FORM 11-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
(Mark One)
[X ] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2019
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ____________ to ______________
Commission file number 001-13958
A. Full title of the Plan and the address of the Plan, if different from that of the issuer named below:
THE HARTFORD INVESTMENT AND SAVINGS PLAN
B. Name of issuer of the securities held pursuant to the Plan and the address of its principal executive office:
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
One Hartford Plaza, Hartford, Connecticut 06155
The Hartford Investment and Savings Plan
TABLE OF CONTENTS
December 31, 2019 and 2018
Page No(s). | |||||
Report of Independent Registered Public Accounting Firm | F-3 | ||||
Financial Statements: | |||||
Statements of Net Assets Available for Benefits as of December 31, 2019 and 2018 | F-4 | ||||
Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2019 | F-5 | ||||
Notes to Financial Statements as of December 31, 2019 and 2018 and for the year ended December 31, 2019 | F-6 - F-15 | ||||
Supplemental Schedule: | |||||
Form 5500, Schedule H, Part IV, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2019 | F-16 - F-43 | ||||
Signature | F-44 - F-45 | ||||
Exhibit Index | |||||
Exhibit Number Exhibit Name | |||||
All other schedules required by Section 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable.
F-2
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan Participants and Plan Administrator of
The Hartford Investment and Savings Plan
Hartford, Connecticut
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the "Plan") as of December 31, 2019 and 2018, the related statement of changes in net assets available for benefits for the year ended December 31, 2019, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2019 and 2018, and the changes in net assets available for benefits for the year ended December 31, 2019, in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion
These financial statements are the responsibility of the Plan's management. Our responsibility is to express an opinion on the Plan's financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
Report on Supplemental Schedule
The supplemental schedule of assets (held at end of year) as of December 31, 2019, has been subjected to audit procedures performed in conjunction with the audit of the Plan's financial statements. The supplemental schedule is the responsibility of the Plan's management. Our audit procedures included determining whether the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 25, 2020
We have served as the auditor of the Plan since 2001.
F-3
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2019 AND 2018
($ IN THOUSANDS)
2019 | 2018 | ||||||||||
Assets | |||||||||||
Investments: | |||||||||||
Investments, at fair value (Note 4) | $ | 4,329,928 | $ | 3,369,025 | |||||||
Investments, at contract value (Note 3) | 741,963 | 746,061 | |||||||||
Total investments | 5,071,891 | 4,115,086 | |||||||||
Receivables: | |||||||||||
Notes receivable from Members | 73,552 | 67,753 | |||||||||
Dividends and interest receivable | 3,085 | 2,961 | |||||||||
Total receivables | 76,637 | 70,714 | |||||||||
Total assets | 5,148,528 | 4,185,800 | |||||||||
Liabilities | |||||||||||
Investment management expenses payable | 788 | 803 | |||||||||
Administrative expenses payable | 49 | 43 | |||||||||
Total liabilities | 837 | 846 | |||||||||
Net assets available for benefits | $ | 5,147,691 | $ | 4,184,954 |
See Notes to Financial Statements.
F-4
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2019
($ IN THOUSANDS)
2019 | |||||
Additions to net assets attributed to: | |||||
Contributions: | |||||
Member contributions | $ | 169,686 | |||
Employer contributions | 136,694 | ||||
Rollover contributions | 77,414 | ||||
Total contributions | 383,794 | ||||
Investment income: | |||||
Net appreciation in fair value of investments | 873,804 | ||||
Dividends | 11,508 | ||||
Total investment income | 885,312 | ||||
Interest income on notes receivable from Members | 4,016 | ||||
Total additions | 1,273,122 | ||||
Deductions from net assets attributed to: | |||||
Benefits paid to Members | 308,144 | ||||
Investment management fees | 1,958 | ||||
Administrative expenses | 283 | ||||
Total deductions | 310,385 | ||||
Net increase in net assets | 962,737 | ||||
Net assets available for benefits: | |||||
Beginning of year | 4,184,954 | ||||
End of year | $ | 5,147,691 | |||
See Notes to Financial Statements.
F-5
THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2019 AND 2018
AND FOR THE YEAR ENDED DECEMBER 31, 2019
($ IN THOUSANDS)
Note 1. Description of the Plan
The following description of The Hartford Investment and Savings Plan (the “Plan” or “ISP”) is provided for general information purposes only. Members should refer to the Plan document for more complete information. “Members” refers to eligible participants of the Plan.
The Hartford Financial Services Group, Inc. (“HFSG”, together with its subsidiaries, “The Hartford”, or the “Company”) is an insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States of America. The Hartford is also a provider of mutual funds to investors. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of The Hartford.
Information with regard to eligibility, contributions, distributions, vesting, trustees, withdrawals, loans, fund redistribution and certain definitions are contained in the Plan document. A Summary Plan Description (“SPD”) setting forth the highlights of the Plan is available to Members on the Fidelity Net Benefits website. Fidelity Workplace Services LLC serves as the record keeper of the Plan.
Plan Changes
See Note 9 for a general description of amendments made to the Plan document during 2019 and 2018.
General
The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”).
The trust, as defined in the Plan document, is comprised of the aggregate funds held by the trustee, State Street Bank and Trust Company (the “Trustee”), under the trust agreement established for the purposes of the Plan. The Investment and Savings Plan Investment Committee (“ISPIC”) is responsible for the management of Plan assets except with respect to matters that are the responsibility of Newport Trust Company as fiduciary with respect to the common stock of HFSG (“Hartford Stock”) held in The Hartford Stock Fund. The ISPIC may from time to time add investment funds to, or eliminate investment funds from, the group of investment funds available under the Plan, provided, however, that the ISPIC has no authority with respect to the Hartford Stock in The Hartford Stock Fund.
Contributions
Members may elect to contribute a percentage of their eligible compensation (including, overtime and certain annual bonuses and sales incentives) and may designate their contributions as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, Members may contribute 1% to 50% of eligible compensation, except that Members who are highly compensated employees may have contribution limits of less than 50% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the “IRC”). If Members do not elect otherwise, they are automatically enrolled to make before-tax contributions equal to 6% of eligible compensation.
The Company's contributions include a non-elective contribution of 2% of eligible compensation (“Non-elective Company contributions”) and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (“Matching Company contributions”). Prior to January 1, 2013, in addition to matching company contributions, the Company made floor company contributions equal to 0.5% of highly compensated eligible employees’ base salary and 1.5% of all other eligible employees’ base salary.
F-6
Note 1. Description of the Plan (continued)
Member contributions in excess of 6% of the eligible compensation are supplemental savings that are not matched by the Company.
Administrative Costs
The trust pays certain administrative expenses of the Plan out of the assets of the trust. Expenses not paid by the trust are borne by the Company.
Member Accounts
Individual accounts are maintained for each Member of the Plan. Each Member’s account is credited with that Member’s contributions and allocations of the associated Matching Company contributions, Non-Elective Company contributions and any investment earnings for the Member’s account, and is charged with withdrawals and an allocation of administrative expenses and investment losses for the Member’s account. Allocations are based on Member account balances, as defined in the Plan document. The benefit to which a Member is entitled is the benefit that can be provided from that Member’s vested account balance.
Vesting
Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members first hired prior to January 1, 2016 are 100% vested in Matching Company and Non-Elective Company contributions made after January 1, 2013 after two years of service. Effective January 1, 2016, Members first hired on or after January 1, 2016 are 100% vested in Matching Company contributions and Non-Elective Company contributions after three years of service.
Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions made prior to January 1, 2013.
Notwithstanding the foregoing statement, a Member becomes fully vested in such Member’s Matching and Non-Elective Company contribution account upon retirement (for retirement eligible Members), disability, death, reaching age 65, or upon the complete discontinuance of Company contributions or termination of the Plan.
Investment Options
Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. Member contributions, Matching Company contributions and Non-Elective Company contributions may be invested in any of the various investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (“Member directed investments”).
Certain investment options are parties-in-interest with The Hartford. See Note 8 for further discussion.
Notes Receivable from Members
Members may borrow from their accounts a minimum of $0.5 to a maximum equal to the lesser of $50 or 50% of their vested account balance, reduced by any pre-existing outstanding loan amounts during the last 12 months. Loan transactions are treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Member’s account. The interest rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan. Principal and interest is paid ratably through payroll deductions.
Payment of Benefits
On termination of service due to retirement, death, disability, or certain other reasons, Members or their designated beneficiaries may elect to receive either a lump sum amount equal to the value of their vested account balance, or, in the case of
F-7
Note 1. Description of the Plan (continued)
Members meeting certain requirements, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipient’s life expectancy. If a Member was receiving installment payments, upon the Member’s death, the designated beneficiary has the option of receiving the remaining value either in a lump sum or annual installments over the beneficiary’s life expectancy.
Distributions may be paid in cash or, with respect to The Hartford Stock Fund, in stock distributions. Members or their designated beneficiaries may also elect to defer distributions subject to certain conditions.
Forfeitures
When a Member terminates employment before he or she has vested in his or her Matching Company and Non-Elective Company contributions, the non-vested portion of the Member’s account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future Company contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2019 and 2018, forfeited non-vested account balances totaled $25 and $57, respectively, that had not been applied yet to future contributions or expenses.
These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2019, Matching Company contributions were reduced by $3,608 from forfeitures.
Adoption of New Accounting Standards
In August 2018, the Financial Accounting Standards Board ("FASB") issued Accounting Standards Update ("ASU") 2018-13, Fair Value Measurement (Topic 820) – Disclosure Framework – Changes to the Disclosure Requirements for Fair Value Measurement, which amends certain disclosure requirements of ASC 820, effective for fiscal years beginning after December 15, 2019 with early adoption permitted. Early adoption is only permitted for the eliminated or modified disclosure requirements. The ASU removed the requirement to disclose the amount of and reasons for transfers between level 1 and level 2 of the fair value hierarchy as well as the policy for timing of transfers between levels. The ASU also modified the disclosure for investments in certain entities that calculate NAV to disclose the timing of liquidation of an investee’s assets and the date when restrictions from redemption might lapse only if the investee has communicated the timing to the Plan or announced the timing publicly. It also clarified the measurement uncertainty disclosure to communicate information about the uncertainty in measurement as of the reporting date. This disclosure is applicable to the Plan and the Plan adopted the new guidance as of December 31, 2019 and affected disclosures is incorporated in Note 4, Fair Value Measurements. There are no effects on the statements of net assets available for benefits or changes therein.
Note 2. Accounting Policies
Basis of Accounting
The accompanying financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America (“U.S. GAAP”) and the Department of Labor’s Rules and Regulations for Reporting and Disclosure under ERISA.
Use of Estimates
The preparation of financial statements in conformity with U.S. GAAP requires management of the Plan to make estimates and assumptions that affect the reported amounts of assets and liabilities and changes therein, and disclosure of contingent assets and liabilities as of the date of the financial statements and the reported amounts of additions and deductions during the reporting period. Actual results could differ from those estimates.
Risks and Uncertainties
The Plan provides various investment options to its Members. Investment securities, in general, are exposed to various risks, such as interest rate, credit and overall market volatility. Due to the level of risk associated with certain investment securities, it is possible that changes in the values of investment securities, which are reflected in the Statement of Changes in Net Assets Available for Benefits, may occur in the near term and such changes could materially affect the amounts reported in the financial statements.
F-8
Note 2. Accounting Policies (continued)
Investment Valuation and Income Recognition
The Plan’s investments are stated at fair value, except for fully benefit-responsive guaranteed investment contracts (“GICs”), which are reported at contract value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. Contract value is the amount Plan Members would receive if they were to initiate permitted transactions under the terms of the Plan (see Note 3). See Note 4 for discussion on fair value measurements.
Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Net appreciation includes the Plan’s gains and losses on investments bought and sold as well as held during the year.
Investment expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of
investment gain (loss) for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan.
Payment of Benefits
Benefits paid to Members are recorded when distributed.
Contributions
Member and Matching and Non-Elective Company contributions are recorded in the period during which the Company makes payroll deductions from Members’ compensation.
Excess Contribution Payable
The Plan is required to return contributions received during the Plan year in excess of the IRC limits. There were no such excess contributions in 2019 or 2018.
Notes Receivable from Members
Notes receivable from Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent notes receivable from Member loans are recorded as deemed distributions based on the terms of the Plan document.
Administrative Expenses
Certain administrative expenses of the Plan are paid by the Plan Sponsor as provided in the Plan document. Recordkeeping fees of the Plan are paid by the Plan. All investment management and transaction fees directly related to the Plan investments are paid by the Plan.
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions
The Plan’s stable value fund ("the Fund") available to Members as an investment option is a separately managed account, managed solely for the Plan, with a stable value fund investment strategy. The investment contracts within the stable value fund meet the fully benefit-responsive investment contract criteria and, therefore, are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Members if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under the contract, plus earnings based on crediting rates, less Member withdrawals and less administrative expenses. The following represents the disaggregation of contract value between types of investment contracts held by the Plan:
F-9
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
Contract Issuer | Contract Number | Major Credit Ratings | As of 12/31/2019 Investments at Contract Value | As of 12/31/2018 Investments at Contract Value | ||||||||||
Synthetic GIC Contracts: | ||||||||||||||
Transamerica Premier Life | MDA01097TR | AA- / Aa2 | $ | 226,659 | $ | 220,225 | ||||||||
American General Life | 1646368 | AA / Aa2 | 106,452 | 103,802 | ||||||||||
American General Life | 1635582 | AA+ / Aa2 | 81,789 | 79,895 | ||||||||||
RGA | RGA00058 | AA / Aa2 | 44,690 | 43,545 | ||||||||||
Prudential | GA62433 | AA / Aal | 181,686 | 176,671 | ||||||||||
Traditional GIC Contract: | ||||||||||||||
New York Life | GA29021 | AA+ / Aaa | 100,687 | 97,774 | ||||||||||
741,963 | 721,912 | |||||||||||||
Cash and cash equivalents | 24,149 | |||||||||||||
Total | $ | 741,963 | $ | 746,061 |
The key difference between a synthetic guaranteed investment contract ("GIC") and a traditional GIC is that the Plan owns the underlying assets of the synthetic GIC. A synthetic GIC includes a wrapper contract, which is an agreement with the wrap issuer, such as a bank or insurance company, to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. Synthetic and traditional GICs are designed to accrue interest based on crediting rates established by the contract issuers.
The synthetic GICs held by the Plan includes wrapper contracts that provide a guarantee that the crediting rate with respect to the applicable underlying assets will not fall below 0%. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in the contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reviewed monthly for resetting.
The Plan also holds a traditional GIC. The contract issuer is contractually obligated to repay the principal and interest at a specific interest rate that is guaranteed to the Plan. The crediting rate is based on a formula established by the contract issuer but may not be less than 0%. The crediting rate is reviewed on a quarterly basis for resetting. The contract cannot be terminated before the scheduled maturity date.
The Plan’s ability to receive amounts due in accordance with the traditional and the synthetic GIC is dependent on the third-party issuer’s ability to meet its financial obligations. The issuer’s ability to meet its contractual obligations may be affected by future economic and regulatory developments.
Certain events might limit the ability of the Plan to transact at contract value with the contract issuer. Examples of such events include the following:
1.The Plan’s failure to qualify under Section 401(a) of the Internal Revenue Code or the failure of the trust to be tax-exempt under Section 501(a) of the Internal Revenue Code
2.Premature termination of the traditional GIC contract or the synthetic GIC contract
3.Plan termination or merger
4.Changes to the Plan’s prohibition on competing investment options
5.Bankruptcy of the Plan Sponsor or other Plan Sponsor events (for example, divestitures or spinoffs of a subsidiary) that significantly affect the Plan’s normal operations.
The Plan Sponsor does not believe that any such events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuer or that would limit the ability of the Plan to transact at contract value with the Members.
F-10
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
In addition, certain events allow the issuer to terminate the contract with the Plan and settle at an amount different from contract value. Examples of such events include the following:
1.An uncured violation of the Plan’s investment guidelines
2.A breach of a material obligation under the contract by the Plan Sponsor
3.A material misrepresentation by the Plan Sponsor
4.A material amendment to the agreements without the consent of the issuer.
Note 4. Fair Value Measurements
The Plan estimates of fair value are based on ASC 820, Fair Value Measurements and Disclosures, which provides a framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value and requires that observable inputs be used in valuations when available.
The disclosure of fair value estimates in the fair value accounting guidance hierarchy is based on whether the significant inputs into the valuation are observable. In determining the level of the hierarchy in which the estimate is disclosed, the highest priority is given to unadjusted quoted prices in active markets and the lowest priority to unobservable inputs that reflect the Plan’s significant market assumptions. The level in the fair value hierarchy within which the fair value measurement is reported is based on the level of the input that is least observable to the measurement in its entirety. The three levels of the hierarchy are as follows:
•Level 1 - Fair values based primarily on unadjusted quoted prices for identical assets, or liabilities, in active markets that the Plan has the ability to access at the measurement date.
• Level 2 - Fair values primarily based on observable inputs, other than quoted prices included in Level 1, or based on prices for similar assets and liabilities in inactive markets.
• Level 3 - Fair values derived when one or more of the significant inputs are unobservable (including assumptions about risk). With little or no observable market, the determination of fair values uses considerable judgment and represents the Plan’s best estimate of an amount that could be realized in a market exchange for the asset or liability. Also included are securities that are traded within illiquid markets and/or priced by independent brokers.
Asset Valuation Techniques - Valuation techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2019 and 2018.
Short-term Investments - Primary inputs also include material event notices and new issue money market rates.
Mutual Funds - Valued at the daily closing price as reported by the fund. Mutual funds held by the Plan are open-ended mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily NAV and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded.
Equity Securities - Valued at the closing price reported on the active market on which the individual securities are traded.
Collective Investment Trusts - Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay
withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner. As of December 31, 2019 and 2018 there were no unfunded commitments or redemption restrictions on collective investment trusts.
F-11
Note 4. Fair Value Measurements (continued)
The following tables set forth by level within the fair value hierarchy a summary of the Plan’s investments measured at fair value on a recurring basis at December 31, 2019 and 2018.
Investment Assets at Fair Value December 31, 2019 | |||||||||||||||||||||||||||||||||||||||||
Active Markets for Identical Assets (Level 1) | Other Observable Inputs (Level 2) | Significant Unobservable Inputs (Level 3) | Total | ||||||||||||||||||||||||||||||||||||||
Invested Assets | |||||||||||||||||||||||||||||||||||||||||
Short Term Investments | $ | — | $ | 6,680 | $ | — | $ | 6,680 | |||||||||||||||||||||||||||||||||
Mutual Funds | 770,292 | — | — | 770,292 | |||||||||||||||||||||||||||||||||||||
Equity Securities | 821,810 | — | — | 821,810 | |||||||||||||||||||||||||||||||||||||
Total Investments at fair value [1] | $ | 1,592,102 | $ | 6,680 | $ | — | $ | 1,598,782 | |||||||||||||||||||||||||||||||||
Investments at net asset value: | |||||||||||||||||||||||||||||||||||||||||
Collective investment trusts | 2,731,146 | ||||||||||||||||||||||||||||||||||||||||
Total investments | $ | 4,329,928 |
[1] Excludes $1,310 of dividend receivable and $1,775 of interest receivable recorded at fair value.
Investment Assets at Fair Value December 31, 2018 | |||||||||||||||||||||||||||||||||||||||||
Active Markets for Identical Assets (Level 1) | Other Observable Inputs (Level 2) | Significant Unobservable Inputs (Level 3) | Total | ||||||||||||||||||||||||||||||||||||||
Invested Assets | |||||||||||||||||||||||||||||||||||||||||
Short Term Investments | $ | — | $ | 9,522 | $ | — | $ | 9,522 | |||||||||||||||||||||||||||||||||
Mutual Funds | 869,341 | — | — | 869,341 | |||||||||||||||||||||||||||||||||||||
Equity Securities | 1,124,940 | — | — | 1,124,940 | |||||||||||||||||||||||||||||||||||||
Total Investments at fair value [1] | $ | 1,994,281 | $ | 9,522 | $ | — | $ | 2,003,803 | |||||||||||||||||||||||||||||||||
Investments at net asset value: | |||||||||||||||||||||||||||||||||||||||||
Collective investment trusts | 1,365,222 | ||||||||||||||||||||||||||||||||||||||||
Total investments | $ | 3,369,025 |
[1] Excludes $1,395 of dividend receivable and $1,566 of interest receivable recorded at fair value.
Hartford’s Investment and Savings Plan Investment Committee, which oversees the Plan’s menu of investments, works with an unaffiliated investment consultant to monitor the performance of Plan investments, periodically reviews the Plan’s menu of investments and, when appropriate, makes changes.
The valuation methods described in Note 2 may produce a fair value calculation that may not be indicative of net realizable value or reflective of future fair values. Furthermore, although the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different fair value measurement at the reporting date.
F-12
Note 5. Federal Income Tax Status
The Internal Revenue Service (“IRS”) has determined and informed the Company by letter dated June 13, 2017 that the Plan and related Trust are designed in accordance with the applicable regulations of the IRC. The Company and Plan management believe that the Plan is currently designed and operated in compliance with the applicable requirements of the IRC and the Plan and related Trust continue to be tax-exempt. No provision for income taxes has been included in the Plan’s financial statements.
GAAP requires Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS.
The Plan is subject to audit by the IRS; however there are currently no audits for any tax periods in progress. The Plan administrator believes it is no longer subject to income tax examinations for years prior to 2016.
Note 6. Plan Termination
Although the Company has not expressed any intent to do so, the Company has the right under the Plan to suspend, reduce, or partially or completely discontinue its contributions at any time and to terminate the Plan, the Trust agreement and the Trust hereunder, subject to the provisions of ERISA. In the event of termination or partial termination of the Plan or complete discontinuance of contributions, affected Members automatically become fully-vested in their accounts.
Note 7. Reconciliation of Financial Statements to Form 5500
The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts reflected in Form 5500 as of December 31, 2019 and 2018:
2019 | 2018 | |||||||
Net assets available for benefits per accompanying financial statements | $ | 5,147,691 | $ | 4,184,954 | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts | 18,487 | (6,159) | ||||||
Net assets per Form 5500 | $ | 5,166,178 | $ | 4,178,795 |
The following is a reconciliation of total investment income, contributions and interest income on notes receivable on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2019:
Total investment income, contributions and interest income on notes receivable per accompanying financial statements | $ | 1,273,122 | |||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year | $ | 6,159 | |||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at end of the year | $ | 18,487 | |||
Total income per Form 5500 | $ | 1,297,768 |
F-13
Note 7. Reconciliation of Financial Statements to Form 5500 (continued)
The following is a reconciliation of benefits paid to Members between the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2019:
Benefits paid to Members per accompanying financial statements | $ | 308,144 | |||
Deduct amounts allocated to deemed loan distributions | 119 | ||||
Benefits paid to Members per Form 5500 | $ | 308,025 |
Note 8. Exempt Party-in-Interest Transactions
Certain Plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services amounted to $56 for the year ended December 31, 2019. The group annuity contract issued by a subsidiary of the Company was terminated in June 2018. In addition, certain Plan investments include shares of mutual funds that are advised and distributed by a subsidiary and shares of Hartford Stock. At December 31, 2019 and 2018, the fair value of affiliated mutual funds held by the Plan was $770,292 and $869,341, respectively. At December 31, 2019 and 2018, the Plan held 3,598,901 shares and 3,882,431 shares of Hartford Stock with a cost basis of $121,470 and $130,077, respectively. The shares of Hartford Stock had a fair value of $218,705 and $172,574 at December 31, 2019 and 2018, respectively. During the year ended December 31, 2019, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of $11,508.
Note 9. Plan Amendments and Other Changes
Effective January 1, 2018, the definition of Service was revised to give credit for employment with Aetna, Inc. to former Aetna employees who became Company employees on January 1, 2018 as a result of the Company’s acquisition of Aetna’s group life and disability business. Former Aetna employees who did not make a proper enrollment election were automatically enrolled in the Plan by April 1,2019 with before-tax contributions equal to 6% of eligible compensation.
Effective January 1, 2018, a provision was added to the Plan to reduce the administrative burden of filing for benefits in cases where the beneficiary is unable to care for their affairs due to illness or accident, or is a minor or has died.
Effective December 1, 2018, the definition of Service was revised to give credit for employment with Y-Risk to former Y-Risk employees who became Hartford employees on December 1, 2018 as a result of the Y-Risk transaction. In addition, former Y-Risk employees who did not otherwise enroll in the Plan were automatically enrolled as of January 7, 2019 (or as soon as practicable thereafter).
Effective January 1, 2019, the Plan was amended so that (a) a Member is no longer required to obtain a plan loan before requesting a hardship withdrawal; (b) member contributions will no longer be suspended after receipt of a hardship withdrawal; and (c) earnings on before-tax contributions will be included as part of a hardship withdrawal.
Effective May 23, 2019, the definition of Service was revised to give credit for employment with Navigators to former Navigators employees who became Company employees on May 23, 2019 as a result of the Navigators transaction. In addition, former Navigators employees who did not otherwise enroll in the Plan were automatically enrolled within 90 days of the May 23, 2019 acquisition date.
Effective May 23, 2019, the definition of “Eligible Employee” was amended by adding the following to the list of Ineligible Persons: (a) a person who is a nonresident alien and who receives no earned income (within the meaning of Code Section 911(d)(2)) from the Company or its affiliate which constitutes income from sources within the United States (within the meaning of Code Section 861(a)(3)); and (b) a person who is a U.S. citizen working in a foreign country for the Company or its affiliate who is not on the U.S. payroll of Hartford Fire Insurance Company.
Effective July 1, 2019, the Plan was amended to (a) increase the maximum Member contribution from 30% of eligible pay to 50%; and (b) allow partial loan prepayments.
F-14
Note 10. Subsequent Events
The 2019 novel coronavirus ("COVID-19") outbreak, which was declared a pandemic by the World Health Organization on March 11, 2020, has negatively impacted the world economy and common stock share prices for most companies, including the Company’s common stock share price. The Plan’s investment in the Hartford Stock is stated at fair value based on the closing price of $60.77 per share of the Hartford Stock at December 31, 2019, a value significantly higher than the current market price. The impact of COVID-19 on companies continues to evolve rapidly and its future effects on the Plan’s net assets available for benefits and changes in net assets available for benefits are uncertain.
On March 27, 2020, the Coronavirus Aid, Relief, and Economic Security (CARES) Act was passed by Congress. The CARES Act provides immediate and temporary relief for retirement plan sponsors and their participants with respect to employer contributions, distributions and participant loans. The provisions of the CARES Act may become effective and operationalized immediately, prior to amending the plan document.
The Plan has implemented the following relief provisions; however their future effects on the Plan’s net assets available for benefits and changes in net assets available for benefits are uncertain.
◦Coronavirus-related distribution – Qualified participants may take a coronavirus-related distribution of up to $100 from their retirement plan without a 10% early withdrawal penalty. Eligible distributions can be taken up to December 31, 2020. Coronavirus-related distributions may be repaid within three years.
◦Participant loans – Qualified participants may borrow up to $100 from the Plan (an increase from the $50 previously allowed), and repayment can be delayed.
◦Required minimum distributions (RMDs) – RMDs were temporarily suspended for 2020.
Effective January 1, 2020, the Plan was amended so that an eligible employee hired on or after January 1, 2020 will no longer need to wait 90 days to become a Member for purposes of making contributions to the Plan; they are immediately eligible.
Management has evaluated events subsequent to December 31, 2019, through the date the financial statements were issued, noting there are no other subsequent events requiring adjustment or disclosure in the financial statements.
******
F-15
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
Chartwell Equity Securities | ||||||||||||||||||||||||||
AMERICAN EQUITY INVT LIFE HL | *** | $ | 1,017 | |||||||||||||||||||||||
APERGY CORP | *** | 1,063 | ||||||||||||||||||||||||
ARGO GROUP INTERNATIONAL | *** | 1,569 | ||||||||||||||||||||||||
AVISTA CORP | *** | 917 | ||||||||||||||||||||||||
BARNES GROUP INC | *** | 1,191 | ||||||||||||||||||||||||
BLACK HILLS CORP | *** | 1,010 | ||||||||||||||||||||||||
CACI INTERNATIONAL INC CL A | *** | 2,372 | ||||||||||||||||||||||||
CACTUS INC A | *** | 1,199 | ||||||||||||||||||||||||
CHEESECAKE FACTORY INC/THE | *** | 989 | ||||||||||||||||||||||||
COLUMBIA BANKING SYSTEM INC | *** | 1,342 | ||||||||||||||||||||||||
COMMVAULT SYSTEMS INC | *** | 934 | ||||||||||||||||||||||||
CVB FINANCIAL CORP | *** | 863 | ||||||||||||||||||||||||
DENNY S CORP | *** | 1,879 | ||||||||||||||||||||||||
DIODES INC | *** | 1,778 | ||||||||||||||||||||||||
DYCOM INDUSTRIES INC | *** | 997 | ||||||||||||||||||||||||
EAGLE MATERIALS INC | *** | 979 | ||||||||||||||||||||||||
EAGLE PHARMACEUTICALS INC | *** | 1,032 | ||||||||||||||||||||||||
EL PASO ELECTRIC CO | *** | 1,374 | ||||||||||||||||||||||||
EMPIRE STATE REALTY TRUST A | *** | 690 | ||||||||||||||||||||||||
ENPRO INDUSTRIES INC | *** | 564 | ||||||||||||||||||||||||
ESCO TECHNOLOGIES INC | *** | 1,146 | ||||||||||||||||||||||||
FIRST FINANCIAL BANCORP | *** | 1,102 | ||||||||||||||||||||||||
FIRST INDUSTRIAL REALTY TR | *** | 1,384 | ||||||||||||||||||||||||
FIRST MIDWEST BANCORP INC/IL | *** | 1,012 | ||||||||||||||||||||||||
FNB CORP | *** | 682 | ||||||||||||||||||||||||
FRANKLIN ELECTRIC CO INC | *** | 1,048 | ||||||||||||||||||||||||
FRESH DEL MONTE PRODUCE INC | *** | 1,011 | ||||||||||||||||||||||||
G III APPAREL GROUP LTD | *** | 1,365 | ||||||||||||||||||||||||
GLATFELTER | *** | 1,330 | ||||||||||||||||||||||||
HARSCO CORP | *** | 1,310 | ||||||||||||||||||||||||
HEALTHCARE REALTY TRUST INC | *** | 1,302 | ||||||||||||||||||||||||
HOPE BANCORP INC | *** | 848 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-16
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
HUB GROUP INC CL A | *** | 975 | ||||||||||||||||||||||||
INDEPENDENT BANK GROUP INC | *** | 1,183 | ||||||||||||||||||||||||
INTERFACE INC | *** | 1,289 | ||||||||||||||||||||||||
ITT INC | *** | 2,243 | ||||||||||||||||||||||||
KITE REALTY GROUP TRUST | *** | 593 | ||||||||||||||||||||||||
KNOLL INC | *** | 1,067 | ||||||||||||||||||||||||
KORN FERRY | *** | 1,067 | ||||||||||||||||||||||||
MANTECH INTERNATIONAL CORP A | *** | 1,734 | ||||||||||||||||||||||||
MATTHEWS INTL CORP CLASS A | *** | 508 | ||||||||||||||||||||||||
MCGRATH RENTCORP | *** | 1,218 | ||||||||||||||||||||||||
MINERALS TECHNOLOGIES INC | *** | 1,171 | ||||||||||||||||||||||||
MOOG INC CLASS A | *** | 1,283 | ||||||||||||||||||||||||
MUELLER WATER PRODUCTS INC A | *** | 1,383 | ||||||||||||||||||||||||
NORTHWESTERN CORP | *** | 1,654 | ||||||||||||||||||||||||
OXFORD INDUSTRIES INC | *** | 616 | ||||||||||||||||||||||||
PEBBLEBROOK HOTEL TRUST | *** | 720 | ||||||||||||||||||||||||
PHIBRO ANIMAL HEALTH CORP A | *** | 676 | ||||||||||||||||||||||||
PIEDMONT OFFICE REALTY TRU A | *** | 1,323 | ||||||||||||||||||||||||
PLEXUS CORP | *** | 2,045 | ||||||||||||||||||||||||
PRA GROUP INC | *** | 1,459 | ||||||||||||||||||||||||
PROGRESS SOFTWARE CORP | *** | 1,096 | ||||||||||||||||||||||||
PS BUSINESS PARKS INC/CA | *** | 1,684 | ||||||||||||||||||||||||
RENASANT CORP | *** | 942 | ||||||||||||||||||||||||
RUSH ENTERPRISES INC CL A | *** | 1,388 | ||||||||||||||||||||||||
SAIA INC | *** | 1,827 | ||||||||||||||||||||||||
SANDERSON FARMS INC | *** | 1,612 | ||||||||||||||||||||||||
SANDY SPRING BANCORP INC | *** | 1,334 | ||||||||||||||||||||||||
SCHOLASTIC CORP | *** | 1,144 | ||||||||||||||||||||||||
SELECTIVE INSURANCE GROUP | *** | 1,080 | ||||||||||||||||||||||||
SOUTH STATE CORP | *** | 1,338 | ||||||||||||||||||||||||
SOUTHWEST GAS HOLDINGS INC | *** | 1,121 | ||||||||||||||||||||||||
SRC ENERGY INC | *** | 553 | ||||||||||||||||||||||||
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-17
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
STAG INDUSTRIAL INC | *** | 1,273 | ||||||||||||||||||||||||
SYNOVUS FINANCIAL CORP | *** | 697 | ||||||||||||||||||||||||
TOWNE BANK | *** | 970 | ||||||||||||||||||||||||
TRI POINTE GROUP INC | *** | 929 | ||||||||||||||||||||||||
TRUEBLUE INC | *** | 1,124 | ||||||||||||||||||||||||
UMB FINANCIAL CORP | *** | 930 | ||||||||||||||||||||||||
UMPQUA HOLDINGS CORP | *** | 836 | ||||||||||||||||||||||||
UNIFIRST CORP/MA | *** | 1,084 | ||||||||||||||||||||||||
UNITED BANKSHARES INC | *** | 789 | ||||||||||||||||||||||||
UNITED COMMUNITY BANKS/GA | *** | 1,322 | ||||||||||||||||||||||||
US DOLLAR | *** | 262 | ||||||||||||||||||||||||
WOLVERINE WORLD WIDE INC | *** | 1,002 | ||||||||||||||||||||||||
Subtotal Chartwell Equity Securities | 87,843 | |||||||||||||||||||||||||
Clearing Account | ||||||||||||||||||||||||||
State Street Bank and Trust | *** | -236 | ||||||||||||||||||||||||
Subtotal Clearing Account | -236 | |||||||||||||||||||||||||
Collective Investment Trusts | ||||||||||||||||||||||||||
SSGA REAL ASSET FUND | *** | 47,625 | ||||||||||||||||||||||||
SPRUCEGROVE | INTERNATIONAL STOCK FUND | *** | 109,974 | |||||||||||||||||||||||
State Street | SSGA S&P 500 INDEX NON LENDING | *** | 686,654 | |||||||||||||||||||||||
State Street | STATE STREET | *** | 27,316 | |||||||||||||||||||||||
State Street | STATE STREET | *** | 91,137 | |||||||||||||||||||||||
TARGET RETIREMENT 2050 | *** | 120,322 | ||||||||||||||||||||||||
TARGET RETIREMENT 2045 | *** | 251,785 | ||||||||||||||||||||||||
TARGET RETIREMENT 2040 | *** | 140,653 | ||||||||||||||||||||||||
TARGET RETIREMENT 2035 | *** | 367,986 | ||||||||||||||||||||||||
TARGET RETIREMENT 2030 | *** | 171,412 | ||||||||||||||||||||||||
TARGET RETIREMENT 2025 | *** | 347,398 | ||||||||||||||||||||||||
TARGET RETIREMENT 2020 | *** | 97,120 | ||||||||||||||||||||||||
TARGET RETIREMENT 2015 | *** | 78,197 | ||||||||||||||||||||||||
TARGET RETIREMENT INCOME FUND | *** | 53,368 | ||||||||||||||||||||||||
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-18
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
TARGET RETIREMENT 2055 | *** | 73,777 | ||||||||||||||||||||||||
TARGET RETIREMENT 2060 | *** | 35,806 | ||||||||||||||||||||||||
TARGET RETIREMENT 2065 | *** | 3,015 | ||||||||||||||||||||||||
Subtotal Collective Investment Trusts | 2,703,545 | |||||||||||||||||||||||||
Loomis Sayles Growth Fund | ||||||||||||||||||||||||||
ALCON INC | *** | 82 | ||||||||||||||||||||||||
ALIBABA GROUP HOLDING SP ADR | *** | 17,971 | ||||||||||||||||||||||||
ALPHABET INC CL A | *** | 8,841 | ||||||||||||||||||||||||
ALPHABET INC CL C | *** | 8,842 | ||||||||||||||||||||||||
AMAZON.COM INC | *** | 18,401 | ||||||||||||||||||||||||
AMERICAN EXPRESS CO | *** | 298 | ||||||||||||||||||||||||
AMGEN INC | *** | 5,578 | ||||||||||||||||||||||||
AUTODESK INC | *** | 13,258 | ||||||||||||||||||||||||
AUTOMATIC DATA PROCESSING | *** | 2,860 | ||||||||||||||||||||||||
CERNER CORP | *** | 6,580 | ||||||||||||||||||||||||
CISCO SYSTEMS INC | *** | 7,451 | ||||||||||||||||||||||||
COCA COLA CO/THE | *** | 7,409 | ||||||||||||||||||||||||
COLGATE PALMOLIVE CO | *** | 5,174 | ||||||||||||||||||||||||
DANONE SPONS ADR | *** | 6,829 | ||||||||||||||||||||||||
DEERE + CO | *** | 7,507 | ||||||||||||||||||||||||
EXPEDITORS INTL WASH INC | *** | 7,865 | ||||||||||||||||||||||||
FACEBOOK INC CLASS A | *** | 17,904 | ||||||||||||||||||||||||
FACTSET RESEARCH SYSTEMS INC | *** | 5,012 | ||||||||||||||||||||||||
GSTIF 25 BPS | *** | 1,540 | ||||||||||||||||||||||||
MERCK + CO. INC. | *** | 3,605 | ||||||||||||||||||||||||
MICROSOFT CORP | *** | 12,175 | ||||||||||||||||||||||||
MONSTER BEVERAGE CORP | *** | 10,495 | ||||||||||||||||||||||||
NOVARTIS AG SPONSORED ADR | *** | 6,470 | ||||||||||||||||||||||||
NOVO NORDISK A/S SPONS ADR | *** | 8,329 | ||||||||||||||||||||||||
NVIDIA CORP | *** | 9,451 | ||||||||||||||||||||||||
ORACLE CORP | *** | 13,515 | ||||||||||||||||||||||||
PROCTER + GAMBLE CO/THE | *** | 8,521 | ||||||||||||||||||||||||
QUALCOMM INC | *** | 9,085 | ||||||||||||||||||||||||
REGENERON PHARMACEUTICALS | *** | 9,491 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-19
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
ROCHE HOLDINGS LTD SPONS ADR | *** | 9,133 | ||||||||||||||||||||||||
SCHLUMBERGER LTD | *** | 5,064 | ||||||||||||||||||||||||
SEI INVESTMENTS COMPANY | *** | 6,853 | ||||||||||||||||||||||||
STARBUCKS CORP | *** | 7,032 | ||||||||||||||||||||||||
US DOLLAR | *** | 1,000 | ||||||||||||||||||||||||
VARIAN MEDICAL SYSTEMS INC | *** | 2,975 | ||||||||||||||||||||||||
VISA INC CLASS A SHARES | *** | 18,920 | ||||||||||||||||||||||||
YUM BRANDS INC | *** | 4,952 | ||||||||||||||||||||||||
YUM CHINA HOLDINGS INC | *** | 4,059 | ||||||||||||||||||||||||
Subtotal Loomis Sayles Growth Fund | 300,527 | |||||||||||||||||||||||||
Lee Munder Equity Securities | ||||||||||||||||||||||||||
AERCAP HOLDINGS NV | *** | 2,192 | ||||||||||||||||||||||||
AGNC INVESTMENT CORP | *** | 1,747 | ||||||||||||||||||||||||
ALEXANDRIA REAL ESTATE EQUIT | *** | 2,669 | ||||||||||||||||||||||||
ALLEGHENY TECHNOLOGIES INC | *** | 925 | ||||||||||||||||||||||||
ALLSTATE CORP | *** | 2,356 | ||||||||||||||||||||||||
AMERICAN CAMPUS COMMUNITIES | *** | 2,053 | ||||||||||||||||||||||||
AMERIPRISE FINANCIAL INC | *** | 2,588 | ||||||||||||||||||||||||
AMERISOURCEBERGEN CORP | *** | 854 | ||||||||||||||||||||||||
ARAMARK | *** | 1,585 | ||||||||||||||||||||||||
ARCHER DANIELS MIDLAND CO | *** | 1,078 | ||||||||||||||||||||||||
BERRY GLOBAL GROUP INC | *** | 1,878 | ||||||||||||||||||||||||
BORGWARNER INC | *** | 1,454 | ||||||||||||||||||||||||
BRIXMOR PROPERTY GROUP INC | *** | 1,796 | ||||||||||||||||||||||||
CARTER S INC | *** | 1,742 | ||||||||||||||||||||||||
CENTENE CORP | *** | 2,500 | ||||||||||||||||||||||||
CHARLES RIVER LABORATORIES | *** | 1,328 | ||||||||||||||||||||||||
CIMAREX ENERGY CO | *** | 1,203 | ||||||||||||||||||||||||
CLEAN HARBORS INC | *** | 2,181 | ||||||||||||||||||||||||
CONDUENT INC | *** | 867 | ||||||||||||||||||||||||
CONSTELLATION BRANDS INC A | *** | 1,139 | ||||||||||||||||||||||||
DARLING INGREDIENTS INC | *** | 2,923 | ||||||||||||||||||||||||
DENTSPLY SIRONA INC | *** | 2,158 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-20
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | |||||||||||||||||||||||||
DIAMONDBACK ENERGY INC | *** | 2,115 | |||||||||||||||||||||||||||
DOLLAR GENERAL CORP | *** | 1,748 | |||||||||||||||||||||||||||
DOLLAR TREE INC | *** | 1,666 | |||||||||||||||||||||||||||
DOVER CORP | *** | 1,447 | |||||||||||||||||||||||||||
DTE ENERGY COMPANY | *** | 2,230 | |||||||||||||||||||||||||||
ENCOMPASS HEALTH CORP | *** | 2,321 | |||||||||||||||||||||||||||
ENTERGY CORP | *** | 2,611 | |||||||||||||||||||||||||||
ENVISTA HOLDINGS CORP | *** | 2,029 | |||||||||||||||||||||||||||
EQT CORP | *** | 458 | |||||||||||||||||||||||||||
EQUINIX INC | *** | 1,996 | |||||||||||||||||||||||||||
EQUITRANS MIDSTREAM CORP | *** | 346 | |||||||||||||||||||||||||||
EVERGY INC | *** | 2,692 | |||||||||||||||||||||||||||
FMC CORP | *** | 2,408 | |||||||||||||||||||||||||||
GSTIF 25 BPS | *** | 1,009 | |||||||||||||||||||||||||||
HAIN CELESTIAL GROUP INC | *** | 1,875 | |||||||||||||||||||||||||||
HOST HOTELS + RESORTS INC | *** | 1,429 | |||||||||||||||||||||||||||
INGREDION INC | *** | 1,143 | |||||||||||||||||||||||||||
ISHARES RUSSELL MID CAP VALUE | *** | 3,459 | |||||||||||||||||||||||||||
KROGER CO | *** | 1,690 | |||||||||||||||||||||||||||
LEIDOS HOLDINGS INC | *** | 2,974 | |||||||||||||||||||||||||||
LIVENT CORP | *** | 1,426 | |||||||||||||||||||||||||||
LKQ CORP | *** | 3,690 | |||||||||||||||||||||||||||
M + T BANK CORP | *** | 1,235 | |||||||||||||||||||||||||||
MACOM TECHNOLOGY SOLUTIONS H | *** | 2,769 | |||||||||||||||||||||||||||
MICHAELS COS INC/THE | *** | 477 | |||||||||||||||||||||||||||
MID AMERICA APARTMENT COMM | *** | 1,962 | |||||||||||||||||||||||||||
NEWELL BRANDS INC | *** | 1,594 | |||||||||||||||||||||||||||
NISOURCE INC | *** | 2,530 | |||||||||||||||||||||||||||
OLIN CORP | *** | 935 | |||||||||||||||||||||||||||
PACWEST BANCORP | *** | 1,430 | |||||||||||||||||||||||||||
PARKER HANNIFIN CORP | *** | 1,355 | |||||||||||||||||||||||||||
PINNACLE FINANCIAL PARTNERS | *** | 2,007 | |||||||||||||||||||||||||||
PINNACLE WEST CAPITAL | *** | 1,515 | |||||||||||||||||||||||||||
PTC INC | *** | 2,106 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-21
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrorwer, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
QORVO INC | *** | 1,982 | ||||||||||||||||||||||||
QUEST DIAGNOSTICS INC | *** | 2,047 | ||||||||||||||||||||||||
REGAL BELOIT CORP | *** | 2,109 | ||||||||||||||||||||||||
REINSURANCE GROUP OF AMERICA | *** | 2,189 | ||||||||||||||||||||||||
RPM INTERNATIONAL INC | *** | 2,363 | ||||||||||||||||||||||||
SCOTTS MIRACLE GRO CO | *** | 1,441 | ||||||||||||||||||||||||
SIGNATURE BANK | *** | 2,504 | ||||||||||||||||||||||||
SNAP ON INC | *** | 1,781 | ||||||||||||||||||||||||
SPIRE INC | *** | 957 | ||||||||||||||||||||||||
STERICYCLE INC | *** | 1,599 | ||||||||||||||||||||||||
STERLING BANCORP/DE | *** | 2,049 | ||||||||||||||||||||||||
SYNOPSYS INC | *** | 1,813 | ||||||||||||||||||||||||
TREEHOUSE FOODS INC | *** | 3,024 | ||||||||||||||||||||||||
TYSON FOODS INC CL A | *** | 2,266 | ||||||||||||||||||||||||
US DOLLAR | *** | 1,000 | ||||||||||||||||||||||||
VALVOLINE INC | *** | 1,243 | ||||||||||||||||||||||||
Subtotal Lee Munder Equity Securities | 132,260 | |||||||||||||||||||||||||
T. Rowe Price | *** | |||||||||||||||||||||||||
AAON INC | *** | 183 | ||||||||||||||||||||||||
AARON S INC | *** | 185 | ||||||||||||||||||||||||
ACADIA PHARMACEUTICALS INC | *** | 421 | ||||||||||||||||||||||||
ACCELERON PHARMA INC | *** | 170 | ||||||||||||||||||||||||
ACI WORLDWIDE INC | *** | 441 | ||||||||||||||||||||||||
ADDUS HOMECARE CORP | *** | 336 | ||||||||||||||||||||||||
ADVANCED DISPOSAL SERVICES I | *** | 289 | ||||||||||||||||||||||||
ADVANCED ENERGY INDUSTRIES | *** | 307 | ||||||||||||||||||||||||
ADVANSIX INC | *** | 90 | ||||||||||||||||||||||||
AERIE PHARMACEUTICALS INC | *** | 61 | ||||||||||||||||||||||||
AEROJET ROCKETDYNE HOLDINGS | *** | 628 | ||||||||||||||||||||||||
AGIOS PHARMACEUTICALS INC | *** | 151 | ||||||||||||||||||||||||
AIMMUNE THERAPEUTICS INC | *** | 96 | ||||||||||||||||||||||||
ALBANY INTL CORP CL A | *** | 302 | ||||||||||||||||||||||||
ALKERMES PLC | *** | 113 | ||||||||||||||||||||||||
ALNYLAM PHARMACEUTICALS INC | *** | 48 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-22
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrorwer, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
AMEDISYS INC | *** | 490 | ||||||||||||||||||||||||
AMERICOLD REALTY TRUST | *** | 471 | ||||||||||||||||||||||||
AMERIS BANCORP | *** | 271 | ||||||||||||||||||||||||
AMICUS THERAPEUTICS INC | *** | 58 | ||||||||||||||||||||||||
AMN HEALTHCARE SERVICES INC | *** | 257 | ||||||||||||||||||||||||
APERGY CORP | *** | 261 | ||||||||||||||||||||||||
ASGN INC | *** | 520 | ||||||||||||||||||||||||
ASPEN TECHNOLOGY INC | *** | 359 | ||||||||||||||||||||||||
ATKORE INTERNATIONAL GROUP I | *** | 362 | ||||||||||||||||||||||||
AVANOS MEDICAL INC | *** | 25 | ||||||||||||||||||||||||
AXSOME THERAPEUTICS INC | *** | 196 | ||||||||||||||||||||||||
BEACON ROOFING SUPPLY INC | *** | 93 | ||||||||||||||||||||||||
BERRY GLOBAL GROUP INC | *** | 444 | ||||||||||||||||||||||||
BIO RAD LABORATORIES A | *** | 411 | ||||||||||||||||||||||||
BIOTELEMETRY INC | *** | 196 | ||||||||||||||||||||||||
BLACKBAUD INC | *** | 436 | ||||||||||||||||||||||||
BLUEBIRD BIO INC | *** | 95 | ||||||||||||||||||||||||
BLUEPRINT MEDICINES CORP | *** | 260 | ||||||||||||||||||||||||
BOOZ ALLEN HAMILTON HOLDINGS | *** | 586 | ||||||||||||||||||||||||
BOSTON BEER COMPANY INC A | *** | 425 | ||||||||||||||||||||||||
BOYD GAMING CORP | *** | 408 | ||||||||||||||||||||||||
BRIGHT HORIZONS FAMILY SOLUT | *** | 585 | ||||||||||||||||||||||||
BROADRIDGE FINANCIAL SOLUTIO | *** | 150 | ||||||||||||||||||||||||
BRUKER CORP | *** | 213 | ||||||||||||||||||||||||
BRUNSWICK CORP | *** | 305 | ||||||||||||||||||||||||
BURLINGTON STORES INC | *** | 515 | ||||||||||||||||||||||||
CABLE ONE INC | *** | 981 | ||||||||||||||||||||||||
CABOT MICROELECTRONICS CORP | *** | 386 | ||||||||||||||||||||||||
CACI INTERNATIONAL INC CL A | *** | 442 | ||||||||||||||||||||||||
CANTEL MEDICAL CORP | *** | 309 | ||||||||||||||||||||||||
CARDTRONICS PLC A | *** | 275 | ||||||||||||||||||||||||
CAROLINA FINANCIAL CORP | *** | 104 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-23
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
CARTER S INC | *** | 448 | ||||||||||||||||||||||||
CASELLA WASTE SYSTEMS INC A | *** | 603 | ||||||||||||||||||||||||
CASEY S GENERAL STORES INC | *** | 594 | ||||||||||||||||||||||||
CATALENT INC | *** | 577 | ||||||||||||||||||||||||
CAVCO INDUSTRIES INC | *** | 198 | ||||||||||||||||||||||||
CBOE GLOBAL MARKETS INC | *** | 382 | ||||||||||||||||||||||||
CENTERSTATE BANK CORP | *** | 277 | ||||||||||||||||||||||||
CERIDIAN HCM HOLDING INC | *** | 388 | ||||||||||||||||||||||||
CHARLES RIVER LABORATORIES | *** | 643 | ||||||||||||||||||||||||
CHASE CORP | *** | 318 | ||||||||||||||||||||||||
CHEESECAKE FACTORY INC/THE | *** | 120 | ||||||||||||||||||||||||
CHEMED CORP | *** | 675 | ||||||||||||||||||||||||
CHILDREN S PLACE INC/THE | *** | 22 | ||||||||||||||||||||||||
CHOICE HOTELS INTL INC | *** | 438 | ||||||||||||||||||||||||
CHURCHILL DOWNS INC | *** | 769 | ||||||||||||||||||||||||
CIRRUS LOGIC INC | *** | 424 | ||||||||||||||||||||||||
COCA COLA CONSOLIDATED INC | *** | 298 | ||||||||||||||||||||||||
COGNEX CORP | *** | 302 | ||||||||||||||||||||||||
COHERENT INC | *** | 408 | ||||||||||||||||||||||||
COMFORT SYSTEMS USA INC | *** | 214 | ||||||||||||||||||||||||
COMMVAULT SYSTEMS INC | *** | 204 | ||||||||||||||||||||||||
COOPER COS INC/THE | *** | 191 | ||||||||||||||||||||||||
CORELOGIC INC | *** | 317 | ||||||||||||||||||||||||
CORESITE REALTY CORP | *** | 399 | ||||||||||||||||||||||||
CORVEL CORP | *** | 229 | ||||||||||||||||||||||||
CRISPR THERAPEUTICS AG | *** | 204 | ||||||||||||||||||||||||
CUBESMART | *** | 295 | ||||||||||||||||||||||||
CURTISS WRIGHT CORP | *** | 541 | ||||||||||||||||||||||||
CYBERARK SOFTWARE LTD/ISRAEL | *** | 234 | ||||||||||||||||||||||||
CYRUSONE INC | *** | 378 | ||||||||||||||||||||||||
DECIPHERA PHARMACEUTICALS IN | *** | 93 | ||||||||||||||||||||||||
DENNY S CORP | *** | 343 | ||||||||||||||||||||||||
DESCARTES SYSTEMS GRP/THE | *** | 176 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-24
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
DOMINO S PIZZA INC | *** | 285 | ||||||||||||||||||||||||
DOUGLAS DYNAMICS INC | *** | 319 | ||||||||||||||||||||||||
DRIL QUIP INC | *** | 141 | ||||||||||||||||||||||||
E TRADE FINANCIAL CORP | *** | 71 | ||||||||||||||||||||||||
EAGLE MATERIALS INC | *** | 353 | ||||||||||||||||||||||||
EMCOR GROUP INC | *** | 380 | ||||||||||||||||||||||||
EMERGENT BIOSOLUTIONS INC | *** | 350 | ||||||||||||||||||||||||
ENANTA PHARMACEUTICALS INC | *** | 48 | ||||||||||||||||||||||||
ENCOMPASS HEALTH CORP | *** | 313 | ||||||||||||||||||||||||
ENPRO INDUSTRIES INC | *** | 152 | ||||||||||||||||||||||||
ENSIGN GROUP INC/THE | *** | 411 | ||||||||||||||||||||||||
ENTEGRIS INC | *** | 638 | ||||||||||||||||||||||||
ENVESTNET INC | *** | 455 | ||||||||||||||||||||||||
EPLUS INC | *** | 97 | ||||||||||||||||||||||||
EQUITY LIFESTYLE PROPERTIES | *** | 310 | ||||||||||||||||||||||||
EURONET WORLDWIDE INC | *** | 899 | ||||||||||||||||||||||||
EXACT SCIENCES CORP | *** | 548 | ||||||||||||||||||||||||
EXELIXIS INC | *** | 71 | ||||||||||||||||||||||||
EXPONENT INC | *** | 549 | ||||||||||||||||||||||||
FACTSET RESEARCH SYSTEMS INC | *** | 188 | ||||||||||||||||||||||||
FAIR ISAAC CORP | *** | 892 | ||||||||||||||||||||||||
FIBROGEN INC | *** | 163 | ||||||||||||||||||||||||
FIRST BANCORP/NC | *** | 305 | ||||||||||||||||||||||||
FIRST INDUSTRIAL REALTY TR | *** | 390 | ||||||||||||||||||||||||
FORTINET INC | *** | 197 | ||||||||||||||||||||||||
FRONTDOOR INC | *** | 320 | ||||||||||||||||||||||||
GARDNER DENVER HOLDINGS INC | *** | 389 | ||||||||||||||||||||||||
GARTNER INC | *** | 228 | ||||||||||||||||||||||||
GCI LIBERTY INC CLASS A | *** | 496 | ||||||||||||||||||||||||
GENERAC HOLDINGS INC | *** | 450 | ||||||||||||||||||||||||
GLOBAL BLOOD THERAPEUTICS IN | *** | 348 | ||||||||||||||||||||||||
GLOBUS MEDICAL INC A | *** | 372 | ||||||||||||||||||||||||
GRACO INC | *** | 399 | ||||||||||||||||||||||||
GRAND CANYON EDUCATION INC | *** | 390 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-25
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
GRAY TELEVISION INC | *** | 256 | ||||||||||||||||||||||||
GREEN DOT CORP CLASS A | *** | 75 | ||||||||||||||||||||||||
H.B. FULLER CO. | *** | 165 | ||||||||||||||||||||||||
HAEMONETICS CORP/MASS | *** | 522 | ||||||||||||||||||||||||
HEICO CORP CLASS A | *** | 459 | ||||||||||||||||||||||||
HELEN OF TROY LTD | *** | 682 | ||||||||||||||||||||||||
HERITAGE INSURANCE HOLDINGS | *** | 15 | ||||||||||||||||||||||||
HEXCEL CORP | *** | 428 | ||||||||||||||||||||||||
HILLENBRAND INC | *** | 43 | ||||||||||||||||||||||||
HILTON GRAND VACATIONS INC | *** | 330 | ||||||||||||||||||||||||
HORIZON THERAPEUTICS PLC | *** | 480 | ||||||||||||||||||||||||
IAA INC | *** | 452 | ||||||||||||||||||||||||
ICHOR HOLDINGS LTD | *** | 106 | ||||||||||||||||||||||||
ICU MEDICAL INC | *** | 487 | ||||||||||||||||||||||||
IDEX CORP | *** | 133 | ||||||||||||||||||||||||
IMMUNOMEDICS INC | *** | 139 | ||||||||||||||||||||||||
INGEVITY CORP | *** | 484 | ||||||||||||||||||||||||
INNOSPEC INC | *** | 494 | ||||||||||||||||||||||||
INNOVIVA INC | *** | 82 | ||||||||||||||||||||||||
INOGEN INC | *** | 62 | ||||||||||||||||||||||||
INSMED INC | *** | 168 | ||||||||||||||||||||||||
INSPERITY INC | *** | 420 | ||||||||||||||||||||||||
INSULET CORP | *** | 290 | ||||||||||||||||||||||||
IONIS PHARMACEUTICALS INC | *** | 87 | ||||||||||||||||||||||||
IRONWOOD PHARMACEUTICALS INC | *** | 92 | ||||||||||||||||||||||||
J + J SNACK FOODS CORP | *** | 453 | ||||||||||||||||||||||||
J2 GLOBAL INC | *** | 270 | ||||||||||||||||||||||||
JAZZ PHARMACEUTICALS PLC | *** | 99 | ||||||||||||||||||||||||
JOHN B. SANFILIPPO + SON INC | *** | 184 | ||||||||||||||||||||||||
JOHN BEAN TECHNOLOGIES CORP | *** | 435 | ||||||||||||||||||||||||
KEMPER CORP | *** | 240 | ||||||||||||||||||||||||
KODIAK SCIENCES INC | *** | 218 | ||||||||||||||||||||||||
LANDSTAR SYSTEM INC | *** | 433 | ||||||||||||||||||||||||
LANTHEUS HOLDINGS INC | *** | 222 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-26
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
LCI INDUSTRIES | *** | 306 | ||||||||||||||||||||||||
LENNOX INTERNATIONAL INC | *** | 486 | ||||||||||||||||||||||||
LIGAND PHARMACEUTICALS | *** | 253 | ||||||||||||||||||||||||
LINCOLN ELECTRIC HOLDINGS | *** | 197 | ||||||||||||||||||||||||
LITTELFUSE INC | *** | 502 | ||||||||||||||||||||||||
LIVANOVA PLC | *** | 256 | ||||||||||||||||||||||||
LIVE NATION ENTERTAINMENT IN | *** | 247 | ||||||||||||||||||||||||
LOGMEIN INC | *** | 160 | ||||||||||||||||||||||||
LYDALL INC | *** | 94 | ||||||||||||||||||||||||
MADRIGAL PHARMACEUTICALS INC | *** | 32 | ||||||||||||||||||||||||
MANHATTAN ASSOCIATES INC | *** | 369 | ||||||||||||||||||||||||
MARKETAXESS HOLDINGS INC | *** | 606 | ||||||||||||||||||||||||
MARRIOTT VACATIONS WORLD | *** | 76 | ||||||||||||||||||||||||
MASIMO CORP | *** | 668 | ||||||||||||||||||||||||
MATADOR RESOURCES CO | *** | 205 | ||||||||||||||||||||||||
MAXIMUS INC | *** | 579 | ||||||||||||||||||||||||
MAXLINEAR INC | *** | 286 | ||||||||||||||||||||||||
MCGRATH RENTCORP | *** | 138 | ||||||||||||||||||||||||
MEDPACE HOLDINGS INC | *** | 482 | ||||||||||||||||||||||||
MELLANOX TECHNOLOGIES LTD | *** | 602 | ||||||||||||||||||||||||
MGIC INVESTMENT CORP | *** | 88 | ||||||||||||||||||||||||
MIDDLEBY CORP | *** | 53 | ||||||||||||||||||||||||
MIDDLESEX WATER CO | *** | 182 | ||||||||||||||||||||||||
MINERALS TECHNOLOGIES INC | *** | 140 | ||||||||||||||||||||||||
MIRATI THERAPEUTICS INC | *** | 271 | ||||||||||||||||||||||||
MKS INSTRUMENTS INC | *** | 564 | ||||||||||||||||||||||||
MOLINA HEALTHCARE INC | *** | 683 | ||||||||||||||||||||||||
MONOLITHIC POWER SYSTEMS INC | *** | 518 | ||||||||||||||||||||||||
MOOG INC CLASS A | *** | 388 | ||||||||||||||||||||||||
MSG NETWORKS INC A | *** | 125 | ||||||||||||||||||||||||
MURPHY USA INC | *** | 422 | ||||||||||||||||||||||||
MYOKARDIA INC | *** | 187 | ||||||||||||||||||||||||
NCR CORPORATION | *** | 291 | ||||||||||||||||||||||||
NEKTAR THERAPEUTICS | *** | 58 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-27
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
NEUROCRINE BIOSCIENCES INC | *** | 212 | ||||||||||||||||||||||||
NEWMARKET CORP | *** | 366 | ||||||||||||||||||||||||
NEXSTAR MEDIA GROUP INC CL A | *** | 427 | ||||||||||||||||||||||||
NORDSON CORP | *** | 323 | ||||||||||||||||||||||||
NOVANTA INC | *** | 493 | ||||||||||||||||||||||||
NUVASIVE INC | *** | 368 | ||||||||||||||||||||||||
OLD DOMINION FREIGHT LINE | *** | 326 | ||||||||||||||||||||||||
OMNICELL INC | *** | 433 | ||||||||||||||||||||||||
ONTO INNOVATION INC | *** | 123 | ||||||||||||||||||||||||
ORMAT TECHNOLOGIES INC | *** | 400 | ||||||||||||||||||||||||
OSI SYSTEMS INC | *** | 416 | ||||||||||||||||||||||||
PACIRA BIOSCIENCES INC | *** | 107 | ||||||||||||||||||||||||
PAPA JOHN S INTL INC | *** | 243 | ||||||||||||||||||||||||
PATRICK INDUSTRIES INC | *** | 334 | ||||||||||||||||||||||||
PBF ENERGY INC CLASS A | *** | 212 | ||||||||||||||||||||||||
PDC ENERGY INC | *** | 96 | ||||||||||||||||||||||||
PEGASYSTEMS INC | *** | 449 | ||||||||||||||||||||||||
PENN NATIONAL GAMING INC | *** | 426 | ||||||||||||||||||||||||
PENNANT GROUP INC/THE | *** | 210 | ||||||||||||||||||||||||
PENUMBRA INC | *** | 361 | ||||||||||||||||||||||||
PERFORMANCE FOOD GROUP CO | *** | 618 | ||||||||||||||||||||||||
PHIBRO ANIMAL HEALTH CORP A | *** | 108 | ||||||||||||||||||||||||
PLANTRONICS INC | *** | 36 | ||||||||||||||||||||||||
POLYONE CORPORATION | *** | 214 | ||||||||||||||||||||||||
POOL CORP | *** | 777 | ||||||||||||||||||||||||
POST HOLDINGS INC | *** | 406 | ||||||||||||||||||||||||
PRA HEALTH SCIENCES INC | *** | 672 | ||||||||||||||||||||||||
PRESTIGE CONSUMER HEALTHCARE | *** | 255 | ||||||||||||||||||||||||
PRIMERICA INC | *** | 671 | ||||||||||||||||||||||||
PRINCIPIA BIOPHARMA INC | *** | 33 | ||||||||||||||||||||||||
PROOFPOINT INC | *** | 445 | ||||||||||||||||||||||||
PS BUSINESS PARKS INC/CA | *** | 232 | ||||||||||||||||||||||||
PTC INC | *** | 93 | ||||||||||||||||||||||||
PTC THERAPEUTICS INC | *** | 183 | ||||||||||||||||||||||||
QUAKER CHEMICAL CORP | *** | 326 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-28
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
QUALYS INC | *** | 358 | ||||||||||||||||||||||||
RADIAN GROUP INC | *** | 193 | ||||||||||||||||||||||||
REALPAGE INC | *** | 367 | ||||||||||||||||||||||||
REATA PHARMACEUTICALS INC A | *** | 112 | ||||||||||||||||||||||||
REPLIGEN CORP | *** | 438 | ||||||||||||||||||||||||
RESIDEO TECHNOLOGIES INC | *** | 36 | ||||||||||||||||||||||||
ROLLINS INC | *** | 187 | ||||||||||||||||||||||||
RUTH S HOSPITALITY GROUP INC | *** | 203 | ||||||||||||||||||||||||
SAGE THERAPEUTICS INC | *** | 196 | ||||||||||||||||||||||||
SAPIENS INTERNATIONAL CORP | *** | 60 | ||||||||||||||||||||||||
SAREPTA THERAPEUTICS INC | *** | 223 | ||||||||||||||||||||||||
SCIENCE APPLICATIONS INTE | *** | 307 | ||||||||||||||||||||||||
SCOTTS MIRACLE GRO CO | *** | 282 | ||||||||||||||||||||||||
SEATTLE GENETICS INC | *** | 211 | ||||||||||||||||||||||||
SERVICE CORP INTERNATIONAL | *** | 481 | ||||||||||||||||||||||||
SERVICEMASTER GLOBAL HOLDING | *** | 376 | ||||||||||||||||||||||||
SIGNATURE BANK | *** | 192 | ||||||||||||||||||||||||
SIX FLAGS ENTERTAINMENT CORP | *** | 155 | ||||||||||||||||||||||||
SLM CORP | *** | 151 | ||||||||||||||||||||||||
SPROUTS FARMERS MARKET INC | *** | 228 | ||||||||||||||||||||||||
SPX CORP | *** | 71 | ||||||||||||||||||||||||
SS+C TECHNOLOGIES HOLDINGS | *** | 375 | ||||||||||||||||||||||||
STANDEX INTERNATIONAL CORP | *** | 55 | ||||||||||||||||||||||||
STEPAN CO | *** | 156 | ||||||||||||||||||||||||
STEVEN MADDEN LTD | *** | 440 | ||||||||||||||||||||||||
STRATEGIC EDUCATION INC | *** | 301 | ||||||||||||||||||||||||
SUPERNUS PHARMACEUTICALS INC | *** | 126 | ||||||||||||||||||||||||
TABULA RASA HEALTHCARE INC | *** | 158 | ||||||||||||||||||||||||
TAKE TWO INTERACTIVE SOFTWRE | *** | 363 | ||||||||||||||||||||||||
TECH DATA CORP | *** | 169 | ||||||||||||||||||||||||
TELEDYNE TECHNOLOGIES INC | *** | 588 | ||||||||||||||||||||||||
TERRENO REALTY CORP | *** | 460 | ||||||||||||||||||||||||
TEXAS ROADHOUSE INC | *** | 416 | ||||||||||||||||||||||||
THERAVANCE BIOPHARMA INC | *** | 89 | ||||||||||||||||||||||||
THOR INDUSTRIES INC | *** | 215 | ||||||||||||||||||||||||
TORO CO | *** | 586 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-29
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
TREEHOUSE FOODS INC | *** | 157 | ||||||||||||||||||||||||
TYLER TECHNOLOGIES INC | *** | 437 | ||||||||||||||||||||||||
U.S. PHYSICAL THERAPY INC | *** | 308 | ||||||||||||||||||||||||
UBIQUITI INC | *** | 417 | ||||||||||||||||||||||||
ULTRAGENYX PHARMACEUTICAL IN | *** | 172 | ||||||||||||||||||||||||
UNIFIRST CORP/MA | *** | 465 | ||||||||||||||||||||||||
UNIQURE NV | *** | 179 | ||||||||||||||||||||||||
UNIVAR SOLUTIONS INC | *** | 157 | ||||||||||||||||||||||||
UNIVERSAL INSURANCE HOLDINGS | *** | 161 | ||||||||||||||||||||||||
US DOLLAR | *** | 731 | ||||||||||||||||||||||||
US ECOLOGY INC | *** | 226 | ||||||||||||||||||||||||
VAIL RESORTS INC | *** | 599 | ||||||||||||||||||||||||
VISTEON CORP | *** | 199 | ||||||||||||||||||||||||
WATSCO INC | *** | 406 | ||||||||||||||||||||||||
WAVE LIFE SCIENCES LTD | *** | 8 | ||||||||||||||||||||||||
WENDY S CO/THE | *** | 478 | ||||||||||||||||||||||||
WEST PHARMACEUTICAL SERVICES | *** | 537 | ||||||||||||||||||||||||
WESTERN ALLIANCE BANCORP | *** | 396 | ||||||||||||||||||||||||
WEX INC | *** | 524 | ||||||||||||||||||||||||
WOODWARD INC | *** | 566 | ||||||||||||||||||||||||
WORTHINGTON INDUSTRIES | *** | 79 | ||||||||||||||||||||||||
WPX ENERGY INC | *** | 514 | ||||||||||||||||||||||||
WW INTERNATIONAL INC | *** | 101 | ||||||||||||||||||||||||
XENCOR INC | *** | 159 | ||||||||||||||||||||||||
XPO LOGISTICS INC | *** | 363 | ||||||||||||||||||||||||
ZEBRA TECHNOLOGIES CORP CL A | *** | 612 | ||||||||||||||||||||||||
Subtotal T. Rowe Price | 88,017 | |||||||||||||||||||||||||
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-30
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
Loan Fund | ||||||||||||||||||||||||||
Notes receivable from Members | N/A | 73,552 | ||||||||||||||||||||||||
Subtotal Loan Fund | 73,552 | |||||||||||||||||||||||||
Master Expense Account | ||||||||||||||||||||||||||
* | HARTFORD MASTER EXPENSE FUND | *** | 12 | |||||||||||||||||||||||
Subtotal Master Expense Account | 12 | |||||||||||||||||||||||||
Mutual Funds | ||||||||||||||||||||||||||
* | Hartford HLS Divident & Growth Fd Cl Ia | *** | 302,363 | |||||||||||||||||||||||
* | Hartford HLS Mut Fds Bond HLS Fd Cl Ia | *** | 141,176 | |||||||||||||||||||||||
* | Hartford HLS Mut Fds Intl Opportunities HLS Fd Cl I | *** | 109,138 | |||||||||||||||||||||||
* | Hartford HLS Mut Fds Midcap HLS Fd Cl Ia | *** | 131,617 | |||||||||||||||||||||||
Vanguard Federal Money Market | *** | 85,998 | ||||||||||||||||||||||||
Subtotal Mutual Funds | 770,292 | |||||||||||||||||||||||||
Separate Account GIC | ||||||||||||||||||||||||||
New York Life | *** | 104,817 | ||||||||||||||||||||||||
Subtotal Separate Account GIC | 104,817 | |||||||||||||||||||||||||
Shared Holdings (aa) - HIMCO Bond Fund | ||||||||||||||||||||||||||
ABBVIE INC | 4.25 | % | 11/14/2028 | *** | 553 | |||||||||||||||||||||
AEP TEXAS INC | 2.40 | % | 10/1/2022 | *** | 757 | |||||||||||||||||||||
ALLY AUTO RECEIVABLES TRUST | 1.96 | % | 12/16/2024 | *** | 314 | |||||||||||||||||||||
AMERICAN EXPRESS CO | 3.00 | % | 10/30/2024 | *** | 1,292 | |||||||||||||||||||||
AMERICAN INTL GROUP | 3.75 | % | 7/10/2025 | *** | 1,070 | |||||||||||||||||||||
ANHEUSER BUSCH CO/INBEV | 3.65 | % | 2/1/2026 | *** | 1,067 | |||||||||||||||||||||
APPLE INC | 2.20 | % | 9/11/2029 | *** | 981 | |||||||||||||||||||||
APPLE INC | 2.40 | % | 5/3/2023 | *** | 697 | |||||||||||||||||||||
ASTRAZENECA PLC | 3.50 | % | 8/17/2023 | *** | 890 | |||||||||||||||||||||
AT+T INC | 3.40 | % | 5/15/2025 | *** | 1,571 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-31
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
AT+T INC | 3.95 | % | 1/15/2025 | *** | 241 | |||||||||||||||||||||
AVENTURA MALL TRUST | 3.74 | % | 12/5/2032 | *** | 403 | |||||||||||||||||||||
BANK OF AMERICA CORP | 3.30 | % | 1/11/2023 | *** | 1,251 | |||||||||||||||||||||
BANK OF AMERICA CORP | 3.88 | % | 8/1/2025 | *** | 537 | |||||||||||||||||||||
BANK OF AMERICA CREDIT CARD TR | 1.74 | % | 1/15/2025 | *** | 857 | |||||||||||||||||||||
BANK OF NY MELLON CORP | 3.25 | % | 9/11/2024 | *** | 930 | |||||||||||||||||||||
BAYER US FINANCE II LLC | 4.25 | % | 12/15/2025 | *** | 1,079 | |||||||||||||||||||||
BAYER US FINANCE LLC | 3.38 | % | 10/8/2024 | *** | 845 | |||||||||||||||||||||
BERKSHIRE HATHAWAY INC | 2.20 | % | 3/15/2021 | *** | 502 | |||||||||||||||||||||
BMW VEHICLE OWNER TRUST | 1.95 | % | 1/26/2026 | *** | 393 | |||||||||||||||||||||
BOSTON SCIENTIFIC CORP | 3.75 | % | 3/1/2026 | *** | 316 | |||||||||||||||||||||
BP CAPITAL MARKETS PLC | 3.81 | % | 2/10/2024 | *** | 700 | |||||||||||||||||||||
BRISTOL MYERS SQUIBB CO | 3.40 | % | 7/26/2029 | *** | 669 | |||||||||||||||||||||
BRITISH COLUMBIA PROV OF | 2.65 | % | 9/22/2021 | *** | 335 | |||||||||||||||||||||
BURLINGTN NO SF 05 3 TR | 4.83 | % | 1/15/2023 | *** | 133 | |||||||||||||||||||||
BURLINGTN NORTH SANTA FE | 3.40 | % | 9/1/2024 | *** | 508 | |||||||||||||||||||||
CALIFORNIA ST | 2.37 | % | 4/1/2022 | *** | 1,014 | |||||||||||||||||||||
CAPITAL ONE FINANCIAL CO | 3.75 | % | 3/9/2027 | *** | 1,067 | |||||||||||||||||||||
CAPITAL ONE MULTI ASSET EXECUT | 1.99 | % | 7/17/2023 | *** | 1,001 | |||||||||||||||||||||
CAPITAL ONE PRIME AUTO RECEIVA | 1.96 | % | 2/18/2025 | *** | 777 | |||||||||||||||||||||
CATERPILLAR FINL SERVICE | 3.45 | % | 5/15/2023 | *** | 1,048 | |||||||||||||||||||||
CATERPILLAR INC | 2.60 | % | 9/19/2029 | *** | 758 | |||||||||||||||||||||
CENTERPOINT ENERGY TRANSITION | 2.16 | % | 10/15/2021 | *** | 33 | |||||||||||||||||||||
CHUBB INA HOLDINGS INC | 2.70 | % | 3/13/2023 | *** | 740 | |||||||||||||||||||||
CIGNA CORP | 4.00 | % | 2/15/2022 | *** | 299 | |||||||||||||||||||||
CIGNA CORP | 4.50 | % | 3/15/2021 | *** | 307 | |||||||||||||||||||||
CITIGROUP INC | 2.70 | % | 3/30/2021 | *** | 1,009 | |||||||||||||||||||||
CITIGROUP INC | 3.88 | % | 10/25/2023 | *** | 531 | |||||||||||||||||||||
CITIZENS BANK NA/RI | 3.70 | % | 3/29/2023 | *** | 486 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-32
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
COMCAST CORP | 3.95 | % | 10/15/2025 | *** | 980 | |||||||||||||||||||||
COMM MORTGAGE TRUST | 1.87 | % | 4/12/2035 | *** | 44 | |||||||||||||||||||||
COMM MORTGAGE TRUST | 3.76 | % | 2/10/2049 | *** | 1,067 | |||||||||||||||||||||
COMMONWEALTH EDISON CO | 2.95 | % | 8/15/2027 | *** | 1,036 | |||||||||||||||||||||
CSAIL COMMERCIAL MORTGAGE TRUS | 3.81 | % | 11/15/2048 | *** | 1,066 | |||||||||||||||||||||
CVS HEALTH CORP | 3.50 | % | 7/20/2022 | *** | 403 | |||||||||||||||||||||
DELL INT LLC / EMC CORP | 5.45 | % | 6/15/2023 | *** | 1,101 | |||||||||||||||||||||
DIAGEO CAPITAL PLC | 2.38 | % | 10/24/2029 | *** | 740 | |||||||||||||||||||||
DISCOVER CARD EXECUTION NOTE T | 1.88 | % | 2/15/2023 | *** | 1,000 | |||||||||||||||||||||
ELI LILLY + CO | 3.38 | % | 3/15/2029 | *** | 339 | |||||||||||||||||||||
EVERSOURCE ENERGY | 2.75 | % | 3/15/2022 | *** | 507 | |||||||||||||||||||||
EVERSOURCE ENERGY | 2.90 | % | 10/1/2024 | *** | 511 | |||||||||||||||||||||
EXXON MOBIL CORPORATION | 2.44 | % | 8/16/2029 | *** | 1,010 | |||||||||||||||||||||
FANNIEMAE ACES | 3.35 | % | 3/25/2024 | *** | 907 | |||||||||||||||||||||
FED HM LN PC POOL A11544 | 5.50 | % | 6/1/2033 | *** | 8 | |||||||||||||||||||||
FED HM LN PC POOL A15942 | 6.00 | % | 11/1/2033 | *** | 5 | |||||||||||||||||||||
FED HM LN PC POOL A26586 | 6.00 | % | 9/1/2034 | *** | 6 | |||||||||||||||||||||
FED HM LN PC POOL A77952 | 5.00 | % | 5/1/2038 | *** | 7 | |||||||||||||||||||||
FED HM LN PC POOL B19557 | 5.50 | % | 7/1/2020 | *** | 4 | |||||||||||||||||||||
FED HM LN PC POOL C03506 | 6.00 | % | 5/1/2040 | *** | 132 | |||||||||||||||||||||
FED HM LN PC POOL G01629 | 6.00 | % | 10/1/2033 | *** | 9 | |||||||||||||||||||||
FED HM LN PC POOL G11868 | 5.50 | % | 7/1/2020 | *** | 2 | |||||||||||||||||||||
FED HM LN PC POOL G14174 | 5.00 | % | 3/1/2025 | *** | 17 | |||||||||||||||||||||
FED HM LN PC POOL G60948 | 3.00 | % | 1/1/2047 | *** | 1,506 | |||||||||||||||||||||
FED HM LN PC POOL J00617 | 5.50 | % | 12/1/2020 | *** | 4 | |||||||||||||||||||||
FED HM LN PC POOL J00921 | 5.00 | % | 12/1/2020 | *** | 0 | |||||||||||||||||||||
FED HM LN PC POOL J01060 | 5.00 | % | 1/1/2021 | *** | 2 | |||||||||||||||||||||
FED HM LN PC POOL J38826 | 3.50 | % | 5/1/2033 | *** | 489 | |||||||||||||||||||||
FED HM LN PC POOL Q50703 | 3.00 | % | 9/1/2047 | *** | 2,880 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-33
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
FED HM LN PC POOL Q55851 | 5.00 | % | 5/1/2048 | *** | 963 | |||||||||||||||||||||
FED HM LN PC POOL Q58634 | 4.00 | % | 9/1/2048 | *** | 4,879 | |||||||||||||||||||||
FED HM LN PC POOL V82532 | 3.00 | % | 8/1/2046 | *** | 2,804 | |||||||||||||||||||||
FED HM LN PC POOL V82942 | 3.00 | % | 2/1/2047 | *** | 1,952 | |||||||||||||||||||||
FED HM LN PC POOL ZL1830 | 4.00 | % | 8/1/2041 | *** | 131 | |||||||||||||||||||||
FHLMC MULTIFAMILY STRUCTURED P | 2.68 | % | 10/25/2022 | *** | 1,124 | |||||||||||||||||||||
FHLMC MULTIFAMILY STRUCTURED P | 2.57 | % | 9/25/2020 | *** | 377 | |||||||||||||||||||||
FIFTH THIRD BANK | 2.88 | % | 10/1/2021 | *** | 645 | |||||||||||||||||||||
FNMA POOL 357821 | 6.00 | % | 5/1/2035 | *** | 116 | |||||||||||||||||||||
FNMA POOL 555417 | 6.00 | % | 5/1/2033 | *** | 31 | |||||||||||||||||||||
FNMA POOL 555591 | 5.50 | % | 7/1/2033 | *** | 35 | |||||||||||||||||||||
FNMA POOL 725704 | 6.00 | % | 8/1/2034 | *** | 25 | |||||||||||||||||||||
FNMA POOL 730716 | 6.00 | % | 8/1/2033 | *** | 19 | |||||||||||||||||||||
FNMA POOL 734059 | 5.50 | % | 8/1/2033 | *** | 7 | |||||||||||||||||||||
FNMA POOL 745932 | 6.50 | % | 11/1/2036 | *** | 47 | |||||||||||||||||||||
FNMA POOL 756154 | 6.00 | % | 11/1/2033 | *** | 29 | |||||||||||||||||||||
FNMA POOL 792191 | 5.50 | % | 9/1/2034 | *** | 31 | |||||||||||||||||||||
FNMA POOL 805176 | 5.50 | % | 1/1/2020 | *** | 1 | |||||||||||||||||||||
FNMA POOL 888022 | 5.00 | % | 2/1/2036 | *** | 76 | |||||||||||||||||||||
FNMA POOL 888341 | 5.00 | % | 2/1/2037 | *** | 50 | |||||||||||||||||||||
FNMA POOL 890528 | 5.50 | % | 6/1/2039 | *** | 71 | |||||||||||||||||||||
FNMA POOL 908560 | 5.50 | % | 1/1/2022 | *** | 1 | |||||||||||||||||||||
FNMA POOL 944026 | 6.50 | % | 8/1/2037 | *** | 145 | |||||||||||||||||||||
FNMA POOL AA4266 | 4.50 | % | 5/1/2024 | *** | 10 | |||||||||||||||||||||
FNMA POOL AB0536 | 6.00 | % | 2/1/2037 | *** | 45 | |||||||||||||||||||||
FNMA POOL AJ5733 | 3.50 | % | 12/1/2041 | *** | 1,437 | |||||||||||||||||||||
FNMA POOL AL0194 | 4.00 | % | 1/1/2041 | *** | 750 | |||||||||||||||||||||
FNMA POOL AP0632 | 2.50 | % | 7/1/2027 | *** | 314 | |||||||||||||||||||||
FNMA POOL AR9436 | 4.00 | % | 8/1/2043 | *** | 14 | |||||||||||||||||||||
FNMA POOL AS8764 | 2.50 | % | 2/1/2032 | *** | 1,013 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-34
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
FNMA POOL AV2357 | 4.00 | % | 1/1/2044 | *** | 1,161 | |||||||||||||||||||||
FNMA POOL AW1007 | 4.00 | % | 5/1/2044 | *** | 1,013 | |||||||||||||||||||||
FNMA POOL AW5067 | 4.50 | % | 7/1/2044 | *** | 1,907 | |||||||||||||||||||||
FNMA POOL AY5415 | 4.00 | % | 3/1/2045 | *** | 2,227 | |||||||||||||||||||||
FNMA POOL BC1212 | 3.00 | % | 7/1/2046 | *** | 3,325 | |||||||||||||||||||||
FNMA POOL BC4750 | 4.00 | % | 10/1/2046 | *** | 596 | |||||||||||||||||||||
FNMA POOL BC6121 | 4.00 | % | 6/1/2046 | *** | 475 | |||||||||||||||||||||
FNMA POOL BC9364 | 3.50 | % | 6/1/2046 | *** | 2,803 | |||||||||||||||||||||
FNMA POOL BD3312 | 3.00 | % | 10/1/2046 | *** | 448 | |||||||||||||||||||||
FNMA POOL BD5429 | 2.50 | % | 12/1/2046 | *** | 871 | |||||||||||||||||||||
FNMA POOL BJ0687 | 5.00 | % | 4/1/2048 | *** | 1,048 | |||||||||||||||||||||
FNMA POOL BJ0852 | 4.50 | % | 11/1/2047 | *** | 1,998 | |||||||||||||||||||||
FNMA POOL BJ1991 | 4.00 | % | 11/1/2047 | *** | 485 | |||||||||||||||||||||
FNMA POOL BJ8271 | 4.50 | % | 2/1/2048 | *** | 1,174 | |||||||||||||||||||||
FNMA POOL BK1027 | 3.50 | % | 3/1/2048 | *** | 594 | |||||||||||||||||||||
FNMA POOL MA1543 | 3.50 | % | 8/1/2033 | *** | 1,007 | |||||||||||||||||||||
FNMA POOL MA2276 | 2.50 | % | 4/1/2045 | *** | 495 | |||||||||||||||||||||
FREDDIE MAC SLST | 3.50 | % | 6/25/2028 | *** | 1,037 | |||||||||||||||||||||
FREDDIE MAC SLST | 3.50 | % | 5/25/2029 | *** | 432 | |||||||||||||||||||||
GE COMMERCIAL MORTGAGE CORPORA | — | % | 3/10/2044 | *** | 0 | |||||||||||||||||||||
GENERAL DYNAMICS CORP | 3.50 | % | 5/15/2025 | *** | 1,608 | |||||||||||||||||||||
GENERAL ELECTRIC CO | 2.70 | % | 10/9/2022 | *** | 887 | |||||||||||||||||||||
GENERAL ELECTRIC CO | 3.10 | % | 1/9/2023 | *** | 469 | |||||||||||||||||||||
GENERAL MILLS INC | 4.00 | % | 4/17/2025 | *** | 676 | |||||||||||||||||||||
GILEAD SCIENCES INC | 3.25 | % | 9/1/2022 | *** | 982 | |||||||||||||||||||||
GLAXOSMITHKLINE CAP INC | 3.63 | % | 5/15/2025 | *** | 730 | |||||||||||||||||||||
GLENCORE FINANCE CANADA | 4.25 | % | 10/25/2022 | *** | 576 | |||||||||||||||||||||
GM FINANCIAL SECURITIZED TERM | 2.46 | % | 7/17/2023 | *** | 302 | |||||||||||||||||||||
GNMA II POOL 003624 | 5.50 | % | 10/20/2034 | *** | 35 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-35
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
GNMA II POOL 004599 | 5.00 | % | 12/20/2039 | *** | 115 | |||||||||||||||||||||
GNMA II POOL 784678 | 4.00 | % | 1/20/2048 | *** | 1,086 | |||||||||||||||||||||
GNMA II POOL AC2552 | 3.50 | % | 1/20/2043 | *** | 800 | |||||||||||||||||||||
GNMA II POOL BH0425 | 4.50 | % | 6/20/2048 | *** | 528 | |||||||||||||||||||||
GNMA II POOL MA2754 | 3.50 | % | 4/20/2045 | *** | 995 | |||||||||||||||||||||
GNMA II POOL MA2892 | 3.50 | % | 6/20/2045 | *** | 438 | |||||||||||||||||||||
GNMA II POOL MA5190 | 3.00 | % | 5/20/2048 | *** | 1,352 | |||||||||||||||||||||
GNMA II POOL MA5191 | 3.50 | % | 5/20/2048 | *** | 249 | |||||||||||||||||||||
GNMA II POOL MA5192 | 4.00 | % | 5/20/2048 | *** | 315 | |||||||||||||||||||||
GNMA II POOL MA5193 | 4.50 | % | 5/20/2048 | *** | 244 | |||||||||||||||||||||
GNMA POOL 434787 | 8.00 | % | 5/15/2030 | *** | 10 | |||||||||||||||||||||
GNMA POOL 485856 | 6.50 | % | 10/15/2031 | *** | 8 | |||||||||||||||||||||
GNMA POOL 510403 | 5.00 | % | 1/15/2035 | *** | 11 | |||||||||||||||||||||
GNMA POOL 510844 | 8.00 | % | 12/15/2029 | *** | 1 | |||||||||||||||||||||
GNMA POOL 533946 | 6.50 | % | 4/15/2032 | *** | 4 | |||||||||||||||||||||
GNMA POOL 550887 | 5.00 | % | 8/15/2035 | *** | 16 | |||||||||||||||||||||
GNMA POOL 551077 | 6.50 | % | 11/15/2031 | *** | 6 | |||||||||||||||||||||
GNMA POOL 551120 | 6.50 | % | 8/15/2031 | *** | 18 | |||||||||||||||||||||
GNMA POOL 552571 | 6.50 | % | 5/15/2032 | *** | 6 | |||||||||||||||||||||
GNMA POOL 569327 | 6.50 | % | 4/15/2032 | *** | 81 | |||||||||||||||||||||
GNMA POOL 580880 | 6.50 | % | 11/15/2031 | *** | 16 | |||||||||||||||||||||
GNMA POOL 622278 | 5.00 | % | 4/15/2035 | *** | 11 | |||||||||||||||||||||
GNMA POOL 631242 | 5.50 | % | 6/15/2035 | *** | 54 | |||||||||||||||||||||
GNMA POOL 641601 | 5.00 | % | 3/15/2035 | *** | 22 | |||||||||||||||||||||
GNMA POOL 646865 | 5.00 | % | 8/15/2035 | *** | 14 | |||||||||||||||||||||
GNMA POOL 726316 | 5.00 | % | 9/15/2039 | *** | 123 | |||||||||||||||||||||
GNMA POOL 737651 | 5.00 | % | 11/15/2040 | *** | 53 | |||||||||||||||||||||
GOLDMAN SACHS GROUP INC | 2.35 | % | 11/15/2021 | *** | 818 | |||||||||||||||||||||
GOLDMAN SACHS GROUP INC | 4.00 | % | 3/3/2024 | *** | 597 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-36
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
GOLDMAN SACHS GROUP INC | 2.88 | % | 2/25/2021 | *** | 505 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.30 | % | 7/16/1957 | *** | 692 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.50 | % | 9/16/1956 | *** | 1,092 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.50 | % | 7/20/2023 | *** | 196 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 5.00 | % | 8/20/2039 | *** | 46 | |||||||||||||||||||||
GSTIF 25 BPS | 1.43 | % | 12/31/1950 | *** | 25,181 | |||||||||||||||||||||
HOME DEPOT INC | 2.95 | % | 6/15/2029 | *** | 780 | |||||||||||||||||||||
HP ENTERPRISE CO | 4.40 | % | 10/15/2022 | *** | 491 | |||||||||||||||||||||
HSBC HOLDINGS PLC | 3.95 | % | 5/18/2024 | *** | 2,104 | |||||||||||||||||||||
HUDSON YARDS | 3.23 | % | 7/10/2039 | *** | 1,035 | |||||||||||||||||||||
IBM CORP | 3.50 | % | 5/15/2029 | *** | 1,076 | |||||||||||||||||||||
INGERSOLL RAND GL HLD CO | 3.75 | % | 8/21/2028 | *** | 798 | |||||||||||||||||||||
JOHN DEERE CAPITAL CORP | 2.80 | % | 7/18/2029 | *** | 770 | |||||||||||||||||||||
JOHNSON + JOHNSON | 2.63 | % | 1/15/2025 | *** | 515 | |||||||||||||||||||||
JP MORGAN MORTGAGE TRUST | 3.00 | % | 10/25/2046 | *** | 538 | |||||||||||||||||||||
JPMBB COMMERCIAL MORTGAGE SECU | 3.05 | % | 4/15/2047 | *** | 4 | |||||||||||||||||||||
JPMBB COMMERCIAL MORTGAGE SECU | 3.80 | % | 8/15/2048 | *** | 1,070 | |||||||||||||||||||||
JPMORGAN CHASE + CO | 2.70 | % | 5/18/2023 | *** | 255 | |||||||||||||||||||||
JPMORGAN CHASE + CO | 2.30 | % | 8/15/2021 | *** | 822 | |||||||||||||||||||||
JPMORGAN CHASE + CO | 2.97 | % | 1/15/2023 | *** | 489 | |||||||||||||||||||||
JPMORGAN CHASE + CO | 3.25 | % | 9/23/2022 | *** | 279 | |||||||||||||||||||||
KAISER FOUNDATION HOSPIT | 3.50 | % | 4/1/2022 | *** | 445 | |||||||||||||||||||||
KEYCORP | 2.55 | % | 10/1/2029 | *** | 978 | |||||||||||||||||||||
KEYCORP | 2.90 | % | 9/15/2020 | *** | 755 | |||||||||||||||||||||
KLA CORP | 4.10 | % | 3/15/2029 | *** | 822 | |||||||||||||||||||||
LADDER CAPITAL COMMERCIAL MORT | 3.39 | % | 5/15/2031 | *** | 586 | |||||||||||||||||||||
LAM RESEARCH CORP | 3.75 | % | 3/15/2026 | *** | 233 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-37
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
LINCOLN NATIONAL CORP | 3.80 | % | 3/1/2028 | *** | 800 | |||||||||||||||||||||
LLOYDS BANK PLC | 5.80 | % | 1/13/2020 | *** | 491 | |||||||||||||||||||||
LLOYDS BANKING GROUP PLC | 3.75 | % | 1/11/2027 | *** | 526 | |||||||||||||||||||||
LOWE S COS INC | 3.65 | % | 4/5/2029 | *** | 1,003 | |||||||||||||||||||||
MCDONALD S CORP | 3.70 | % | 1/30/2026 | *** | 424 | |||||||||||||||||||||
MERCEDES BENZ AUTO RECEIVABLES | 2.04 | % | 1/15/2026 | *** | 538 | |||||||||||||||||||||
MERCK + CO INC | 3.40 | % | 3/7/2029 | *** | 748 | |||||||||||||||||||||
MICROSOFT CORP | 3.30 | % | 2/6/2027 | *** | 1,069 | |||||||||||||||||||||
MITSUBISHI UFJ FIN GRP | 3.29 | % | 7/25/2027 | *** | 521 | |||||||||||||||||||||
MITSUBISHI UFJ FIN GRP | 2.95 | % | 3/1/2021 | *** | 242 | |||||||||||||||||||||
MORGAN STANLEY | 3.88 | % | 1/27/2026 | *** | 1,343 | |||||||||||||||||||||
NATIONWIDE FINANCIAL SER | 5.38 | % | 3/25/2021 | *** | 342 | |||||||||||||||||||||
NIAGARA MOHAWK POWER | 3.51 | % | 10/1/2024 | *** | 773 | |||||||||||||||||||||
NORDEA BANK ABP | 4.88 | % | 5/13/2021 | *** | 518 | |||||||||||||||||||||
NORDEA BANK ABP | 2.50 | % | 9/17/2020 | *** | 834 | |||||||||||||||||||||
NORFOLK SOUTHERN CORP | 2.55 | % | 11/1/2029 | *** | 748 | |||||||||||||||||||||
ORACLE CORP | 3.40 | % | 7/8/2024 | *** | 924 | |||||||||||||||||||||
PARKER HANNIFIN CORP | 3.25 | % | 6/14/2029 | *** | 0 | |||||||||||||||||||||
PENSKE TRUCK LEASING/PTL | 4.20 | % | 4/1/2027 | *** | 268 | |||||||||||||||||||||
PNC BANK NA | 3.80 | % | 7/25/2023 | *** | 546 | |||||||||||||||||||||
PNC FINANCIAL SERVICES | 3.45 | % | 4/23/2029 | *** | 534 | |||||||||||||||||||||
PRINCIPAL FINANCIAL GRP | 3.70 | % | 5/15/2029 | *** | 1,091 | |||||||||||||||||||||
PROVINCE OF QUEBEC | 2.75 | % | 8/25/2021 | *** | 396 | |||||||||||||||||||||
QUALCOMM INC | 2.90 | % | 5/20/2024 | *** | 1,034 | |||||||||||||||||||||
RAYTHEON TECH CORP | 3.13 | % | 5/4/2027 | *** | 1,049 | |||||||||||||||||||||
S+P GLOBAL INC | 2.95 | % | 1/22/2027 | *** | 539 | |||||||||||||||||||||
SANTANDER HOLDINGS USA | 3.50 | % | 6/7/2024 | *** | 514 | |||||||||||||||||||||
SHELL INTERNATIONAL FIN | 2.25 | % | 1/6/2023 | *** | 958 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.14 | % | 9/1/2044 | *** | 733 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.22 | % | 10/1/2044 | *** | 548 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-38
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.48 | % | 11/1/2044 | *** | 697 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.38 | % | 12/1/2044 | *** | 693 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.86 | % | 3/1/2020 | *** | 22 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.87 | % | 5/1/2020 | *** | 22 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 1.97 | % | 9/1/2020 | *** | 54 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.21 | % | 2/1/2033 | *** | 388 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.87 | % | 7/1/2034 | *** | 388 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.72 | % | 3/1/2035 | *** | 281 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.31 | % | 8/1/2044 | *** | 438 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.44 | % | 7/1/2020 | *** | 65 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.82 | % | 8/1/2035 | *** | 519 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 3.11 | % | 4/1/2034 | *** | 569 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.88 | % | 8/1/2034 | *** | 340 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.77 | % | 5/1/2035 | *** | 369 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.88 | % | 7/1/2035 | *** | 839 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.82 | % | 9/1/2035 | *** | 478 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.70 | % | 11/1/2035 | *** | 659 | |||||||||||||||||||||
SMALL BUSINESS ADMINISTRATION | 2.27 | % | 2/1/2036 | *** | 751 | |||||||||||||||||||||
STATE STREET CORP | 3.30 | % | 12/16/2024 | *** | 607 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-39
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
SUMITOMO MITSUI FINL GRP | 2.63 | % | 7/14/2026 | *** | 500 | |||||||||||||||||||||
SVENSKA HANDELSBANKEN AB | 2.45 | % | 3/30/2021 | *** | 503 | |||||||||||||||||||||
TOYOTA MOTOR CREDIT CORP | 3.20 | % | 1/11/2027 | *** | 734 | |||||||||||||||||||||
TOYOTA MOTOR CREDIT CORP | 2.90 | % | 4/17/2024 | *** | 518 | |||||||||||||||||||||
TRUIST BANK | 2.85 | % | 4/1/2021 | *** | 515 | |||||||||||||||||||||
TRUIST FIN CORP | 2.90 | % | 3/3/2021 | *** | 253 | |||||||||||||||||||||
UNITEDHEALTH GROUP INC | 2.13 | % | 3/15/2021 | *** | 502 | |||||||||||||||||||||
UNIV OF CALIFORNIA CA REVENUES | 3.06 | % | 7/1/2025 | *** | 524 | |||||||||||||||||||||
US BANCORP | 3.15 | % | 4/27/2027 | *** | 1,051 | |||||||||||||||||||||
US DOLLAR | — | % | 01/00/00 | *** | 1,000 | |||||||||||||||||||||
US TREASURY N/B | 1.63 | % | 4/30/2023 | *** | 2,000 | |||||||||||||||||||||
US TREASURY N/B | 1.63 | % | 5/15/2026 | *** | 2,475 | |||||||||||||||||||||
US TREASURY N/B | 1.13 | % | 7/31/2021 | *** | 7,940 | |||||||||||||||||||||
US TREASURY N/B | 1.50 | % | 7/15/2020 | *** | 6,996 | |||||||||||||||||||||
US TREASURY N/B | 1.88 | % | 7/31/2022 | *** | 8,057 | |||||||||||||||||||||
US TREASURY N/B | 1.63 | % | 8/15/2029 | *** | 2,925 | |||||||||||||||||||||
US TREASURY N/B | 1.38 | % | 3/31/2020 | *** | 4,997 | |||||||||||||||||||||
US TREASURY N/B | 1.38 | % | 10/31/2020 | *** | 4,988 | |||||||||||||||||||||
US TREASURY N/B | 1.63 | % | 2/15/2026 | *** | 4,534 | |||||||||||||||||||||
US TREASURY N/B | 1.13 | % | 2/28/2021 | *** | 4,971 | |||||||||||||||||||||
VERIZON COMMUNICATIONS | 4.33 | % | 9/21/2028 | *** | 818 | |||||||||||||||||||||
VIRGINIA ELEC + POWER CO | 3.50 | % | 3/15/2027 | *** | 535 | |||||||||||||||||||||
VODAFONE GROUP PLC | 4.13 | % | 5/30/2025 | *** | 1,086 | |||||||||||||||||||||
WALMART INC | 2.38 | % | 9/24/2029 | *** | 501 | |||||||||||||||||||||
WALMART INC | 3.30 | % | 4/22/2024 | *** | 400 | |||||||||||||||||||||
WASTE MANAGEMENT INC | 3.45 | % | 6/15/2029 | *** | 803 | |||||||||||||||||||||
WELLS FARGO + COMPANY | 3.30 | % | 9/9/2024 | *** | 1,079 | |||||||||||||||||||||
WELLS FARGO + COMPANY | 2.50 | % | 3/4/2021 | *** | 1,007 | |||||||||||||||||||||
WESTLAKE CHEMICAL CORP | 3.60 | % | 7/15/2022 | *** | 589 | |||||||||||||||||||||
WF RBS COMMERCIAL MORTGAGE TRU | 2.86 | % | 3/15/2047 | *** | 16 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-40
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||||||||
WRKCO INC | 3.90 | % | 6/1/2028 | *** | 1,061 | |||||||||||||||||||||||||||
XCEL ENERGY INC | 3.35 | % | 12/1/2026 | *** | 1,050 | |||||||||||||||||||||||||||
Subtotal Shared Holdings (aa) - HIMCO Bond Fund | 233,958 | |||||||||||||||||||||||||||||||
Shared Holdings (bb) - BNY Mellon Bond Fund | ||||||||||||||||||||||||||||||||
BlackRock | BlackRock 1-3 Year Government Bond Index Fund | *** | 18,504 | |||||||||||||||||||||||||||||
BlackRock | BlackRock 1-3 Year Credit Bond Index Fund | *** | 14,411 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Asset-Backed Securities Index Fund | *** | 27,488 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Commercial Mortgage-Backed Securities Index | *** | 5,311 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Intermediate Term Credit Bond Index Fund | *** | 38,566 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Mortgage-Backed Securities Index Fund | *** | 35,256 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Int Government Bond Index | *** | 12,444 | |||||||||||||||||||||||||||||
BlackRock | BlackRock Long term Govt Bond Index Fund | *** | 1,119 | |||||||||||||||||||||||||||||
PRUDENTIAL | 3.91 | % | 12/31/2040 | *** | 186,149 | |||||||||||||||||||||||||||
US DOLLAR | — | % | *** | 1,000 | ||||||||||||||||||||||||||||
AEP TEXAS CENTRAL TRANSITION F | — | % | 2/1/2027 | *** | 1,218 | |||||||||||||||||||||||||||
AEP TEXAS CENTRAL TRANSITION F | — | % | 6/1/2021 | *** | 398 | |||||||||||||||||||||||||||
APPALACHIAN CONSUMER RATE RELI | — | % | 2/1/2024 | *** | 1,095 | |||||||||||||||||||||||||||
CAPITAL ONE MULTI ASSET EXECUT | — | % | 12/15/2024 | *** | 2,449 | |||||||||||||||||||||||||||
CAPITAL ONE MULTI ASSET EXECUT | — | % | 8/15/2024 | *** | 2,368 | |||||||||||||||||||||||||||
CARMAX AUTO OWNER TRUST | — | % | 8/15/2021 | *** | 675 | |||||||||||||||||||||||||||
CITIGROUP COMMERCIAL MORTGAGE | 2.06 | % | 2/10/2049 | *** | 338 | |||||||||||||||||||||||||||
CNH EQUIPMENT TRUST | 1.98 | % | 12/15/2021 | *** | 332 | |||||||||||||||||||||||||||
CNH EQUIPMENT TRUST | 2.01 | % | 2/15/2023 | *** | 1,290 | |||||||||||||||||||||||||||
CNH EQUIPMENT TRUST | 2.84 | % | 4/15/2024 | *** | 1,394 | |||||||||||||||||||||||||||
COMM MORTGAGE TRUST | 1.72 | % | 8/15/2045 | *** | 2,630 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-41
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||
COMM MORTGAGE TRUST | 1.40 | % | 2/10/2047 | *** | 1,043 | |||||||||||||||||||||
CSAIL COMMERCIAL MORTGAGE TRUS | 1.61 | % | 4/15/2050 | *** | 114 | |||||||||||||||||||||
DISCOVER CARD EXECUTION NOTE T | 1.44 | % | 3/15/2024 | *** | 1,142 | |||||||||||||||||||||
DISCOVER CARD EXECUTION NOTE T | 2.08 | % | 7/15/2024 | *** | 1,536 | |||||||||||||||||||||
DUKE ENERGY FL PROJ FIN | 3.01 | % | 9/1/2024 | *** | 1,740 | |||||||||||||||||||||
FANNIE MAE | 3.15 | % | 3/25/2026 | *** | 793 | |||||||||||||||||||||
FANNIE MAE | 3.15 | % | 8/25/2038 | *** | 683 | |||||||||||||||||||||
FANNIE MAE | 2.97 | % | 6/25/2030 | *** | 1,154 | |||||||||||||||||||||
FANNIE MAE | 3.32 | % | 11/25/2026 | *** | 1,078 | |||||||||||||||||||||
FANNIE MAE | 3.04 | % | 3/25/2025 | *** | 55 | |||||||||||||||||||||
FANNIE MAE | 1.73 | % | 8/25/2039 | *** | 2,287 | |||||||||||||||||||||
FANNIE MAE | 4.50 | % | 3/25/2039 | *** | 572 | |||||||||||||||||||||
FIFTH THIRD AUTO TRUST | 3.00 | % | 12/15/2023 | *** | 3,229 | |||||||||||||||||||||
FNMA POOL MA1341 | 2.00 | % | 2/1/2023 | *** | 280 | |||||||||||||||||||||
FREDDIE MAC | 4.50 | % | 6/15/2039 | *** | 172 | |||||||||||||||||||||
FREDDIE MAC | 4.00 | % | 2/15/2039 | *** | 2,982 | |||||||||||||||||||||
FREDDIE MAC | 4.00 | % | 4/15/2040 | *** | 708 | |||||||||||||||||||||
FREDDIE MAC | 2.25 | % | 4/15/2039 | *** | 1,932 | |||||||||||||||||||||
FREDDIE MAC | 2.64 | % | 8/15/2025 | *** | 1,591 | |||||||||||||||||||||
FREDDIE MAC | 2.50 | % | 2/15/2040 | *** | 6 | |||||||||||||||||||||
FREDDIE MAC | 3.00 | % | 1/15/2039 | *** | 1,158 | |||||||||||||||||||||
FREDDIE MAC | 3.00 | % | 2/15/2032 | *** | 588 | |||||||||||||||||||||
FREDDIE MAC | 4.00 | % | 11/15/2021 | *** | 311 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 4.00 | % | 6/20/2039 | *** | 970 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 4.00 | % | 9/16/2051 | *** | 1,791 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.00 | % | 1/16/2046 | *** | 1,358 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.00 | % | 8/16/2039 | *** | 2,755 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.00 | % | 12/20/2034 | *** | 82 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.00 | % | 9/20/2038 | *** | 275 | |||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.00 | % | 5/16/2026 | *** | 3,000 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-42
EIN# 06-0383750 | ||||||||||||||||||||
Plan# 100 | ||||||||||||||||||||
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE | ||||||||||||||||||||
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR) | ||||||||||||||||||||
AS OF DECEMBER 31, 2019 | ||||||||||||||||||||
($ IN THOUSANDS) |
(a) | (b) Identity of issue, borrower, lessor, or similar party | (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value | ||||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.00 | % | 12/16/2036 | *** | 104 | |||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 2.00 | % | 9/20/2039 | *** | 1,500 | |||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.50 | % | 3/20/2042 | *** | 771 | |||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.00 | % | 10/20/2039 | *** | 1,759 | |||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.50 | % | 8/20/2027 | *** | 2,063 | |||||||||||||||||||||||||||
GOVERNMENT NATIONAL MORTGAGE A | 3.00 | % | 3/20/2039 | *** | 102 | |||||||||||||||||||||||||||
GSTIF 25 BPS | 1.00 | % | 12/31/2050 | *** | 2,073 | |||||||||||||||||||||||||||
MERCEDES BENZ AUTO RECEIVABLES | 2.00 | % | 1/17/2023 | *** | 2,020 | |||||||||||||||||||||||||||
MERCEDES BENZ AUTO RECEIVABLES | 2.50 | % | 2/16/2021 | *** | 41 | |||||||||||||||||||||||||||
MORGAN STANLEY CAPITAL I TRUST | 3.00 | % | 12/15/2051 | *** | 2,903 | |||||||||||||||||||||||||||
PUBLIC SERVICE NEW HAMPSHIRE F | 1.26 | % | 2/1/2026 | *** | 1,985 | |||||||||||||||||||||||||||
UBS COMMERCIAL MORTGAGE TRUST | 3.09 | % | 5/10/2045 | *** | 3,097 | |||||||||||||||||||||||||||
US TREASURY N/B | 1.50 | % | 8/31/2021 | *** | 10,092 | |||||||||||||||||||||||||||
USAA AUTO OWNER TRUST | 2.16 | % | 7/17/2023 | *** | 1,022 | |||||||||||||||||||||||||||
WELLS FARGO COMMERCIAL MORTGAG | 2.50 | % | 10/15/2049 | *** | 3,540 | |||||||||||||||||||||||||||
Subtotal Shared Holdings (bb) - BNY Mellon Bond Fund | 422,892 | |||||||||||||||||||||||||||||||
State Street Government Short Term Investment Fund - Common Collective Trust | ||||||||||||||||||||||||||||||||
Gstif 25 Bps Gstif 25 Bps | *** | 27,601 | ||||||||||||||||||||||||||||||
Subtotal State Street Government Short Term Investment Fund - Common Collective Trust | 27,601 | |||||||||||||||||||||||||||||||
The Hartford Stock Fund | ||||||||||||||||||||||||||||||||
State Street Cash Fund - STIF | *** | 362 | ||||||||||||||||||||||||||||||
* | The Hartford Stock Fund, Common stock | *** | 218,705 | |||||||||||||||||||||||||||||
Subtotal The Hartford Stock Fund | 219,067 | |||||||||||||||||||||||||||||||
Wrapper Contracts | ||||||||||||||||||||||||||||||||
Transamerica Premier Life | *** | 0 | ||||||||||||||||||||||||||||||
American General Life Ins Co | *** | -60 | ||||||||||||||||||||||||||||||
American General Life Ins Co | *** | -25 | ||||||||||||||||||||||||||||||
RGA | *** | 0 | ||||||||||||||||||||||||||||||
Prudential | *** | -132 | ||||||||||||||||||||||||||||||
Subtotal Wrapper Contracts | -217 | |||||||||||||||||||||||||||||||
GRAND TOTAL | 5,163,930 |
aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. | ||||||||||||||||||||||||||
bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
See accompanying Report of Independent Registered Public Accounting Firm.
F-43
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on behalf of The Hartford Investment and Savings Plan by the undersigned thereunto duly authorized.
THE HARTFORD INVESTMENT AND SAVINGS PLAN
BY: /s/ Tom Warters
Tom Warters
Plan Administrator
June 25, 2020
F-44
F-45