BOSTON, MA 02205-9836

THE HARTFORD MUTUAL FUNDS, INC.

THE HARTFORD MUTUAL FUNDS II, INC.

PROXY FOR SPECIALTHE JOINT ANNUAL MEETING OF SHAREHOLDERS

TO BE HELD APRIL 4, 2014ON MARCH 14, 2016

 

THIS PROXY IS SOLICITED ON BEHALF OF THE BOARDBOARDS OF DIRECTORS OF THE HARTFORD MUTUAL FUNDS, INC.DIRECTORS. The undersigned appoints Edward Macdonald and Joseph Melcher, or each of them separately with power to act without the other and with the right of substitution in each, theas proxies of the undersigned (the “Proxies”), to vote, as designated herein, all shares of The Hartford Mutual Funds, Inc.the series of the Companies named above (the “Funds”) held by the undersigned on January 10, 2014, at a Specialthe Joint Annual Meeting of Shareholders (the “Meeting”) to be held at the offices of Hartford Funds Management Company, LLC (“HFMC”), 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087, on April 4, 2014March 14, 2016, at 10:00 a.m., Eastern Time, and at any adjournments or postponements thereof, upon the matters on the reverse as set forth in the Notice of SpecialJoint Annual Meeting of Shareholders and Joint Proxy Statement, and to otherwise represent the undersigned with all powers the undersigned would possess if present in person.

 

By executing this proxy, the undersigned revokes allAll previous proxies with respect to the Meeting and acknowledges receiptmeeting are revoked. Receipt of the Notice of SpecialJoint Annual Meeting of Shareholders and Joint Proxy Statement.Statement is acknowledged by your execution of this proxy. This proxy may be revoked at any time before it is exercised by giving written notice of revocation to the Secretary of the Funds or by executing a superseding proxy.

 

VOTE VIA THE INTERNET:Important Notice Regarding the Availability of Proxy Materials for the Joint Annual Meeting of Shareholders

WWW.PROXYVOTE.COMto be Held on March 14, 2016.

 

The Notice and the Joint Proxy Statement are available on the Internet at  VOTE VIA THE TELEPHONEwww.2voteproxy.com/hmf:

 

Registered and separate account shareholders: 1-800-690-6903

Beneficial shareholders: 1-800-454-8683

NOTE: Please sign exactly as name appears to the left.  When signing as attorney, executor, administrator, trustee, or guardian, please give full title as such.  If signing for a corporation, please sign in full corporate name by authorized person.  If signing for a partnership, please sign in partnership name by authorized person.

 

 

 

Signature(s) of Shareholder(s)

Signature

NOTE: Please sign exactly as name appears on this proxy. When signing as attorney, executor, administrator, trustee, or guardian, please give full title as such. If signing for a corporation, please sign in full corporate name by authorized person. If a partnership, please sign in partnership name by authorized person.

 

 

 

 

 

 

 

Signature (Joint Owners)

 

 

 

 

 

Date

Date:

HMF16 - V4

 



 

The Hartford Balanced Allocation Fund,

The Hartford Conservative Allocation Fund, and

The Hartford Growth Allocation Fund

VOTING OPTIONS

Read yourThis Proxy Statement and have it at hand when voting.

Vote on the internet:

Log on to www.proxyvote.com and follow the on-screen instructions; available 24 hours

Vote by phone:

Call 1-800-690-6903 (for registered and separate account shareholders) or 1-800-454-8683 (for beneficial shareholders); follow the recorded instructions; available 24 hours

Vote by mail:

Vote, sign and date this proxy card and return in the postage-paid envelope

Vote in person:

Attend shareholder meeting at 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, Pennsylvania 19087 on April 4, 2014

If you vote on the internet or by telephone, you need not return this proxy card. This proxy will be voted as instructed on the matternominees and proposals set forth below. It is understood that if no choice is specified, this proxyProxy will be voted “FOR” such matter.

all the nominees and proposals if the Proxy Card is signed, dated and returned.  In their discretion, the proxies are authorized to vote upon such other business as may properly come before the meeting and any adjournments or postponements of the meeting. If you wishA shareholder wishing to vote in accordance with the recommendationBoards of the Board of Directors, simplyDirectors’ recommendations need only sign and date this proxy cardProxy Card and return it in the envelope provided.

o  Express Vote Option: To vote FOR ALL Funds on ALL Proposals mark this box. (If this box is marked no other vote is necessary.)

PLEASE MARK BOX BELOW IN BLUE OR BLACK INK AS FOLLOWS.  Example: ¢

1.

The election of nominees to the Boards of Directors of The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. (together, the “Companies”).

(01)Hilary E. Ackermann

(02)Lynn S. Birdsong

(03)James E. Davey

(04)Christine Detrick

(05)Duane E. Hill

(06)Sandra S. Jaffee

(07)William P. Johnston

(08)Phillip O. Peterson

(09)Lemma W. Senbet

To withhold authority to vote for any individual nominee(s), write the number(s) of the nominee(s) on the line(s) below.

FOR

ALL

WITHHOLD

ALL

FOR ALL

EXCEPT

FOR

ALL

WITHHOLD

ALL

FOR ALL

EXCEPT

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

2.

The approval of a new Investment Management Agreement between HFMC and the Companies, on behalf of the Funds.

FOR

AGAINST

ABSTAIN

FOR

AGAINST

ABSTAIN

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

3.

The approval of a change to each Fund’s fundamental investment restriction on the purchase or sale of commodities.

FOR

AGAINST

ABSTAIN

FOR

AGAINST

ABSTAIN

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

4.

The approval of a change to each Fund’s fundamental investment restriction on the purchase or sale of real estate.

FOR

AGAINST

ABSTAIN

FOR

AGAINST

ABSTAIN

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

5.

The approval of a change to each Fund’s fundamental investment restriction on concentration of investments in a particular industry or group of industries.

FOR

AGAINST

ABSTAIN

FOR

AGAINST

ABSTAIN

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

6.

The approval, prospectively, of a modification to the current “manager of managers” policy to permit HFMC, subject to prior approval by the relevant Board and under certain circumstances, to enter into and materially amend agreements with affiliated and unaffiliated sub-advisers without the necessity of obtaining shareholder approval.

FOR

AGAINST

ABSTAIN

FOR

AGAINST

ABSTAIN

Fund 1

o

o

o

Fund 7

o

o

o

Fund 2

o

o

o

Fund 8

o

o

o

Fund 3

o

o

o

Fund 9

o

o

o

Fund 4

o

o

o

Fund 10

o

o

o

Fund 5

o

o

o

Fund 11

o

o

o

Fund 6

o

o

o

Fund 12

o

o

o

PLEASE VOTE, SIGN, DATE AND PROMPTLY RETURN YOUR PROXY IN THE ENCLOSED ENVELOPE!

HMF16 - V4



THE HARTFORD MUTUAL FUNDS, INC.

THE HARTFORD MUTUAL FUNDS II, INC.

Notice of Joint Annual Meeting of Shareholders

MARCH 14, 2016, 10:00 a.m., Eastern Time

Hartford Funds Management Company, LLC

5 Radnor Corporate Center, Suite 300

100 Matsonford Road, Radnor PA 19087

Important Notice Regarding the Availability of Proxy Materials for the

Joint Annual Meeting of Shareholders to be held on March 14, 2016.

In accordance with Securities and Exchange Commission (SEC) rules that permit sending this Notice instead of full proxy materials, we are notifying you that the proxy materials for the Joint Annual Meeting of Shareholders and access to a proxy voting website are available to you over the Internet. Please follow the instructions below to view the proxy materials and vote online, or to request copies. Matters to be voted on at the meeting are listed on the reverse side of this notice along with the recommendations of the Boards of Directors. Your vote is very important.   Please respond immediately to help us avoid potential delays and additional expenses to solicit votes.

Online Viewing and Voting is Quick, Easy, and Environmentally Friendly!

View proxy materials and vote immediately in 3 simple steps:

Step 1:Go to the electronic voting site at www.2voteproxy.com/hmf

Step 2:Access and view the proxy materials, which consist of our Notice of Joint Annual Meeting of Shareholders, Joint Proxy Statement and form of proxy card by clicking on the links provided.

Step 3:Follow simple instructions on the screen to log in and vote your eligible positions.

This communication presents only an overview of the more complete proxy materials that are available to you on the Internet.   We encourage you to access and review all the important information contained in the proxy materials before voting.   The Joint Proxy Statement, Notice of Joint Annual Meeting and form of proxy card are available at www.2voteproxy.com/hmf.

To vote your eligible position(s), you must either vote online via the Internet or request a copy of a full set of proxy materials, which includes a proxy card (see instructions above).  If you wish to vote at the meeting in person, please bring this notice and proper identification with you.  Directions to attend the meeting are available at www.2voteproxy.com/hmf.

PLEASE NOTE: YOU CANNOT VOTE BY RETURNING THIS NOTICE.

HMF16 - N&A - V4

 



 

Please mark boxes below in blue or black ink as follows.  Example: Requesting Copies of the Proxy Materialsx

 

oTo voteIf you want to receive a paper or e-mail copy of the proxy materials or the most recent annual or semi-annual report to shareholders, you must request one.   There is no charge.   Please make your request for a copy as the Board recommends for ALL Fundsinstructed below on ALL Proposals mark this box. No other vote is necessary.or before February 29, 2016, to facilitate timely delivery.

 

1.To ratifyIf you want to order a copy of the proxy materials and approveprovide a Sub-Advisory Agreement between Hartford Funds Management Company, LLC,current and future delivery preference, please choose one of the investment manager of The Hartford Balanced Allocation Fund, The Hartford Conservative Allocation Fund, and The Hartford Growth Allocation Fund (each, a “Fund” and collectively, the “Funds”), and Wellington Management Company, LLP (“Wellington Management”) pursuant to which Wellington Management serves as the sub-adviser to the Funds and manages each Fund’s assets.following methods:

 

ForINTERNET Go to www.2voteproxy.com/hmf

Follow the simple instructions to log in and order a paper copy of the proxy materials for the current meeting and submit your delivery preference for future meetings.

Against

Abstain

The Hartford Balanced Allocation FundTELEPHONE – Using a touch-tone phone, call us toll free at 1-855-382-6348 in the U.S. or Canada

 

[  ]

 

[  ]

Follow the simple instructions to log in to order a paper copy of the proxy materials for the current meeting and submit your delivery preference for future meetings.

 

[  ]

E-MAIL – Send us an e-mail at proxymaterials@bostonfinancial.com with “Hartford Mutual Funds Material Request” in the subject line.

This e-mail must include in the message 1) Your full name and address, 2) the 14-digit number in the box preceded by an arrow in the center of the front of this notice and 3) your preference to receive current printed proxy materials via mail.  If you choose to receive an e-mail with links to the electronic materials, please include your e-mail address.  If you would like this electronic delivery preference to apply to delivery of material for all future meetings, include the word “Permanent” and the last four digits of your Social Security Number in the message.

 

 

THE HARTFORD MUTUAL FUNDS, INC. AND THE HARTFORD MUTUAL FUNDS II, INC. SHAREHOLDER MEETING INFORMATION

Matter(s) intended to be acted upon at the Joint Annual Meeting of Shareholders are listed below.

The Boards recommend that you vote “FOR” each proposal.

1.The election of nominees to the Boards of Directors of The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. (together, the “Companies”).

For

Against

Abstain

The Hartford Conservative Allocation Fund

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(01)   Hilary E. Ackermann

(03)   James E. Davey

For(05)   Duane E. Hill

(07)   William P. Johnston

Against

Abstain

(09)   Lemma W. Senbet

The Hartford Growth Allocation Fund(02)   Lynn S. Birdsong

(04)   Christine Detrick

[  ](06)   Sandra S. Jaffee

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[  ](08)   Phillip O. Peterson

 

 

2.               To approve the retentionThe approval of fees paid and the payment of fees payable by Hartford Fundsa new Investment Management Company, LLC to Wellington Management Company, LLP for its sub-advisory services to each Fund.

For

Against

Abstain

The Hartford Balanced Allocation Fund

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For

Against

Abstain

The Hartford Conservative Allocation Fund

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For

Against

Abstain

The Hartford Growth Allocation Fund

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3.To authorizeAgreement between Hartford Funds Management Company, LLC (“HFMC”) to select and contract with sub-advisers that are not affiliated with HFMC or the Funds (other than by reason of serving as a sub-adviser to one or moreCompanies, on behalf of the Hartford-sponsored mutual funds)series of the Companies (each a “Fund”).

3.The approval of a change to each Fund’s fundamental investment restriction on the purchase or sale of commodities.

4.The approval of a change to each Fund’s fundamental investment restriction on the purchase or sale of real estate.

5.The approval of a change to each Fund’s fundamental investment restriction on concentration of investments in a particular industry or group of industries.

6.The approval, prospectively, of a modification to the current “manager of managers” policy to permit HFMC, subject to prior approval by the relevant Board and under certain circumstances, to enter into and materially amend investment sub-advisory agreements with affiliated and unaffiliated sub-advisers without the necessity of obtaining shareholder approval.

 

For

Against

Abstain

The Hartford Balanced Allocation Fund

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For

Against

Abstain

The Hartford Conservative Allocation Fund

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[  ]

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For

Against

Abstain

The Hartford Growth Allocation Fund

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4.To transact such other business as may properly come before the meeting,Meeting, or any adjournment(s) or postponement(s) thereof.

WE NEED YOUR VOTE AS SOON AS POSSIBLE.

THANK YOU IN ADVANCE FOR YOUR PARTICIPATION.

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