Table of Contents
FORM 11-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
(Mark One)
þ | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2009
OR
o | 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
One Hartford Plaza, Hartford, Connecticut 06155
The Hartford Investment and Savings Plan
TABLE OF CONTENTS
December 31, 2009 and 2008
TABLE OF CONTENTS
December 31, 2009 and 2008
Page No(s). | ||||||||
F-1 | ||||||||
Financial Statements: | ||||||||
F-2 | ||||||||
F-3 | ||||||||
F-4 – F-13 | ||||||||
Supplemental Schedule: | ||||||||
F-14 – F-31 | ||||||||
F-32 | ||||||||
Exhibits | ||||||||
Exhibit 23.1 - Consent of Independent Registered Public Accounting Firm |
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.
Table of Contents
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan Administrator and Members of
The Hartford Investment and Savings Plan
Hartford, Connecticut
The Hartford Investment and Savings Plan
Hartford, Connecticut
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, 2009 and 2008, and the related statement of changes in net assets available for benefits for the year ended December 31, 2009. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. Our audits included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, such financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2009 and 2008, and the changes in net assets available for benefits for the year ended December 31, 2009 in conformity with accounting principles generally accepted in the United States of America.
Our audits were conducted for the purpose of forming an opinion on the basic 2009 financial statements taken as a whole. The supplemental schedule of assets (held at end of year) as of December 31, 2009 is presented for the purpose of additional analysis and is not a required part of the basic 2009 financial statements, but is supplementary information required by the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. This schedule is the responsibility of the Plan’s management. Such schedule has been subjected to the auditing procedures applied in our audit of the basic 2009 financial statements and, in our opinion, is fairly stated in all material respects when considered in relation to the basic 2009 financial statements taken as a whole.
DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 28, 2010
June 28, 2010
F-1
Table of Contents
EIN# 06-0383750
Plan# 100
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2009 AND 2008
($ IN THOUSANDS)
2009 | 2008 | |||||||
Assets | ||||||||
Investments, at fair value: | ||||||||
The Hartford Stock Fund, common stock 8,348,519 and 7,802,748 shares at December 31, 2009 and 2008, respectively | $ | 194,187 | $ | 128,121 | ||||
The Hartford ISP S&P Index Fund | 185,550 | 149,690 | ||||||
Separately managed account | 1,818 | — | ||||||
Mutual funds | 1,406,412 | 992,686 | ||||||
Pooled temporary investments | 13,477 | 23,354 | ||||||
Group annuity contracts | 670,763 | 610,376 | ||||||
Loans receivable from Members | 49,448 | 44,628 | ||||||
Total investments | 2,521,655 | 1,948,855 | ||||||
Dividends and interest receivable | 2,463 | 4,247 | ||||||
Total assets | 2,524,118 | 1,953,102 | ||||||
Liabilities | ||||||||
Administrative expenses payable | 701 | 578 | ||||||
Total liabilities | 701 | 578 | ||||||
Net assets available for benefits at fair value | 2,523,417 | 1,952,524 | ||||||
Adjustment from fair value to contract value for fully benefit-responsive investment contracts | (15,007 | ) | 41,865 | |||||
Net assets available for benefits | $ | 2,508,410 | $ | 1,994,389 | ||||
See Notes to Financial Statements.
F-2
Table of Contents
EIN# 06-0383750
Plan# 100
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2009
($ IN THOUSANDS)
2009 | ||||
Investment gain: | ||||
Net appreciation in fair value of investments | $ | 414,292 | ||
Dividends | 25,465 | |||
Interest | 3,141 | |||
Total investment gain | 442,898 | |||
Contributions: | ||||
Employee contributions | 141,944 | |||
Employer contributions, net of forfeitures | 63,838 | |||
Rollover contributions | 4,956 | |||
Total contributions | 210,738 | |||
Total additions | 653,636 | |||
Deductions from net assets attributed to: | ||||
Benefits paid to Members | 163,766 | |||
Administrative expenses | 2,552 | |||
Total deductions | 166,318 | |||
Net increase before asset transfers | 487,318 | |||
Asset transfers due to 2009 Plan merger (Note 10) | 26,703 | |||
Net increase after asset transfers | 514,021 | |||
Net assets available for benefits: | ||||
Beginning of year | 1,994,389 | |||
End of year | $ | 2,508,410 | ||
See Notes to Financial Statements.
F-3
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THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2009 AND 2008
AND FOR THE YEAR ENDED DECEMBER 31, 2009
($ 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 members of the Plan.
The Hartford Financial Services Group, Inc., a Delaware corporation, and its subsidiaries (collectively, “The Hartford” or the “Company”) provide investment products, life insurance, group benefits, automobile and homeowners products, and business and property-casualty insurance to both individual and commercial customers primarily in the United States. 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 definitions of all capitalized terms are contained in the Plan Document. A Summary Plan Description setting forth the highlights of the Plan is available to Members on the Fidelity NetBenefits website. Fidelity serves as the record keeper of the Plan.
Plan Changes
See Note 11 for a general description of amendments made to the Plan Document during the years ended December 31, 2009 and 2008.
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. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974 (“ERISA”).
The Trust, as defined in the Plan Document, is the aggregate funds held by the Trustee, State Street Bank and Trust Company, under the trust agreement established for the purposes of this Plan.
Contributions
Members may elect to save a percentage of their base salary and may designate their savings as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, savings may be elected based on 1% to 30% of base salary. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the “Code”). Pursuant to the terms of the Plan, highly compensated employees are employees whose prior year earnings were equal to or exceeded $105 and $100 per annum for 2009 and 2008, respectively.
Basic Savings are contributions which are not in excess of the first 6% of a Member’s base salary. For Members who have completed at least six months of service, an amount equal to 50% of a Member’s Basic Savings is matched by the Company (“Matching Company contribution”). Members’ savings in excess of 6% of base salary are Supplemental Savings that are not matched by the Company. In addition, the Company contributes 0.5% of highly compensated eligible employees’ base salary and 1.5% of all other eligible employees’ base salary (“Floor Company contribution”) to each employee’s Floor Company contribution account. An employee becomes eligible for Floor Company contributions after completing six months of service, regardless of whether the employee elects to participate in the Plan.
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.
F-4
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 1. Description of the Plan (continued)
Member Accounts
Individual accounts are maintained for each Member. Each Member’s account is credited with that Member’s contributions and allocations of (a) the Matching Company contributions and Floor Company contributions and (b) Plan earnings, and is charged with withdrawals and an allocation of administrative expenses and Plan losses. 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 employee and Floor Company contributions and earnings thereon. Vesting in Matching Company contributions begins after one year of service at which time Members are 20% vested. The vesting increases 20% each consecutive year until the fifth anniversary of service at which time the Members are 100% vested. Notwithstanding the foregoing statement, a Member becomes fully vested in such Member’s Matching Company contribution account upon retirement (for certain Members), disability, death, reaching age 65, or upon the complete discontinuance of Matching Company contributions or termination of the Plan.
Investment Options
As of December 31, 2009, contributions of Member savings and Company contributions may be invested in any of the twenty-five investment options of the Plan in multiples of 1%, as elected by the Member (“Member directed investments”).
Certain investment options are parties-in-interest with The Hartford. See Notes 3 and 9 for further discussion.
Member Loans
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 balances. 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 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 death, disability, retirement, or certain other reasons, Members or their designated beneficiaries may elect to receive either a lump sum amount equal to the value of the vested interest in their respective accounts, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipient’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
At December 31, 2009 and 2008, forfeited non-vested account balances totaled $5 and $227, respectively. These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2009, Matching Company contributions were reduced by $2,681 from forfeitures.
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.
F-5
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 2. Accounting Policies (continued)
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.
Adoption of New Accounting Standards
In May 2009, the FASB issued ASC 855 (originally issued as FASB Statement No. 165, Subsequent Events) to establish general standards of accounting for and disclosing events that occur after the balance sheet date, but prior to the issuance of financial statements. ASC 855 provides guidance on when financial statements should be adjusted for subsequent events and requires companies to disclose subsequent events and the date through which subsequent events have been evaluated. ASC 855 is effective for periods ending after June 15, 2009.
In 2009, FASB Staff Position 157-4, Disclosures Determining Fair Value When the Volume and Level of Activity for the Asset or Liability Have Significantly Decreased and Identifying Transactions That Are Not Orderly (FSP), was issued and later codified into ASC 820, which expanded disclosures and required that major category for debt and equity securities in the fair value hierarchy table be determined on the basis of the nature and risks of the investments.
Future Adoption of New Accounting Standards
In January 2010, the FASB issued ASU No. 2010-06, Fair Value Measurements and Disclosures (ASU No. 2010-06), which amends ASC 820 (originally issued as FASB Statement No. 157, Fair Value Measurements), adding new disclosure requirements for levels 1 and 2, separate disclosures of purchases, sales, issuances, and settlements relating to level 3 measurements and clarification of existing fair value disclosures. ASU No. 2010-06 is effective for periods beginning after December 15, 2009, except for the requirement to provide level 3 activities of purchases, sales, issuances, and settlements on a gross basis, which will be effective for fiscal years beginning after December 15, 2010. The Plan is currently evaluating the impact ASU No. 2010-06 will have on the financial statements.
Investment Valuation and Income Recognition
The Plan’s investments are stated at fair 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. The fair value of the common stock of The Hartford Financial Services Group, Inc. (“HFSG”) is based on quoted market prices. The Hartford ISP S&P Index Fund, separately managed account, mutual funds and pooled temporary investment funds are valued at the net asset value of shares , which represent the fair value of the underlying securities, held by the Plan at year end. The group annuity contracts (the “Stable Value Fund”) include synthetic guaranteed investment contracts (“GICs”) whose underlying securities are stated at fair value. Fair value of the underlying securities in the GICs is determined by the issuer based on the discounted replacement cost methodology, which incorporates the difference between current market level rates for the wrapper contract and the wrapper fee presently being charged. The GICs are stated at fair value and then adjusted to contract value as described in Note 4. Member loans are valued at their outstanding balances, which approximate fair value. 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.
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 may occur in the near term and that such changes could materially affect the amounts reported in the financial statements.
Investment expenses charged to the Plan for investments in the mutual funds are charged directly against the assets of the Fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment return for such investments.
F-6
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 2. Accounting Policies (continued)
Payment of Benefits
Benefits paid to Members are recorded when distributed (see Note 8).
Contributions
Employee and employer contributions are recorded in the period during which the Company makes payroll deductions from Members’ compensation.
Note 3. Investments
The following investments represented 5% or more of the fair value of the Plan’s net assets available for benefits at the end of the Plan year:
December 31, | ||||||||
2009 | 2008 | |||||||
* The Hartford Stock Fund, common stock (8,348,519 and 7,802,748 shares at December 31, 2009 and 2008, respectively) | $ | 194,187 | $ | 128,121 | ||||
* The Hartford ISP S&P Index Fund | 185,550 | 149,690 | ||||||
Mutual funds: | ||||||||
* Capital Appreciation HLS Fund | 303,458 | 186,458 | ||||||
* MidCap HLS Fund | 205,109 | 145,204 | ||||||
Group annuity contracts: | ||||||||
JPMorgan Chase Bank, Contract #AITTH01 | 184,424 | 165,297 | ||||||
Monumental Life Insurance Company #MDA00911TR | ** | 100,268 | ||||||
Monumental Life Insurance Company #MDA00912TR | 146,952 | 131,854 |
* | Indicates party-in-interest. | |
** | Investment did not represent 5% or more of the fair value of the Plan’s net assets available for benefits at December 31, 2009. |
For the year ended December 31, 2009, the Plan’s investments had net appreciation, including gains and losses on investments bought and sold, as well as held during the year, as follows:
The Hartford Stock Fund, common stock | $ | 65,171 | ||
The Hartford ISP S&P Index Fund | 39,234 | |||
Separately managed account | 544 | |||
Group annuity contracts | 22,485 | |||
Mutual funds | 286,858 | |||
Net appreciation in fair value of investments | $ | 414,292 | ||
F-7
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 4. Investments in Group Annuity Contracts
The Plan has entered into numerous synthetic group annuity contracts with unaffiliated insurance carriers. A synthetic group annuity contract is an investment contract through an issuer’s guarantee of a specific interest rate (the wrapper contract) and a fixed income portfolio of financial instruments that are owned by the Plan. The synthetic GIC contracts include underlying securities which are held in a trust owned by the Plan and utilize a benefit-responsive wrapper contract managed by DB Advisors. The fair value of the benefit-responsive wrapper contracts was $222 at December 31, 2009 and $1,536 at December 31, 2008. The contract provides that participants execute Plan transactions at contract value. These contracts are fully benefit-responsive and are included in the financial statements at fair value (see Note 2). Fully benefit-responsive contracts provide for a stated return on principal invested over a specified period and permit withdrawals at contract value for benefit payments, loans, or transfers. Contract value represents contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. Certain events, such as a Plan termination, divestiture or reduction in force may limit the ability of the Plan to transact at contract value or may allow for the termination of the wrapper contract at less than contract value. The Plan Sponsor does not believe that any events that may limit the ability of the Plan to transact at contract value are probable.
The relationship of future crediting rates and the adjustments to contract value reported on the statements of net assets available for benefits are provided through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses, defined as the difference between the market value and contract value of the wrapper. Key factors that could influence future crediting rates include, but are not limited to, Plan cash flows, changes in interest rates, total return performance of the fair market value bond strategies underlying each synthetic GIC contract, default or credit failures of any of the securities, investment contracts, or other investments held in the fund and the initiation of an extended termination of one or more synthetic GIC contracts by the manager or the contract issuer. The rate of return earned on a synthetic GIC is generally reset quarterly by the issuer based on market rates of other similar investments, the current yield of the underlying investments and the spread between the market value and contract value, but the rate can not be less than zero.
The contract issuer is not allowed to terminate any of the synthetic GICs and settle at an amount different from contract value unless there is a breach of the contract which is not corrected within the applicable cure period. Actions that will result in a breach include, but are not limited to, material misrepresentation, failure to pay synthetic GIC fees, or any other payment due under the contract, and failure to adhere to investment guidelines. The Plan has not breached any contracts in 2009.
Average yields: | 2009 | 2008 | ||||||
Based on annualized earnings (1) | 3.26 | % | 6.94 | % | ||||
Based on interest rate credited to participants (2) | 3.61 | % | 4.52 | % |
(1) | Calculated by taking the fair value sum of the funds holdings multiplied by their respective yields, divided by the total sum of the holdings as of December 31, 2009 and 2008, respectively. | |
(2) | Calculated by taking the sum of the book value holdings multiplied by the crediting rate, divided by the fair value of the funds. |
The following table represents the adjustment from fair value to contract value for each of the contracts as of December 31, 2009:
�� | ||||||||||||||||||||
Major | Investments | Investments | Adjustment from | |||||||||||||||||
Contract | Credit | at Contract | at Fair | Fair Value to | ||||||||||||||||
Carrier Name | Number | Ratings | Value | Value | Contract Value | |||||||||||||||
JPMorgan Chase Bank | AITTH01 | AA- / Aa1 | $ | 179,157 | $ | 184,424 | $ | (5,267 | ) | |||||||||||
JPMorgan Chase Bank | AITTH02 | AA- / Aa1 | 48,005 | 49,813 | (1,808 | ) | ||||||||||||||
Monumental Life Insurance Company | MDA00911TR | AA- / A1 | 109,450 | 112,467 | (3,017 | ) | ||||||||||||||
Monumental Life Insurance Company | MDA00912TR | AA- / A1 | 145,760 | 146,952 | (1,192 | ) | ||||||||||||||
Natixis Financial Products Inc. | WR1879-01 | A+ / Aa3 | 92,644 | 93,305 | (661 | ) | ||||||||||||||
Natixis Financial Products Inc. | 1879-02 | A+ / Aa3 | 80,740 | 83,802 | (3,062 | ) | ||||||||||||||
Total | $ | 655,756 | $ | 670,763 | $ | (15,007 | ) | |||||||||||||
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 4. Investments in Group Annuity Contracts (continued)
The following table represents the adjustment from fair value to contract value for each of the contracts as of
December 31, 2008:
December 31, 2008:
Major | Investments | Investments | Adjustment from | |||||||||||||||||
Contract | Credit | at Contract | at Fair | Fair Value to | ||||||||||||||||
Carrier Name | Number | Ratings | Value | Value | Contract Value | |||||||||||||||
JPMorgan Chase Bank | AITTH01 | AA- / Aaa | $ | 172,109 | $ | 165,297 | $ | 6,812 | ||||||||||||
JPMorgan Chase Bank | AITTH02 | AA- / Aaa | 45,956 | 44,558 | 1,398 | |||||||||||||||
Monumental Life Insurance Company | MDA00911TR | AA / Aa3 | 105,689 | 100,268 | 5,421 | |||||||||||||||
Monumental Life Insurance Company | MDA00912TR | AA / Aa3 | 147,802 | 131,854 | 15,948 | |||||||||||||||
Natixis Financial Products Inc. | WR1879-01 | A+ / Aa3 | 96,872 | 87,078 | 9,794 | |||||||||||||||
Natixis Financial Products Inc. | 1879-02 | A+ / Aa3 | 77,282 | 75,051 | 2,231 | |||||||||||||||
Natixis Financial Products Inc. | BR-879-25 | AAA / Aaa | 6,531 | 6,270 | 261 | |||||||||||||||
Total | $ | 652,241 | $ | 610,376 | $ | 41,865 | ||||||||||||||
Note 5. Fair Value Measurements
The Plan classifies its investments into level 1, which refers to securities valued using quoted prices from active markets for identical assets; level 2, which refers to securities not traded on an active market but for which observable market inputs are readily available; and level 3, which refers to securities valued based on significant unobservable inputs. Assets are classified in their entirety based on the lowest level of input that is significant to the fair value measurement.
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, 2009 and 2008.
The tables below include the major categorization for debt and equity securities on the basis of the nature and risk of the investments at December 31, 2009 and 2008.
Investment Assets at Fair Value as of December 31, 2009 | ||||||||||||||||
Quoted Prices | Significant | Significant | ||||||||||||||
in Active | Observable | Unobservable | ||||||||||||||
Markets | Inputs | Inputs | ||||||||||||||
(Level 1) | (Level 2) | (Level 3) | Total | |||||||||||||
Short Term Investments | $ | — | $ | 86,171 | $ | — | $ | 86,171 | ||||||||
Loan receivable from Members | — | — | 49,448 | 49,448 | ||||||||||||
Fixed Income Securities: | ||||||||||||||||
Group annuity contracts | — | |||||||||||||||
Short Term Investments | — | 17,445 | — | 17,445 | ||||||||||||
Debt Securities including U.S. Government Securities | 15,441 | 619,534 | 18,343 | 653,318 | ||||||||||||
Bond Investments | 128,737 | — | — | 128,737 | ||||||||||||
Equity Securities: | ||||||||||||||||
Company Stock | 194,187 | — | — | 194,187 | ||||||||||||
Large-Cap Equities | 423,477 | 185,550 | — | 609,027 | ||||||||||||
Mid-Cap Equities | 205,108 | — | — | 205,108 | ||||||||||||
Small-Cap Equities | 113,594 | — | — | 113,594 | ||||||||||||
International Equities | 158,500 | — | — | 158,500 | ||||||||||||
Vanguard Retirement Funds | 306,120 | — | — | 306,120 | ||||||||||||
Total investments at fair value [1] | $ | 1,545,164 | $ | 908,700 | $ | 67,791 | $ | 2,521,655 | ||||||||
[1] | Excludes $419 of dividend receivable and $2,044 of interest receivable recorded at fair value. |
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NOTES TO FINANCIAL STATEMENTS (Continued)
Note 5. Fair Value Measurements (continued)
Investment Assets at Fair Value as of December 31, 2008 | ||||||||||||||||
Quoted Prices | Significant | Significant | ||||||||||||||
in Active | Observable | Unobservable | ||||||||||||||
Markets | Inputs | Inputs | ||||||||||||||
(Level 1) | (Level 2) | (Level 3) | Total | |||||||||||||
Short Term Investments | $ | — | $ | 99,434 | $ | 99,434 | ||||||||||
Loan receivable from Members | — | — | 44,628 | 44,628 | ||||||||||||
Fixed Income Securities: | ||||||||||||||||
Group annuity contracts | ||||||||||||||||
Short Term Investments | — | 11,592 | — | 11,592 | ||||||||||||
Debt Securities including U.S. Government Securities | 19,705 | 563,389 | 15,690 | 598,784 | ||||||||||||
Bond Investments | 92,915 | — | — | 92,915 | ||||||||||||
Equity Securities: | ||||||||||||||||
Company Stock | 128,121 | — | — | 128,121 | ||||||||||||
Large Cap Equities | 275,646 | 149,690 | — | 425,336 | ||||||||||||
Mid-Cap Equities | 145,204 | — | — | 145,204 | ||||||||||||
Small-Cap Equities | 80,355 | — | — | 80,355 | ||||||||||||
International Equities | 133,275 | — | — | 133,275 | ||||||||||||
Vanguard Retirement Funds | 189,211 | — | — | 189,211 | ||||||||||||
Total investments at fair value [1] | $ | 1,064,432 | $ | 824,105 | $ | 60,318 | $ | 1,948,855 | ||||||||
[1] | Excludes $2,538 of dividend receivable and $1,709 of interest receivable recorded at fair value. |
Total Plan investment assets at fair value classified within level 3 were $67,791 and $60,318, as of December 31, 2009 and 2008, respectively, which consists of the Plan’s Stable Value Fund guaranteed investment contract holdings and loans to members. Such amounts were approximately 3% of “Total investments” on the Plan’s statement of net assets available for benefits at fair value for both December 31, 2009 and December 31, 2008.
Rollforward of Fair Value Measurements Using Significant Unobservable Inputs (Level 3)
The table below sets forth a summary of changes in the fair value of the Plan’s level 3 investments for the year ended December 31, 2009. As reflected in the table below, the net unrealized gain/(loss) on level 3 investment assets was $815 as of December 31, 2009. This was comprised of net unrealized losses of $(2,218) and net unrealized gains of $3,033 on group annuity contracts for the year ended December 31, 2009.
Level 3 Investment Assets and Investment Liabilities | ||||||||||||
Year Ended December 31, 2009 | ||||||||||||
Group | ||||||||||||
Loan Receivable | Annuity | |||||||||||
from Members | Contracts | Total | ||||||||||
Balance, beginning of year | $ | 44,628 | $ | 15,690 | $ | 60,318 | ||||||
Realized losses | — | (2,098 | ) | (2,098 | ) | |||||||
Unrealized gains | — | 815 | 815 | |||||||||
Purchases, issuances, and settlements | 4,820 | 4,482 | 9,302 | |||||||||
Transfers in and / or out of level 3 | — | (546 | ) | (546 | ) | |||||||
Balance, end of year | $ | 49,448 | $ | 18,343 | $ | 67,791 | ||||||
The change in unrealized gains included in the statement of changes in net assets available for benefits related to assets still held at the reporting date totaled $159 as of December 31, 2009.
F-10
Table of Contents
NOTES TO FINANCIAL STATEMENTS (Continued)
Note 5. Fair Value Measurements (continued)
The valuation methods as 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.
Note 6. Federal Income Tax Status
The Internal Revenue Service has determined and informed the Company by letter dated March 23, 2004 that the Plan and related Trust are designed in accordance with applicable sections of the Internal Revenue Code (IRC). The Plan has been amended since receiving the determination letter. However, the Company and the Plan Administrator believe that the Plan is designed and is currently being operated in compliance with the applicable requirements of the IRC and the Plan and related Trust continue to be tax-exempt. Therefore, no provision for income taxes has been included in the Plan’s financial statements.
Note 7. 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, the interests of affected Members automatically become fully-vested.
Note 8. 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, 2009 and 2008:
2009 | 2008 | |||||||
Net assets available for benefits per accompanying financial statements | $ | 2,508,410 | $ | 1,994,389 | ||||
Amounts allocated to withdrawing Members | (7 | ) | (148 | ) | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts | 15,007 | (41,865 | ) | |||||
Net assets per Form 5500 | $ | 2,523,410 | $ | 1,952,376 | ||||
The following is a reconciliation of total investment gain and contributions on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2009:
Total investment gain and contributions per accompanying financial statements | $ | 653,636 | ||
Add adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year | 41,865 | |||
Deduct adjustment from contract value to fair value for fully benefit-responsive investment contracts at the end of the year | 15,007 | |||
Total income per Form 5500 | $ | 710,508 | ||
F-11
Table of Contents
NOTES TO FINANCIAL STATEMENTS (Continued)
Note 8. 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, 2009:
Benefits paid to Members per accompanying financial statements | $ | 163,766 | ||
Add amounts allocated to withdrawing members current year | 7 | |||
Deduct amounts allocated to withdrawing members prior year | (148 | ) | ||
Deduct corrective distributions | (14 | ) | ||
Deduct amounts allocated to deemed loan distributions | (31 | ) | ||
Benefits paid to Members per Form 5500 | $ | 163,580 | ||
Note 9. Party-in-Interest Transactions
Certain plan investments are in funds managed by State Street Bank and Trust Company (the Trustee), certain subsidiaries of the Company and DB Advisors. Fees paid by the Plan for trustee, custodial and investment management services amounted to $853 for the year ended December 31, 2009. Fees paid by the Plan to a subsidiary of the Company pursuant to a group annuity contract issued by a subsidiary amounted to $38 for the year ended December 31, 2009. In addition, certain Plan investments are shares of mutual funds that are sponsored by The Hartford and shares of The Hartford’s common stock. At December 31, 2009 and 2008, the Plan held 8,348,519 shares and 7,802,748 shares of common stock of The Hartford with a cost basis of $281,215 and $296,600, respectively. During the year ended December 31, 2009, the Plan recorded dividend income from The Hartford’s common stock and The Hartford’s mutual funds of $18,463.
Note 10. Plan Merger
Effective January 1, 2009, PLANCO, a subsidiary of the Company, merged its Profit Sharing Plan into the Plan, resulting in the transfer of $25,902 in net assets and $801 in participant loans into the Plan. Assets were converted in-kind for the mutual funds offered in the Plan. Assets not offered in the Plan were liquidated and invested in the corresponding Vanguard Retirement Fund according to the Plan member’s age.
Note 11. Plan Amendments
Effective January 1, 2009, the name of The Hartford Financial Services Group, Inc. Stock Fund was changed to The Hartford Stock Fund.
Effective January 16, 2009, Evercore Wealth Management LLC was named as the fiduciary responsible for The Hartford Stock Fund and investment manager of common stock of the Company held by The Hartford Stock Fund. Evercore Trust Company, N.A. subsequently replaced Evercore Wealth Management LLC as fiduciary for The Hartford Stock Fund, effective June 1, 2009.
Effective March 26, 2009 The Hartford Global Health HLS Fund was no longer available under the Plan. The Hartford Global Health HLS Fund was removed from the Plan in conjunction with the addition, in April 2009, of two new equity investment options, the Columbus Circle Large Cap Growth Fund and the RS Partners Y Fund, a small cap blend fund.
In connection with the above two new fund offerings, the Plan was amended effective March 31, 2009 to allow the investment of Floor contributions in an investment fund designated by the Investment and Savings Plan Investment Committee pending allocation of those Floor contributions to Member accounts.
F-12
Table of Contents
NOTES TO FINANCIAL STATEMENTS (Continued)
Note 11. Plan Amendments (continued)
Effective November 11, 2009, five new Target Retirement funds were added to the Plan. The funds added were the Vanguard Target Retirement 2010 Fund, the Vanguard Target Retirement 2020 Fund, the Vanguard Target Retirement 2030 Fund, the Vanguard Target Retirement 2040 Fund and the Vanguard Target Retirement 2050 Fund.
Effective January 1, 2008, participants are required to contribute at least 6% of compensation in any combination of before-tax, Roth 401(k) or after-tax contributions prior to the participant making catch-up contributions to the Plan. In addition, the catch-up contributions are limited to 69% of compensation rather than 75%.
Effective August 5, 2008, the Global Technology HLS Fund was removed from the Plan.
Note 12. Subsequent Events
For the year ended December 31, 2009, subsequent events were evaluated through the date the financial statements were issued. There were no subsequent events identified.
F-13
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
($ IN THOUSANDS, except for par value)
(b) Identity of issue, borrower, lessor, | (c) Description of investment including maturity date, rate of | (e) Current | ||||||||||
(a) | or similar party | interest, collateral, par or maturity value | (d) Cost | value | ||||||||
The Hartford Stock Fund | ||||||||||||
* | The Hartford | The Hartford Stock Fund, common stock (8,348,519 shares) | *** | $ | 194,187 | |||||||
* | State Street Bank and Trust | State Street Cash Fund – STIF | *** | 1,055 | ||||||||
Subtotal Stock Fund | 195,242 | |||||||||||
The Hartford ISP S&P Index Fund | ||||||||||||
* | The Hartford | Index Fund, Fund #NCD5 | *** | 185,550 | ||||||||
Subtotal Index Fund | 185,550 | |||||||||||
Separately managed account | ||||||||||||
Columbus Circle | Columbus Circle Large Cap Growth Fund, Fund #NMB2 | *** | 1,818 | |||||||||
* | State Street Bank and Trust | State Street Cash Fund – STIF | *** | 16 | ||||||||
Subtotal Separate Account | 1,834 | |||||||||||
Mutual Funds: | ||||||||||||
Total Return Bond HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Bond HLS Fund, Class IA shares, Fund #NCC3 | *** | 84,207 | ||||||||
Money Market HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Money Market HLS Fund, Class IA shares, Fund #NCD1 | *** | 72,694 | ||||||||
Dividend and Growth HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Dividend and Growth HLS Fund, Class IA shares, Fund #NCD4 | *** | 118,201 | ||||||||
International Opportunities HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. International Opportunities HLS Fund, Class IA shares, Fund #NCC6 | *** | 119,416 | ||||||||
Capital Appreciation HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Capital Appreciation HLS Fund, Class IA shares, Fund #NCD3 | *** | 303,458 | ||||||||
Small Company HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Small Company HLS Fund, Class IA shares, Fund #NCC1 | *** | 111,095 | ||||||||
MidCap HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. MidCap HLS Fund, Class IA shares, Fund #NCC2 | *** | 205,109 | ||||||||
High Yield HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. High Yield HLS Fund, Class IA shares, Fund #NCC4 | *** | 44,530 | ||||||||
Global Growth HLS Fund | ||||||||||||
* | The Hartford | Hartford Series Fund, Inc. Global Growth HLS Fund, Class IA shares, Fund #NCC7 | *** | 39,084 |
* | 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. |
F-14
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(b) Identity of issue, borrower, lessor, | (c) Description of investment including maturity date, rate of | (e) Current | ||||||||||
(a) | or similar party | interest, collateral, par or maturity value | (d) Cost | value | ||||||||
Target Retirement Income Fund | ||||||||||||
Vanguard | Vanguard Target Retirement Income Fund, Fund #NMA4 | *** | $ | 11,945 | ||||||||
Target Retirement 2005 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2005 Fund, Fund #NMA5 | *** | 14,007 | |||||||||
Target Retirement 2010 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2010 Fund, Fund #NMB3 | *** | 560 | |||||||||
Target Retirement 2015 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2015 Fund, Fund #NMA6 | *** | 77,800 | |||||||||
Target Retirement 2020 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2020 Fund, Fund #NMB4 | *** | 262 | |||||||||
Target Retirement 2025 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2025 Fund, Fund #NMA7 | *** | 97,480 | |||||||||
Target Retirement 2030 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2030 Fund, Fund #NMB5 | *** | 227 | |||||||||
Target Retirement 2035 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2035 Fund, Fund #NMA8 | *** | 66,104 | |||||||||
Target Retirement 2040 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2040 Fund, Fund #NMB6 | *** | 254 | |||||||||
Target Retirement 2045 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2045 Fund, Fund #NMA9 | *** | 37,260 | |||||||||
Target Retirement 2050 Fund | ||||||||||||
Vanguard | Vanguard Target Retirement 2050 Fund, Fund #NMB7 | *** | 220 | |||||||||
RS Partners Y Fund | ||||||||||||
RS Partners | RS Partners Y Fund, Fund # NMB1 | *** | 2,499 | |||||||||
Subtotal Mutual Funds | 1,406,412 | |||||||||||
* | 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. |
F-15
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Stable Value Fund | ||||||||||||||||||||||||
* | DB Advisors | Stable Value Fund, Fund #NCD6, including the following group annuity contracts: | ||||||||||||||||||||||
Natixis Financial Products Inc. | Group Annuity Contract #1879-02, 4.65% ** | *** | $ | 83,802 | ||||||||||||||||||||
Monumental Life Insurance Company | Group Annuity Contract #MDA00911TR, 4.30% ** | *** | 112,358 | |||||||||||||||||||||
JPMorgan Chase Bank | Group Annuity Contract #AITTH01, 4.39% ** | *** | 184,424 | |||||||||||||||||||||
JPMorgan Chase Bank | Group Annuity Contract #AITTH02, 4.65% ** | *** | 49,813 | |||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||||||
ARMY HAWAII FAMILY HSG I C TR SER 2005 IC TR CTF 144A | 5.524 | % | 6/15/2050 | 250,000 | *** | 185 | ||||||||||||||||||
BEAR STEARNS 2007 HE4 ASSET BKD CTF CL M 4 | 1.336 | % | 5/25/2037 | 485,000 | *** | 6 | ||||||||||||||||||
C BASS 2007 CB4 TR MTG PTH CTF CL A2D | 5.863 | % | 4/25/2037 | 440,000 | *** | 239 | ||||||||||||||||||
CT CDO III LTD COLL DEBT OBLIG SR NT CL A 2 | 5.160 | % | 6/25/2035 | 950,000 | *** | 895 | ||||||||||||||||||
NATIONSTAR NIM LTD 2007 AN NET MARGINNT CL A 144 | 9.970 | % | 3/25/2037 | 8,803 | *** | 9 | ||||||||||||||||||
RASC SER 2004 KS1 TR HOME EQUITY MTG CL M I 2 | 5.072 | % | 2/25/2034 | 281,062 | *** | 107 | ||||||||||||||||||
CONTINENTAL AIRLS PASS THRU TR | 7.918 | % | 5/1/2010 | 600,000 | *** | 601 | ||||||||||||||||||
FNMA POOL 357779 | 6.000 | % | 7/1/2035 | 1,331,937 | *** | 1,418 | ||||||||||||||||||
FNMA POOL MA0072 | 4.000 | % | 5/1/2029 | 11,225,650 | *** | 11,100 | ||||||||||||||||||
BAYVIEW FINL MTG PASS THRU TR A MTG PASSTHRU CTF CL B1 | 3.234 | % | 5/28/2037 | 500,000 | *** | 6 | ||||||||||||||||||
RESIDENTIAL ASSET MTG PRODS IN 2003 RZ4 ASSET BKD CTF CL A 5 | 4.660 | % | 2/25/2032 | 81,776 | *** | 80 | ||||||||||||||||||
STRUCTURED ASSET SECS CORP 2005 2 LEHMAN BROS SML 144A 2A | 5.520 | % | 9/25/2030 | 468,312 | *** | 315 | ||||||||||||||||||
GOVERNMENT STIF 18 | 0.011 | % | N/A | 11,944,263 | *** | 11,958 | ||||||||||||||||||
ALLYA 2009 B A3 10/13 FIXED 1.98 144A | 1.980 | % | 10/15/2013 | 1,080,000 | *** | 1,075 | ||||||||||||||||||
BNSF RY CO PASS THRU TR PASSTHRU CTF SER 2005 3 144A | 4.830 | % | 1/15/2023 | 642,209 | *** | 673 | ||||||||||||||||||
COMM 2004 1 2004 LNB2 COML MTG PTHRU CL A4 | 4.715 | % | 3/10/2039 | 895,000 | *** | 877 | ||||||||||||||||||
GREENWICH CAPITAL COMM FND 2007 GG9 CL A4 | 5.444 | % | 3/10/2039 | 1,065,000 | *** | 942 | ||||||||||||||||||
GMACM HOME EQUITY LN TR 2003 HE2 LN BKD NT CL A 4 | 5.120 | % | 4/25/2033 | 346,661 | *** | 109 | ||||||||||||||||||
GMACM HOME EQUITY LN TR SER 2003 HE2 LN BKD NT CL A 5 | 4.090 | % | 4/25/2033 | 466,175 | *** | 341 | ||||||||||||||||||
GREAT RIV ENERGY 1ST MTG SER 2007A 144A | 5.829 | % | 7/1/2017 | 889,472 | *** | 969 | ||||||||||||||||||
MARLIN LEASING RECEIVABLES X SER 2006 NT CL A4 144A | 5.340 | % | 9/16/2013 | 509,713 | *** | 513 | ||||||||||||||||||
SMALL BUSINESS ADMIN DEB SER 2002 20 A | 6.140 | % | 1/1/2022 | 1,271,322 | *** | 1,366 | ||||||||||||||||||
SMALL BUSINESS ADMIN 2005 10F PARTN CTF | 5.200 | % | 11/1/2015 | 1,061,461 | *** | 1,118 | ||||||||||||||||||
SMALL BUSINESS ADMIN GTD DEV 2006 10E PARTN CTF CL1 | 5.370 | % | 9/1/2016 | 1,026,384 | *** | 1,089 | ||||||||||||||||||
SMALL BUSINESS ADMIN 2007 10C PARTN CTF CL1 | 5.110 | % | 5/1/2017 | 702,827 | *** | 745 | ||||||||||||||||||
CALIFORNIA ST CAS 04/14 FIXED 5.25 | 5.250 | % | 4/1/2014 | 770,000 | *** | 781 | ||||||||||||||||||
BRAZIL FEDERATIVE REP GLOBAL BD | 6.000 | % | 1/17/2017 | 575,000 | *** | 622 |
* | 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. |
F-16
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||||||
BRAZIL FEDERATIVE REP GLOBAL BD | 5.875 | % | 1/15/2019 | 300,000 | *** | $ | 320 | |||||||||||||||||
FANNIE MAE 09/14 FIXED 3 | 3.000 | % | 9/29/2014 | 1,700,000 | *** | 1,692 | ||||||||||||||||||
HUNGARY REP NT | 4.750 | % | 2/3/2015 | 637,000 | *** | 632 | ||||||||||||||||||
ONTARIO PROV CDA 06/14 FIXED 4.1 | 4.100 | % | 6/16/2014 | 1,095,000 | *** | 1,144 | ||||||||||||||||||
STATE OF QATAR 1/15 FIXED 4 | 4.000 | % | 1/20/2015 | 1,330,000 | *** | 1,335 | ||||||||||||||||||
UNITED MEXICAN STS TRANCHE TR 00021 | 5.950 | % | 3/19/2019 | 784,000 | *** | 830 | ||||||||||||||||||
UNITED STATES TREAS BDS 5 1/4 02/15/29 | 5.250 | % | 2/15/2029 | 7,509,000 | *** | 8,145 | ||||||||||||||||||
UNITED STATES TREAS BDS 08/39 FIXED 4.5 | 4.500 | % | 8/15/2039 | 1,310,000 | *** | 1,282 | ||||||||||||||||||
UNITED STATES TREAS NTS 17/08/15 4.750 | 4.750 | % | 8/15/2017 | 2,544,000 | *** | 2,764 | ||||||||||||||||||
UNITED STATES TREAS NTS 03/10 FIXED 1.75 | 1.750 | % | 3/31/2010 | 258,000 | *** | 259 | ||||||||||||||||||
UNITED STATES TREAS NTS | 2.125 | % | 4/30/2010 | 11,725,000 | *** | 11,814 | ||||||||||||||||||
UNITED STATES TREAS NTS 09/10 FIXED 2 | 2.000 | % | 9/30/2010 | 2,245,000 | *** | 2,274 | ||||||||||||||||||
UNITED STATES TREAS NTS 10/10 FIXED 1.5 | 1.500 | % | 10/31/2010 | 1,935,000 | *** | 1,954 | ||||||||||||||||||
US TREASURY N/B | 1.250 | % | 11/30/2010 | 791,000 | *** | 797 | ||||||||||||||||||
UNITED STATES TREAS NTS 02/11 FIXED 0.875 | 0.875 | % | 2/28/2011 | 299,000 | *** | 300 | ||||||||||||||||||
US TREASURY SEC. 04/11 FIXED .875PCT | 0.875 | % | 4/30/2011 | 3,978,000 | *** | 3,988 | ||||||||||||||||||
WI TREASURY SEC 05/11 FIXED 0..875 | 0.875 | % | 5/31/2011 | 2,216,000 | *** | 2,221 | ||||||||||||||||||
US TREASURY N/B 08/19 FIXED 3.625 | 3.625 | % | 8/15/2019 | 6,712,000 | *** | 6,606 | ||||||||||||||||||
US TREASURY N/B 10/12 FIXED 1.375 | 1.375 | % | 10/15/2012 | 89,000 | *** | 89 | ||||||||||||||||||
WI TREASURY N/B 10/11 FIXED 1.000 | 1.000 | % | 10/31/2011 | 9,964,000 | *** | 9,966 | ||||||||||||||||||
US TREASURY N/B 08/11 VAR | 1.000 | % | 8/31/2011 | 8,890,000 | *** | 8,904 | ||||||||||||||||||
GNMA II POOL 003624 | 5.500 | % | 10/20/2034 | 660,455 | *** | 696 | ||||||||||||||||||
GNMA POOL 602552 | 5.000 | % | 3/15/2036 | 891,197 | *** | 920 | ||||||||||||||||||
GNMA POOL 569327 | 6.500 | % | 4/15/2032 | 557,603 | *** | 601 | ||||||||||||||||||
GNMA POOL 580880 | 6.500 | % | 11/15/2031 | 38,849 | *** | 42 | ||||||||||||||||||
GNMA POOL 583958 | 6.500 | % | 6/15/2032 | 98,089 | *** | 106 | ||||||||||||||||||
GNMA POOL 434787 | 8.000 | % | 5/15/2030 | 13,032 | *** | 15 | ||||||||||||||||||
GNMA POOL 434429 | 6.500 | % | 6/15/2014 | 3,472 | *** | 4 | ||||||||||||||||||
GNMA POOL 434476 | 6.000 | % | 8/15/2014 | 35,545 | *** | 38 | ||||||||||||||||||
GNMA POOL 485856 | 6.500 | % | 10/15/2031 | 82,074 | *** | 89 | ||||||||||||||||||
GNMA POOL 726316 | 5.000 | % | 9/15/2039 | 2,042,061 | *** | 2,106 | ||||||||||||||||||
GNMA POOL 487166 | 6.000 | % | 5/15/2014 | 19,204 | *** | 21 | ||||||||||||||||||
GNMA POOL 488737 | 6.000 | % | 4/15/2014 | 2,163 | *** | 2 | ||||||||||||||||||
GNMA POOL 496511 | 6.000 | % | 2/15/2014 | 970 | *** | 1 | ||||||||||||||||||
GNMA POOL 499306 | 6.000 | % | 8/15/2014 | 36,556 | *** | 39 | ||||||||||||||||||
GNMA POOL 499281 | 6.500 | % | 6/15/2014 | 3,123 | *** | 3 | ||||||||||||||||||
GNMA POOL 499406 | 6.000 | % | 3/15/2014 | 73,267 | *** | 79 | ||||||||||||||||||
GNMA POOL 500796 | 8.000 | % | 7/15/2030 | 16,437 | *** | 19 | ||||||||||||||||||
GNMA POOL 500932 | 6.000 | % | 6/15/2014 | 2,062 | *** | 2 | ||||||||||||||||||
GNMA POOL 508857 | 6.000 | % | 9/15/2014 | 3,707 | *** | 4 | ||||||||||||||||||
GNMA POOL 510279 | 6.000 | % | 8/15/2014 | 24,787 | *** | 27 | ||||||||||||||||||
GNMA POOL 510403 | 5.000 | % | 1/15/2035 | 256,851 | *** | 266 |
* | 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 |
F-17
Table of Contents
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||||||
GNMA POOL 510844 | 8.000 | % | 12/15/2029 | 1,292 | *** | $ | 1 | |||||||||||||||||
GNMA POOL 513731 | 6.500 | % | 7/15/2014 | 2,137 | *** | 2 | ||||||||||||||||||
GNMA POOL 515804 | 8.000 | % | 6/15/2030 | 3,523 | *** | 4 | ||||||||||||||||||
GNMA POOL 518044 | 8.000 | % | 12/15/2029 | 4,316 | *** | 5 | ||||||||||||||||||
GNMA POOL 521708 | 8.000 | % | 12/15/2029 | 467 | *** | 1 | ||||||||||||||||||
GNMA POOL 526364 | 8.000 | % | 7/15/2030 | 5,096 | *** | 6 | ||||||||||||||||||
GNMA POOL 533008 | 8.000 | % | 7/15/2030 | 3,825 | *** | 4 | ||||||||||||||||||
GNMA POOL 533946 | 6.500 | % | 4/15/2032 | 19,026 | *** | 21 | ||||||||||||||||||
GNMA POOL 550887 | 5.000 | % | 8/15/2035 | 385,284 | *** | 399 | ||||||||||||||||||
GNMA POOL 551678 | 6.500 | % | 10/15/2031 | 18,030 | *** | 19 | ||||||||||||||||||
GNMA POOL 551077 | 6.500 | % | 11/15/2031 | 32,145 | *** | 35 | ||||||||||||||||||
GNMA POOL 551120 | 6.500 | % | 8/15/2031 | 191,716 | *** | 207 | ||||||||||||||||||
GNMA POOL 552571 | 6.500 | % | 5/15/2032 | 124,433 | *** | 134 | ||||||||||||||||||
GNMA POOL 271940 | 5.500 | % | 8/15/2018 | 388,139 | *** | 414 | ||||||||||||||||||
GNMA POOL 780762 | 6.500 | % | 4/15/2013 | 64,017 | *** | 68 | ||||||||||||||||||
GNMA POOL 781410 | 5.500 | % | 3/15/2017 | 449,592 | *** | 481 | ||||||||||||||||||
GNMA POOL 782405 | 5.500 | % | 9/15/2038 | 1,932,603 | *** | 2,030 | ||||||||||||||||||
GNMA POOL 622278 | 5.000 | % | 4/15/2035 | 308,022 | *** | 319 | ||||||||||||||||||
GNMA POOL 631242 | 5.500 | % | 6/15/2035 | 946,324 | *** | 1,000 | ||||||||||||||||||
GNMA POOL 641601 | 5.000 | % | 3/15/2035 | 340,756 | *** | 353 | ||||||||||||||||||
GNMA POOL 646865 | 5.000 | % | 8/15/2035 | 197,585 | *** | 204 | ||||||||||||||||||
GNMA POOL 692749 | 6.000 | % | 8/15/2039 | 1,998,132 | *** | 2,116 | ||||||||||||||||||
FNMA TBA JAN 30 SINGLE FAM | 5.500 | % | N/A | 2,030,000 | *** | 2,127 | ||||||||||||||||||
FNMA TBA JAN 30 SINGLE FAM | 6.000 | % | N/A | 2,010,000 | *** | 2,131 | ||||||||||||||||||
FNMA POOL 253880 | 6.500 | % | 7/1/2016 | 168,644 | *** | 183 | ||||||||||||||||||
FNMA POOL 254510 | 5.000 | % | 11/1/2017 | 196,239 | *** | 207 | ||||||||||||||||||
FNMA POOL 357821 | 6.000 | % | 7/1/2035 | 3,388,819 | *** | 3,610 | ||||||||||||||||||
FNMA POOL 385552 | 4.850 | % | 12/1/2012 | 1,157,882 | *** | 1,223 | ||||||||||||||||||
FNMA POOL 514135 | 6.000 | % | 7/1/2014 | 74,607 | *** | 80 | ||||||||||||||||||
FNMA POOL 532577 | 7.000 | % | 7/1/2015 | 125,225 | *** | 136 | ||||||||||||||||||
FNMA POOL 535675 | 7.000 | % | 1/1/2016 | 328,796 | *** | 357 | ||||||||||||||||||
FNMA POOL 535740 | 7.000 | % | 12/1/2015 | 45,922 | *** | 50 | ||||||||||||||||||
FNMA POOL 555417 | 6.000 | % | 5/1/2033 | 751,336 | *** | 805 | ||||||||||||||||||
FNMA POOL 555531 | 5.500 | % | 6/1/2033 | 399,047 | *** | 420 | ||||||||||||||||||
FNMA POOL 555545 | 5.000 | % | 6/1/2018 | 961,974 | *** | 1,015 | ||||||||||||||||||
FNMA POOL 555591 | 5.500 | % | 7/1/2033 | 1,144,497 | *** | 1,204 | ||||||||||||||||||
FNMA POOL 574924 | 7.000 | % | 4/1/2016 | 47,363 | *** | 51 | ||||||||||||||||||
FNMA POOL 611020 | 6.500 | % | 1/1/2017 | 146,205 | *** | 159 | ||||||||||||||||||
FNMA POOL 651377 | 6.000 | % | 7/1/2017 | 432,978 | *** | 465 | ||||||||||||||||||
FNMA POOL 712104 | 5.000 | % | 5/1/2018 | 1,579,098 | *** | 1,666 | ||||||||||||||||||
FNMA POOL 712637 | 5.000 | % | 6/1/2018 | 79,881 | *** | 84 | ||||||||||||||||||
FNMA POOL 725704 | 6.000 | % | 8/1/2034 | 597,077 | *** | 638 | ||||||||||||||||||
FNMA POOL 730716 | 6.000 | % | 8/1/2033 | 432,542 | *** | 463 | ||||||||||||||||||
FNMA POOL 734059 | 5.500 | % | 8/1/2033 | 117,304 | *** | 123 | ||||||||||||||||||
FNMA POOL 735457 | 4.847 | % | 4/1/2035 | 355,793 | *** | 372 | ||||||||||||||||||
FNMA POOL 739610 | 5.500 | % | 9/1/2033 | 1,822,533 | *** | 1,918 |
* | 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. |
F-18
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||||||
FNMA POOL 745932 | 6.500 | % | 11/1/2036 | 1,224,924 | * | ** | $ | 1,316 | ||||||||||||||||
FNMA POOL 756154 | 6.000 | % | 11/1/2033 | 234,822 | * | ** | 251 | |||||||||||||||||
FNMA POOL 758584 | 5.000 | % | 11/1/2034 | 1,436,134 | * | ** | 1,482 | |||||||||||||||||
FNMA POOL 763689 | 5.000 | % | 1/1/2034 | 181,576 | * | ** | 187 | |||||||||||||||||
FNMA POOL 785300 | 4.671 | % | 6/1/2034 | 234,606 | * | ** | 245 | |||||||||||||||||
FNMA POOL 792191 | 5.500 | % | 9/1/2034 | 1,269,483 | * | ** | 1,336 | |||||||||||||||||
FNMA POOL 805176 | 5.500 | % | 1/1/2020 | 1,867,415 | * | ** | 1,993 | |||||||||||||||||
FNMA POOL 814498 | 4.690 | % | 3/1/2035 | 258,276 | * | ** | 270 | |||||||||||||||||
FNMA POOL 822003 | 4.989 | % | 7/1/2035 | 651,467 | * | ** | 679 | |||||||||||||||||
FNMA POOL 822320 | 4.734 | % | 4/1/2035 | 491,440 | * | ** | 515 | |||||||||||||||||
FNMA POOL 826105 | 4.838 | % | 7/1/2035 | 227,838 | * | ** | 239 | |||||||||||||||||
FNMA POOL 829987 | 4.850 | % | 5/1/2035 | 170,637 | * | ** | 174 | |||||||||||||||||
FNMA POOL 848402 | 5.243 | % | 12/1/2035 | 481,886 | * | ** | 508 | |||||||||||||||||
FNMA POOL 878104 | 5.500 | % | 4/1/2036 | 1,584,201 | * | ** | 1,663 | |||||||||||||||||
FNMA POOL 903347 | 4.500 | % | 10/1/2021 | 15,632 | * | ** | 16 | |||||||||||||||||
FNMA POOL 908560 | 5.500 | % | 1/1/2022 | 2,950,156 | * | ** | 3,134 | |||||||||||||||||
FNMA POOL 909662 | 5.500 | % | 2/1/2022 | 5,602,214 | * | ** | 5,943 | |||||||||||||||||
FNMA POOL 915350 | 4.500 | % | 4/1/2023 | 931,913 | * | ** | 962 | |||||||||||||||||
FNMA POOL 915042 | 5.500 | % | 4/1/2022 | 911,241 | * | ** | 967 | |||||||||||||||||
FNMA POOL 929933 | 5.000 | % | 9/1/2023 | 422,098 | * | ** | 442 | |||||||||||||||||
FNMA POOL 938253 | 6.000 | % | 7/1/2037 | 2,672,368 | * | ** | 2,838 | |||||||||||||||||
FNMA POOL 942224 | 5.500 | % | 7/1/2037 | 2,336,696 | * | ** | 2,451 | |||||||||||||||||
FNMA POOL 944026 | 6.500 | % | 8/1/2037 | 2,036,288 | * | ** | 2,185 | |||||||||||||||||
FNMA POOL 944900 | 5.500 | % | 7/1/2022 | 561,288 | * | ** | 595 | |||||||||||||||||
FNMA POOL 962036 | 5.000 | % | 3/1/2038 | 5,158,564 | * | ** | 5,306 | |||||||||||||||||
FNMA POOL 962987 | 4.500 | % | 5/1/2023 | 3,527,382 | * | ** | 3,640 | |||||||||||||||||
FNMA POOL 981538 | 5.000 | % | 5/1/2038 | 780,396 | * | ** | 803 | |||||||||||||||||
FNMA POOL 995467 | 4.500 | % | 9/1/2023 | 3,445,768 | * | ** | 3,557 | |||||||||||||||||
FNMA POOL AA4266 | 4.500 | % | 5/1/2024 | 914,373 | * | ** | 944 | |||||||||||||||||
FED HM LN PC POOL G01629 | 6.000 | % | 10/1/2033 | 107,658 | * | ** | 115 | |||||||||||||||||
FED HM LN PC POOL G11657 | 4.500 | % | 12/1/2018 | 1,856,541 | * | ** | 1,936 | |||||||||||||||||
FED HM LN PC POOL C78023 | 5.500 | % | 4/1/2033 | 2,180,058 | * | ** | 2,297 | |||||||||||||||||
FED HM LN PC POOL E96279 | 5.000 | % | 5/1/2018 | 461,200 | * | ** | 487 | |||||||||||||||||
FED HM LN PC POOL A77952 | 5.000 | % | 5/1/2038 | 5,919,873 | * | ** | 6,084 | |||||||||||||||||
FED HM LN PC POOL G03156 | 5.500 | % | 8/1/2037 | 4,149,533 | * | ** | 4,356 | |||||||||||||||||
FED HM LN PC POOL G04476 | 4.500 | % | 7/1/2038 | 995,418 | * | ** | 995 | |||||||||||||||||
FED HM LN PC POOL J00617 | 5.500 | % | 12/1/2020 | 652,969 | * | ** | 696 | |||||||||||||||||
FED HM LN PC POOL J00921 | 5.000 | % | 12/1/2020 | 217,300 | * | ** | 229 | |||||||||||||||||
FED HM LN PC POOL J01060 | 5.000 | % | 1/1/2021 | 228,570 | * | ** | 240 | |||||||||||||||||
FED HM LN PC POOL J01142 | 5.000 | % | 3/1/2021 | 966,227 | * | ** | 1,015 | |||||||||||||||||
FED HM LN PC POOL J01201 | 5.000 | % | 2/1/2021 | 194,689 | * | ** | 204 | |||||||||||||||||
FED HM LN PC POOL C01725 | 5.500 | % | 12/1/2033 | 989,259 | * | ** | 1,042 | |||||||||||||||||
FED HM LN PC POOL A11544 | 5.500 | % | 6/1/2033 | 179,822 | * | ** | 189 |
* | 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. |
F-19
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
FED HM LN PC POOL A15942 | 6.000 | % | 11/1/2033 | 207,780 | *** | $ | 222 | |||||||||||||
FED HM LN PC POOL B19557 | 5.500 | % | 7/1/2020 | 1,740,620 | *** | 1,855 | ||||||||||||||
FED HM LN PC POOL A26586 | 6.000 | % | 9/1/2034 | 294,483 | *** | 315 | ||||||||||||||
FED HM LN PC POOL G11812 | 5.000 | % | 12/1/2020 | 1,283,725 | *** | 1,351 | ||||||||||||||
FED HM LN PC POOL G11868 | 5.500 | % | 7/1/2020 | 758,346 | *** | 808 | ||||||||||||||
FEDERAL HOME LN MTG CORP SER 2426 CL BG | 6.000 | % | 3/15/2017 | 1,056,080 | *** | 1,136 | ||||||||||||||
FED HM LN PC POOL 782583 | 4.798 | % | 9/1/2035 | 1,093,480 | *** | 1,135 | ||||||||||||||
CHASE ISSUANCE TR SER 2007 A17 NT CL A | 5.120 | % | 10/15/2014 | 713,000 | *** | 769 | ||||||||||||||
CHAIT 2009 A3 A3 06/13 FIXED 2.4 | 2.400 | % | 6/17/2013 | 1,060,000 | *** | 1,077 | ||||||||||||||
WPS RES CORP JR SUB NT | 6.110 | % | 12/1/2066 | 980,000 | *** | 819 | ||||||||||||||
ANZ NATIONAL INTL LTD 12/12 FIXED 2.375 144A | 2.375 | % | 12/21/2012 | 1,110,000 | *** | 1,103 | ||||||||||||||
AT+T INC GLOBAL NT | 5.600 | % | 5/15/2018 | 555,000 | *** | 582 | ||||||||||||||
AT+T INC GLOBAL NT | 5.800 | % | 2/15/2019 | 1,765,000 | *** | 1,884 | ||||||||||||||
ALLIED WASTE NORTH AMER INC SR NT | 7.250 | % | 3/15/2015 | 1,170,000 | *** | 1,224 | ||||||||||||||
AMERICA MOVIL SAB DE CV GTD SR NT | 5.625 | % | 11/15/2017 | 418,000 | *** | 433 | ||||||||||||||
AMERICAN EXPRESS BK TRANCHE TR 00055 | 5.550 | % | 10/17/2012 | 1,348,000 | *** | 1,443 | ||||||||||||||
AMERICAN HONDA FIN CORP TRANCHE TR 00589 | 4.625 | % | 4/2/2013 | 1,125,000 | *** | 1,157 | ||||||||||||||
AMERISOURCEBERGEN CORP SR NT | 5.625 | % | 9/15/2012 | 600,000 | *** | 640 | ||||||||||||||
AMGEN INC SR NT | 5.700 | % | 2/1/2019 | 168,000 | *** | 180 | ||||||||||||||
ANHEUSER BUSCH INVEV WORLDWIDE GTD NT 144A | 7.750 | % | 1/15/2019 | 1,545,000 | *** | 1,811 | ||||||||||||||
WELLPOINT INC NT 2012 | 6.800 | % | 8/1/2012 | 940,000 | *** | 1,038 | ||||||||||||||
ARCELORMITTAL 02/15 FIXED 9 | 9.000 | % | 2/15/2015 | 920,000 | *** | 1,088 | ||||||||||||||
AXA SA SER A 144A | 6.463 | % | 12/14/2049 | 705,000 | *** | 547 | ||||||||||||||
BAE SYS HLDGS INC GTD NT 144A | 5.200 | % | 8/15/2015 | 980,000 | *** | 1,011 | ||||||||||||||
BAE SYSTEMS HOLDINGS INC 06/19 FIXED 6.375 144A | 6.375 | % | 6/1/2019 | 163,000 | *** | 176 | ||||||||||||||
BB+T CORPORATION 04/14 FIXED 5.7 | 5.700 | % | 4/30/2014 | 860,000 | *** | 932 | ||||||||||||||
BB+T CORPORATION 9/13 FIXED 3.375 | 3.375 | % | 9/25/2013 | 659,000 | *** | 665 | ||||||||||||||
BP CAP MKTS P L C GTD NT | 3.125 | % | 3/10/2012 | 855,000 | *** | 882 | ||||||||||||||
BNP PARIBAS 12/12 FIXED 2.125 | 2.125 | % | 12/21/2012 | 800,000 | *** | 797 | ||||||||||||||
BANCO SANTANDER CHILE 11/12 FIXED 2.875 | 2.875 | % | 11/13/2012 | 400,000 | *** | 403 | ||||||||||||||
BANK OF AMERICA CORP FDIC GTD FDIC GTD TLGP TR00005 | 0.631 | % | 6/22/2012 | 2,115,000 | *** | 2,129 | ||||||||||||||
BANK AMER CORP MEDIUM TERM TRANCHE TR 00007 | 2.100 | % | 4/30/2012 | 650,000 | *** | 657 | ||||||||||||||
BANK OF AMERICA CORP 06/12 FRN 1 | 0.452 | % | 6/22/2012 | 2,140,000 | *** | 2,154 | ||||||||||||||
BANK OF AMERICA CORP 05/14 FIXED 7.375 | 7.375 | % | 5/15/2014 | 355,000 | *** | 403 | ||||||||||||||
BANK OF AMERICA CORP 08/16 FIXED 6.5 | 6.500 | % | 8/1/2016 | 595,000 | *** | 641 | ||||||||||||||
BARCLAYS BK PLC SR NT | 5.450 | % | 9/12/2012 | 1,020,000 | *** | 1,104 | ||||||||||||||
BARCLAYS BANK PLC 06/21 FIXED 10.179 144A | 10.179 | % | 6/12/2021 | 224,000 | *** | 289 | ||||||||||||||
BARCLAYS BK PLC PERPETUAL HYBRID TIER 144 ARCI | 7.434 | % | 12/31/2049 | 500,000 | *** | 456 | ||||||||||||||
BARRICK GOLD CORP 04/19 FIXED 6.95 | 6.950 | % | 4/1/2019 | 280,000 | *** | 316 | ||||||||||||||
BARRICK AUSTRALIA FINANC 01/20 FIXED 4.95 | 4.950 | % | 1/15/2020 | 725,000 | *** | 718 | ||||||||||||||
BELLSOUTH CORP NT | 4.750 | % | 11/15/2012 | 595,000 | *** | 636 | ||||||||||||||
BEMIS CO INC NT | 4.875 | % | 4/1/2012 | 1,000,000 | *** | 1,041 | ||||||||||||||
BERKSHIRE HATHAWAY FIN CORP SR NT | 4.600 | % | 5/15/2013 | 455,000 | *** | 481 |
* | 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. |
F-20
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
BLACKROCK INC 12/14 FIXED 3.5 | 3.500 | % | 12/10/2014 | 714,000 | *** | $ | 706 | |||||||||||||
BURLINGTON NORTHN SANTA FE DEB | 5.650 | % | 5/1/2017 | 1,050,000 | *** | 1,119 | ||||||||||||||
CDP FINANCIAL 11/14 FIXED 3 144A | 3.000 | % | 11/25/2014 | 875,000 | *** | 855 | ||||||||||||||
CRH AMER INC GLOBAL DEP RCPTS 144A 15OCT13 | 5.300 | % | 10/15/2013 | 1,086,000 | *** | 1,133 | ||||||||||||||
CRH AMER INC NT | 8.125 | % | 7/15/2018 | 350,000 | *** | 409 | ||||||||||||||
CVS CAREMARK CORP 06/37 VAR | 6.302 | % | 6/1/2037 | 422,000 | *** | 364 | ||||||||||||||
CANADIAN NATL RY CO | 4.950 | % | 1/15/2014 | 960,000 | *** | 1,026 | ||||||||||||||
CANADIAN NATL RESOURCES NT | 6.000 | % | 8/15/2016 | 625,000 | *** | 679 | ||||||||||||||
CANADIAN PACIFIC RR CO 5/19 FIXED 7.25 | 7.250 | % | 5/15/2019 | 1,200,000 | *** | 1,365 | ||||||||||||||
CAREFUSION CORP 08/12 FIXED 4.125144A | 4.125 | % | 8/1/2012 | 200,000 | *** | 206 | ||||||||||||||
CAREFUSION CORP 08/14 FIXED 5.125 | 5.125 | % | 8/1/2014 | 400,000 | *** | 421 | ||||||||||||||
CARGILL INC BD 144A | 5.600 | % | 9/15/2012 | 1,025,000 | *** | 1,104 | ||||||||||||||
CATERPILLAR FINANCIAL SE TRANCHE NO TR 00817 | 4.900 | % | 8/15/2013 | 476,000 | *** | 506 | ||||||||||||||
CENOVUS ENERGY INC 10/19 FIXED 5.7 144A | 5.700 | % | 10/15/2019 | 676,000 | *** | 706 | ||||||||||||||
CHEVRON CORP NT | 3.950 | % | 3/3/2014 | 755,000 | *** | 789 | ||||||||||||||
CISCO SYS INC SR NT | 5.500 | % | 2/22/2016 | 995,000 | *** | 1,094 | ||||||||||||||
CISCO SYSTEMS INC 4.95PCT 15FEB19 | 4.950 | % | 2/15/2019 | 768,000 | *** | 788 | ||||||||||||||
CITIGROUP INC GLOBAL SUB NT | 4.875 | % | 5/7/2015 | 1,990,000 | *** | 1,878 | ||||||||||||||
CITIGROUP INC 08/14 FIXED 6.375 | 6.375 | % | 8/12/2014 | 251,000 | *** | 263 | ||||||||||||||
CITIGROUP INC 01/15 FIXED 6.01 | 6.010 | % | 1/15/2015 | 830,000 | *** | 848 | ||||||||||||||
CITIGROUP FDG INC TRANCHE SR 00002 | 0.821 | % | 4/30/2012 | 2,120,000 | *** | 2,142 | ||||||||||||||
CLOROX CO SR NT | 5.450 | % | 10/15/2012 | 830,000 | *** | 893 | ||||||||||||||
COMCAST CORP NEW NT | 5.700 | % | 5/15/2018 | 399,000 | *** | 420 | ||||||||||||||
COMMONWEALTH EDISON CO 1ST MTG BD SER 98 | 6.150 | % | 3/15/2012 | 700,000 | *** | 756 | ||||||||||||||
COMMONWEALTH BANK AUST 10/19 FIXED 5 | 5.000 | % | 10/15/2019 | 479,000 | *** | 476 | ||||||||||||||
CONAGRA INC NT | 6.750 | % | 9/15/2011 | 41,000 | *** | 44 | ||||||||||||||
CONAGRA INC SR NT | 5.819 | % | 6/15/2017 | 614,000 | *** | 638 | ||||||||||||||
CONNECTICUT LT + PWR CO 1ST + REF MTG BD 2005 SER A | 5.000 | % | 4/1/2015 | 825,000 | *** | 863 | ||||||||||||||
CONOCOPHILLIPS GTD NT | 5.750 | % | 2/1/2019 | 1,015,000 | *** | 1,112 | ||||||||||||||
CONSUMERS ENERGY CO 1ST MTG BD SER D | 5.375 | % | 4/15/2013 | 1,150,000 | *** | 1,236 | ||||||||||||||
CORPORACION ANDINA DE FOMENTO NT | 5.750 | % | 1/12/2017 | 330,000 | *** | 336 | ||||||||||||||
CORP ANDINA DE FOMENTO 06/19 FIXED 8.125 | 8.125 | % | 6/4/2019 | 345,000 | *** | 399 | ||||||||||||||
COUNTRYWIDE HOME LNS INC TRANCHE TR 00313 | 4.000 | % | 3/22/2011 | 39,000 | *** | 40 | ||||||||||||||
COUNTRYWIDE FINL CORP TRANCHE TR 00007 | 4.500 | % | 6/15/2010 | 32,000 | *** | 33 | ||||||||||||||
CREDIT AGRICOLE S A PERP UNDATED DEEPLY SUBNT 144A | 6.637 | % | 12/1/2049 | 800,000 | *** | 649 | ||||||||||||||
CREDIT SUISSE FIRST BOSTON TRANCHE TR00411 | 5.000 | % | 5/15/2013 | 1,485,000 | *** | 1,585 | ||||||||||||||
DEUTSCHE TELEKOM INTL GTD NT | 8.500 | % | 6/15/2010 | 1,040,000 | *** | 1,076 | ||||||||||||||
DEUTSCHE TELEKOM INT FIN 07/14 FIXED 4.875 | 4.875 | % | 7/8/2014 | 865,000 | *** | 908 | ||||||||||||||
DEUTSCHE BANK AG LONDON 08/14 FIXED 3.875 | 3.875 | % | 8/18/2014 | 795,000 | *** | 813 | ||||||||||||||
DIAGEO CAP PLC GTD NT | 7.375 | % | 1/15/2014 | 1,075,000 | *** | 1,245 | ||||||||||||||
DIAMOND OFFSHORE DRILL 05/19 FIXED 5.875 | 5.875 | % | 5/1/2019 | 774,000 | *** | 825 | ||||||||||||||
DISNEY WALT CO GLOBAL NT | 4.500 | % | 12/15/2013 | 650,000 | *** | 691 |
* | 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. |
F-21
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Shared Holdings (aa) | Interest rate | Maturity | Par Value | |||||||||||||||||
DOMINION RES INC VA NEW JR SUB NT 2006 SER B ENHANCED | 6.300 | % | 9/30/2066 | 755,000 | *** | $ | 665 | |||||||||||||
DUKE ENERGY CAROLINAS LLC 1ST + REF MTG BD | 5.750 | % | 11/15/2013 | 1,015,000 | *** | 1,112 | ||||||||||||||
DUKE UNIV TAXABLE BDS SER 2009A | 4.200 | % | 4/1/2014 | 650,000 | *** | 682 | ||||||||||||||
EDF S A NT 144A | 6.500 | % | 1/26/2019 | 595,000 | *** | 669 | ||||||||||||||
EDP FINANCE BV 10/19 FIXED 4.9 | 4.900 | % | 10/1/2019 | 540,000 | *** | 536 | ||||||||||||||
EOG RESOURCES INC 06/19 FIXED 5.625 | 5.625 | % | 6/1/2019 | 260,000 | *** | 277 | ||||||||||||||
ERAC USA FIN CO GTD NT 144A | 5.600 | % | 5/1/2015 | 640,000 | *** | 653 | ||||||||||||||
ENEL FINANCE INTL SA 10/14 FIXED 3.875 144A | 3.875 | % | 10/7/2014 | 741,000 | *** | 751 | ||||||||||||||
ENTERPRIDE PRODS OPER LLC GTD SR NT | 6.500 | % | 1/31/2019 | 556,000 | *** | 600 | ||||||||||||||
ENTERPRISE PRODUCTS OPER 08/12 FIXED 4.6 | 4.600 | % | 8/1/2012 | 695,000 | *** | 735 | ||||||||||||||
FPL GROUP CAP INC JR SUB DEB SER C | 6.650 | % | 6/15/2067 | 580,000 | *** | 543 | ||||||||||||||
GATX FINL CORP SR NT | 5.125 | % | 4/15/2010 | 500,000 | *** | 504 | ||||||||||||||
GENERAL ELEC CO NT | 5.250 | % | 12/6/2017 | 725,000 | *** | 742 | ||||||||||||||
GENERAL ELEC CAP CORP TRANCHE NO TR 00792 | 5.500 | % | 6/4/2014 | 1,040,000 | *** | 1,103 | ||||||||||||||
GENERAL ELEC CAP CORP 05/14 FIXED 5.9 | 5.900 | % | 5/13/2014 | 645,000 | *** | 698 | ||||||||||||||
GENERAL ELEC CAP CORP 05/12 VAR | 0.225 | % | 5/8/2012 | 4,240,000 | *** | 4,243 | ||||||||||||||
GENERAL MLS INC NT | 5.650 | % | 9/10/2012 | 1,334,000 | *** | 1,453 | ||||||||||||||
GLAXOSMITHLINE CAP INC GTD NT | 4.850 | % | 5/15/2013 | 1,035,000 | *** | 1,112 | ||||||||||||||
GOLDMAN SACHS GROUP INC MTN 05/14 FIXED 6.0 | 6.000 | % | 5/1/2014 | 306,000 | *** | 335 | ||||||||||||||
GOLDMAN SACHS GROUP INC SUB NT | 5.625 | % | 1/15/2017 | 950,000 | *** | 971 | ||||||||||||||
GOLDMAN SACHS CAPITAL II GTD NORMAL PPS | 5.793 | % | 5/1/2049 | 820,000 | *** | 636 | ||||||||||||||
HSBC BK USA NEW YORK N Y GLOBAL SUB NT | 4.625 | % | 4/1/2014 | 1,190,000 | *** | 1,244 | ||||||||||||||
HARLEY DAVIDSON FUNDING 12/14 FIXED 5.75 144A | 5.750 | % | 12/15/2014 | 657,000 | *** | 668 | ||||||||||||||
HEWLETT PACKARD CO GLOBAL NT | 6.125 | % | 3/1/2014 | 645,000 | *** | 722 | ||||||||||||||
HOLCIM US FINANCE SARL 12/19 FIXED 6.0 SER 144A | 6.000 | % | 12/30/2019 | 212,000 | *** | 221 | ||||||||||||||
HOUSEHOLD FIN CORP GLOBAL NT | 4.750 | % | 7/15/2013 | 1,150,000 | *** | 1,199 | ||||||||||||||
HOWARD HUGHES MEDICAL IN 09/14 FIXED 3.45 | 3.450 | % | 9/1/2014 | 377,000 | *** | 383 | ||||||||||||||
HUSKY ENERGY INC 12/19 FIXED 7.25 | 7.250 | % | 12/15/2019 | 193,000 | *** | 223 | ||||||||||||||
INCITEC PIVOT FIN LLC 12/19 FIXED 6 144A | 6.000 | % | 12/10/2019 | 645,000 | *** | 639 | ||||||||||||||
IBM CORP NT | 7.625 | % | 10/15/2018 | 880,000 | *** | 1,076 | ||||||||||||||
INTUIT SR NT | 5.400 | % | 3/15/2012 | 1,025,000 | *** | 1,090 | ||||||||||||||
JPMORGAN CHASE + CO GLOBAL SUB HLDG CO NT | 5.125 | % | 9/15/2014 | 2,250,000 | *** | 2,376 | ||||||||||||||
JPMORGAN CHASE + CO 1/15 FIXED 3.7 | 3.700 | % | 1/20/2015 | 2,140,000 | *** | 2,149 | ||||||||||||||
JOHNS HOPKINS UNIVERSITY 07/19 FIXED 5.25 | 5.250 | % | 7/1/2019 | 825,000 | *** | 859 | ||||||||||||||
KANSAS GAS + ELEC CO 06/19 FIXED 6.7 | 6.700 | % | 6/15/2019 | 312,000 | *** | 347 | ||||||||||||||
KELLOGG CO 05/16 FIXED 4.45 | 4.450 | % | 5/30/2016 | 190,000 | *** | 196 | ||||||||||||||
KIMBERLY CLARK CORP SR NT | 7.500 | % | 11/1/2018 | 129,000 | *** | 156 | ||||||||||||||
KINDER MORGAN ENER PART 02/15 FIXED 5.625 | 5.625 | % | 2/15/2015 | 100,000 | *** | 108 | ||||||||||||||
KFW 6/19 FIXED 4.875 | 4.875 | % | 6/17/2019 | 695,000 | *** | 736 | ||||||||||||||
KROGER CO SR NT | 4.950 | % | 1/15/2015 | 825,000 | *** | 867 | ||||||||||||||
LOCKHEED MARTIN CORP 11/19 FIXED 4.25 | 4.250 | % | 11/15/2019 | 1,320,000 | *** | 1,276 | ||||||||||||||
LUBRIZOL CORP SR NT | 5.500 | % | 10/1/2014 | 1,030,000 | �� | *** | 1,098 |
* | 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. |
F-22
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
M + I MARSHALL + ILSLEY BK TRANCHE TR 00024 | 0.366 | % | 6/1/2011 | 725,000 | *** | $ | 683 | |||||||||||||
MECCANICA HOLDINGS USA 07/19 FIXED 6.25 | 6.250 | % | 7/15/2019 | 1,030,000 | *** | 1,100 | ||||||||||||||
MELLON FDG CORP SUB NT | 5.500 | % | 11/15/2018 | 1,020,000 | *** | 1,048 | ||||||||||||||
MELLON CAP IV NORMAL PFD CAP SECS | 6.244 | % | 6/20/2049 | 578,000 | *** | 474 | ||||||||||||||
MERCK + CO INC 06/19 FIXED 5 | 5.000 | % | 6/30/2019 | 925,000 | *** | 963 | ||||||||||||||
MERRILL LYNCH + CO INC SUB NT | 6.050 | % | 5/16/2016 | 850,000 | *** | 859 | ||||||||||||||
MERRILL LYNCH + CO INC TRANCHE TR 00432 | 5.450 | % | 7/15/2014 | 580,000 | *** | 607 | ||||||||||||||
METLIFE INC SR NT | 5.375 | % | 12/15/2012 | 850,000 | *** | 904 | ||||||||||||||
MET LIFE GLOB FUNDING I 09/12 FIXED 2.875 144A | 2.875 | % | 9/17/2012 | 483,000 | *** | 487 | ||||||||||||||
MONONGAHELA PWR CO 1ST MTG BD | 6.700 | % | 6/15/2014 | 775,000 | *** | 839 | ||||||||||||||
MORGAN STANLEY NT | 5.375 | % | 10/15/2015 | 720,000 | *** | 745 | ||||||||||||||
MORGAN STANLEY SR NT | 6.000 | % | 4/28/2015 | 735,000 | *** | 784 | ||||||||||||||
MORGAN STANLEY 09/19 FIXED 5.625 | 5.625 | % | 9/23/2019 | 400,000 | *** | 403 | ||||||||||||||
MORGAN STANLEY GLOBAL NT 14/04/01 4.750 | 4.750 | % | 4/1/2014 | 1,675,000 | *** | 1,687 | ||||||||||||||
NYSE EURONEXT NT | 4.800 | % | 6/28/2013 | 397,000 | *** | 417 | ||||||||||||||
NABORS INDS INC 01/19 FIXED 9.25 | 9.250 | % | 1/15/2019 | 380,000 | *** | 466 | ||||||||||||||
NATL CITY BK CLEVELAND OH MTBN TRANCHE 00252 | 4.500 | % | 3/15/2010 | 250,000 | *** | 252 | ||||||||||||||
NEVADA PWR CO GEN + REF MTG NT SER L | 5.875 | % | 1/15/2015 | 1,220,000 | *** | 1,311 | ||||||||||||||
NEXEN INC 7/19 FIXED 6.2 | 6.200 | % | 7/30/2019 | 475,000 | *** | 503 | ||||||||||||||
NORTHERN STS PWR CO MN 1ST MTG BD | 4.750 | % | 8/1/2010 | 1,000,000 | *** | 1,025 | ||||||||||||||
NORTHROP GRUMMAN CORP 08/14 FIXED 3.7 | 3.700 | % | 8/1/2014 | 265,000 | *** | 266 | ||||||||||||||
NOVARTIS SECS INVT LTD NT | 5.125 | % | 2/10/2019 | 591,000 | *** | 622 | ||||||||||||||
OCCIDENTAL PETE CORP 06/16 FIXED 4.125 | 4.125 | % | 6/1/2016 | 773,000 | *** | 780 | ||||||||||||||
ORACLE CORP NT | 5.250 | % | 1/15/2016 | 1,425,000 | *** | 1,541 | ||||||||||||||
PECO ENERGY CO 1ST + REFUNDING MTG BD | 5.950 | % | 11/1/2011 | 1,000,000 | *** | 1,075 | ||||||||||||||
PNC FUNDING CORP 06/14 FIXED 5.4 | 5.400 | % | 6/10/2014 | 864,000 | *** | 925 | ||||||||||||||
PETRO CDA SR NT | 4.000 | % | 7/15/2013 | 1,100,000 | *** | 1,137 | ||||||||||||||
PETROBRAS INTL FIN CO 1/20 FIXED 5.75 | 5.750 | % | 1/20/2020 | 865,000 | *** | 881 | ||||||||||||||
PETROLEOS MEXICANOS 03/15 FIXED 4.875 SER 144A | 4.875 | % | 3/15/2015 | 335,000 | *** | 334 | ||||||||||||||
PFIZER INC 03/15 FIXED 5.35 | 5.350 | % | 3/15/2015 | 1,055,000 | *** | 1,154 | ||||||||||||||
PRESIDENT + FELLOWS HARVARD TAXABLE BD SER 2008D 144A | 5.000 | % | 1/15/2014 | 610,000 | *** | 656 | ||||||||||||||
PROGRESSIVE CORP 06/37 VAR | 6.700 | % | 6/15/2037 | 395,000 | *** | 350 | ||||||||||||||
ONTARIO PROVINCE OF 05/12 VAR | 1.000 | % | 5/22/2012 | 1,911,000 | *** | 1,932 | ||||||||||||||
PRUDENTIAL FINL INC TRANCHE TR 00004 | 4.750 | % | 4/1/2014 | 2,095,000 | *** | 2,101 | ||||||||||||||
PUBLIC SVC CO COLO 06/19 FIXED 5.125 | 5.125 | % | 6/1/2019 | 222,000 | *** | 231 | ||||||||||||||
PUBLIC SVC ELEC GAS CO SECD TRANCHE TR 00011 | 5.375 | % | 9/1/2013 | 1,000,000 | *** | 1,078 | ||||||||||||||
PUGENT SOUND ENERGY INC TRANCHE SR 00007 | 7.690 | % | 2/1/2011 | 500,000 | *** | 531 | ||||||||||||||
QUEST DIAGNOSTIC INC 1/20 FIXED 4.75 | 4.750 | % | 1/30/2020 | 170,000 | *** | 166 | ||||||||||||||
RABOBANK NEDERLAND 12/49 VAR PERPETUAL | 1.000 | % | 12/31/2049 | 637,000 | *** | 778 | ||||||||||||||
RABOBANK NEDERLAND 05/14 FIXED 4.2 | 4.200 | % | 5/13/2014 | 700,000 | *** | 725 | ||||||||||||||
RAYTHEON CO NT | 5.375 | % | 4/1/2013 | 400,000 | *** | 433 | ||||||||||||||
RAYTHEON COMPANY 02/20 FIXED 4.4 | 4.400 | % | 2/15/2020 | 206,000 | *** | 203 |
* | 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. |
F-23
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
RESONA BK USD PERPTL SUB BD FIXED 144A | 5.850 | % | 9/15/2049 | 500,000 | *** | $ | 437 | |||||||||||||
RIO TINTO FIN USA LTD GTD NT | 5.875 | % | 7/15/2013 | 930,000 | *** | 1,005 | ||||||||||||||
RIO TINTO FINANCE PLC 05/14 FIXED 8.95 | 8.950 | % | 5/1/2014 | 755,000 | *** | 906 | ||||||||||||||
ROCHE HLDGS INC GTD NT 144A | 6.000 | % | 3/1/2019 | 460,000 | *** | 506 | ||||||||||||||
ROGERS COMMUNICATIONS INC SR NT | 6.800 | % | 8/15/2018 | 838,000 | *** | 940 | ||||||||||||||
ROGERS WIRELESS INC SR SECD NT | 6.375 | % | 3/1/2014 | 1,050,000 | *** | 1,164 | ||||||||||||||
ROHM + HAAS CO NT | 5.600 | % | 3/15/2013 | 1,000,000 | *** | 1,057 | ||||||||||||||
SABMILLER PLC NT 2011 144A | 6.200 | % | 7/1/2011 | 1,355,000 | *** | 1,436 | ||||||||||||||
SEMPRA ENERGY 06/16 FIXED 6.5 | 6.500 | % | 6/1/2016 | 609,000 | *** | 661 | ||||||||||||||
SHELL INTERNATIONAL FIN 09/19 FIXED 4.3 | 4.300 | % | 9/22/2019 | 845,000 | *** | 836 | ||||||||||||||
SIEMENS FINANCIERINGMAATSCHAPP GTD NT 144A | 5.750 | % | 10/17/2016 | 698,000 | *** | 754 | ||||||||||||||
SIMON PROPERTY GROUP LP 05/14 FIXED 6.75 | 6.750 | % | 5/15/2014 | 629,000 | *** | 671 | ||||||||||||||
SMALL BUSINESS ADMIN 2004 10D PARTN CTF | 4.330 | % | 7/1/2014 | 751,642 | *** | 778 | ||||||||||||||
SMALL BUSINESS ADMIN 2008 10A PARTN CTF | 4.550 | % | 1/1/2018 | 1,344,848 | *** | 1,388 | ||||||||||||||
SOUTHERN CA EDISON CO FIRST + REF MTG BDS SER 2008C | 5.750 | % | 3/15/2014 | 508,000 | *** | 562 | ||||||||||||||
SOUTHERN CA GAS CO 1ST MTG SER GG | 4.800 | % | 10/1/2012 | 1,500,000 | *** | 1,607 | ||||||||||||||
SOUTHERN CO 05/14 FIXED 4.15 | 4.150 | % | 5/15/2014 | 645,000 | *** | 664 | ||||||||||||||
STATE STREET CORP 05/14 FIXED 4.3 | 4.300 | % | 5/30/2014 | 232,000 | *** | 240 | ||||||||||||||
STATE STR CAP TR III NORMAL APEX | 8.250 | % | 3/15/2042 | 506,000 | *** | 519 | ||||||||||||||
STATOILHYDRO ASA 04/14 FIXED 3.875 | 3.875 | % | 4/15/2014 | 365,000 | *** | 380 | ||||||||||||||
SVENSKA HANDELSBANKEN AB 06/14 FIXED 4.875 | 4.875 | % | 6/10/2014 | 960,000 | *** | 1,007 | ||||||||||||||
TCM SUB LLC 01/15 FIXED 3.55 | 3.550 | % | 1/15/2015 | 652,000 | *** | 639 | ||||||||||||||
TELECOM ITALIA CAPITAL 6/19 FIXED 7.175 | 7.175 | % | 6/18/2019 | 712,000 | *** | 795 | ||||||||||||||
TELECOM ITALIA CAP GTD SR NT SER B | 5.250 | % | 11/15/2013 | 800,000 | *** | 842 | ||||||||||||||
TELEFONICA SA 01/15 FIXED 4.949 | 4.949 | % | 1/15/2015 | 903,000 | *** | 966 | ||||||||||||||
THERMO FISHER SCIENTIFIC 11/14 FIXED 3.25 | 3.250 | % | 11/18/2014 | 535,000 | *** | 525 | ||||||||||||||
TIME WARNER CABLE INC NT | 5.400 | % | 7/2/2012 | 1,010,000 | *** | 1,080 | ||||||||||||||
TIME WARNER CABLE INC 04/14 FIXED 7.5 | 7.500 | % | 4/1/2014 | 259,000 | *** | 299 | ||||||||||||||
TIME WARNER CABLE INC 02/15 FIXED 3.5 | 3.500 | % | 2/1/2015 | 608,000 | *** | 601 | ||||||||||||||
TRANSCANADA PIPELINES LTD SR NT | 6.500 | % | 8/15/2018 | 415,000 | *** | 463 | ||||||||||||||
TRAVELERS COS INC JR SUB DEB | 6.250 | % | 3/15/2067 | 352,000 | *** | 321 | ||||||||||||||
TRAVELERS PPTY CAS CORP NEW SR NT | 5.000 | % | 3/15/2013 | 1,124,000 | *** | 1,180 | ||||||||||||||
TYCO INTL FINANCE SA NT | 8.500 | % | 1/15/2019 | 520,000 | *** | 629 | ||||||||||||||
UBS AG STAMFORD BRH MED TRM TRANCHE SR 00047 | 5.875 | % | 7/15/2016 | 715,000 | *** | 725 | ||||||||||||||
UBS PFD FDG TR V GTD TR PFD SECS | 6.243 | % | 12/31/2049 | 500,000 | *** | 392 | ||||||||||||||
UNION PAC CORP NT | 5.125 | % | 2/15/2014 | 800,000 | *** | 850 | ||||||||||||||
UNITED TECHNOLOGIES CORP NT | 6.125 | % | 2/1/2019 | 716,000 | *** | 792 | ||||||||||||||
UNITEDHEALTH GROUP INC NT | 5.500 | % | 11/15/2012 | 500,000 | *** | 534 | ||||||||||||||
VALE OVERSEAS LIMITED 09/19 FIXED 5.625 | 5.625 | % | 9/15/2019 | 418,000 | *** | 423 | ||||||||||||||
VALERO ENERGY CORP 03/19 FIXED 9.375 | 9.375 | % | 3/15/2019 | 249,000 | *** | 296 | ||||||||||||||
VANDERBILT UNIV NT | 5.250 | % | 4/1/2019 | 650,000 | *** | 678 | ||||||||||||||
VERIZON COMMUNICATIONS INC NT | 5.550 | % | 2/15/2016 | 980,000 | *** | 1,058 |
* | 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. |
F-24
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
VERIZON COMMUNICATIONS INC NT | 5.500 | % | 2/15/2018 | 612,000 | *** | $ | 639 | |||||||||||||
CELLCO PART/VERI WIRELESS 11/13 FIXED 7.375 | 7.375 | % | 11/15/2013 | 945,000 | *** | 1,087 | ||||||||||||||
CELLCO PART/VERI WIRELSS 02/14 FIXED 5.55 | 5.550 | % | 2/1/2014 | 715,000 | *** | 777 | ||||||||||||||
VODAFONE GROUP PLC NEW NT | 5.625 | % | 2/27/2017 | 985,000 | *** | 1,047 | ||||||||||||||
VODAFONE GROUP PLC 06/14 FIXED 4.15 | 4.150 | % | 6/10/2014 | 1,225,000 | *** | 1,262 | ||||||||||||||
WACHOVIA CAP TR III 03/49 FIXED 5.8 | 5.800 | % | 3/15/2042 | 600,000 | *** | 460 | ||||||||||||||
WACHOVIA CORP NEW NT | 5.300 | % | 10/15/2011 | 580,000 | *** | 616 | ||||||||||||||
WASTE MGMT INCL DEL SR NT | 6.100 | % | 3/15/2018 | 601,000 | *** | 640 | ||||||||||||||
WELLPOINT INC NT | 5.000 | % | 1/15/2011 | 550,000 | *** | 569 | ||||||||||||||
WELLS FARGO BK NATL ASSN SUB BK NT ACCREDITED INVS | 4.750 | % | 2/9/2015 | 1,050,000 | *** | 1,072 | ||||||||||||||
WELLS FARGO CAP XIII PFD PUR SECS PPS | 7.700 | % | 12/31/2049 | 492,000 | *** | 478 | ||||||||||||||
WESTPAC BANKING CORP 02/15 FIXED 4.2 | 4.200 | % | 2/27/2015 | 950,000 | *** | 967 | ||||||||||||||
XEROX CORPORATION 02/15 FIXED 4.25 | 4.250 | % | 2/15/2015 | 302,000 | *** | 300 | ||||||||||||||
YARA INTERNATIONAL ASA 06/19 FIXED 7.875 SER 144A | 7.875 | % | 6/11/2019 | 610,000 | *** | 697 | ||||||||||||||
ZIMMER HOLDINGS INC 11/19 FIXED 4.625 | 4.625 | % | 11/30/2019 | 171,000 | *** | 170 | ||||||||||||||
MMG FIDUCIARY + TRUST CORP 1 NOTES GTD SR REG S | 6.750 | % | N/A | 300,000 | *** | 271 | ||||||||||||||
BANC AMER COML MTG INC 2005 5 COML MTG PASS CL XP | 0.055 | % | 10/10/2045 | 63,230,899 | *** | 137 | ||||||||||||||
CREDIT SUISSE COMMERCIAL MTG T 2006 C2 COML MTG PASS CL A 2 | 5.658 | % | 3/15/2039 | 1,200,000 | *** | 1,209 | ||||||||||||||
BANC AMER COML MTG INC 2004 6 COML MTG P/THRU CL A 5 | 4.811 | % | 12/10/2042 | 894,000 | *** | 871 | ||||||||||||||
BANC AMER COML MTG TR COML MTG PASSTHRU CTF CL A 2 | 5.555 | % | 7/10/2046 | 1,550,000 | *** | 1,581 | ||||||||||||||
BEAR STEARNS COML MTG SECS INC 2001 TOP4 COML MTG CTF CL A 1 | 5.060 | % | 11/15/2016 | 49,726 | *** | 50 | ||||||||||||||
BEAR STEARNS COML MTG SECS INC 2004 PWR5 MTG PASS CTF CL X 2 | 0.802 | % | 7/11/2042 | 5,391,483 | *** | 103 | ||||||||||||||
BEAR STEARNS COML MTG SECS INC 2004 PWR6 MTG PSSTHR CTF CL X2 | 0.627 | % | 11/11/2041 | 4,532,348 | *** | 74 | ||||||||||||||
BEAR STEARNS COML MTG SECS INC 2005 PWR9 COML MTG PASS CL A4A | 4.871 | % | 9/11/2042 | 1,600,000 | *** | 1,536 | ||||||||||||||
CITIGROUP COML MTG TR 2006 C5 COML MTG PASS CTF CLA4 | 5.431 | % | 10/15/2049 | 1,448,000 | *** | 1,346 | ||||||||||||||
CWCI 2006 C1 A4 08/48 FIXED 5.223 | 5.223 | % | 8/15/2048 | 1,065,000 | *** | 930 | ||||||||||||||
GCCFC 2006 GG7 A4 07/38 FRN | 1.000 | % | 7/10/2038 | 1,070,000 | *** | 977 | ||||||||||||||
CREDIT SUISSE FIRST BOSTON MTG 2005 C1 COML MTG CL A4 | 5.014 | % | 2/15/2038 | 1,275,000 | *** | 1,253 | ||||||||||||||
CREDIT SUISSE FIRST BOSTON MTG 2005 C6 COML MTG PASS CL A4 | 5.230 | % | 12/15/2040 | 1,300,000 | *** | 1,248 | ||||||||||||||
FIRST HORIZON MTG PASS THROUGH 2007 AR1 MTG PASS CTF CL 1A1 | 5.832 | % | 5/25/2037 | 1,235,681 | *** | 870 | ||||||||||||||
GS MTG SECS CORP II SER 2005 GG4 CL XP 144A | 0.692 | % | 7/10/2039 | 13,098,060 | *** | 212 | ||||||||||||||
GS MTG SECS CORP II 2006 GG6 COML MTG PAS CTF CLA4 | 5.553 | % | 4/10/2038 | 1,185,000 | *** | 1,082 | ||||||||||||||
GE COML MTG CORP 2006 1 COML MTG PASS CTF 144A | 0.003 | % | 3/10/2044 | 1,221,689,713 | *** | 204 | ||||||||||||||
GREEN TREE FINL CORP 93 4 MFD SR/SUB CL A 5 | 7.050 | % | 1/15/2019 | 192,798 | *** | 193 | ||||||||||||||
GREENWICH CAP COML FDG CORP 2005 GG5 COML MTG PASS CL XP | 0.095 | % | 4/10/2037 | 77,469,229 | *** | 159 | ||||||||||||||
J P MORGAN CHASE COML MTG SECS 2004 CIBC8 CL A 4 | 4.404 | % | 1/12/2039 | 106,000 | *** | 101 | ||||||||||||||
J P MORGAN CHASE COML MTG SECS 2005 LDP1 COML MTG PASSTHRU A3 | 4.865 | % | 3/15/2046 | 1,000,000 | *** | 988 | ||||||||||||||
JP MORGAN CHASE COML MTG SECS 2005 LDP3 COML MTG CL X2 | 0.164 | % | 8/15/2042 | 68,880,057 | *** | 291 | ||||||||||||||
J P MORGAN CHASE COML MTG SECS SER 2006 CB15 COML MTG CL A4 | 5.814 | % | 6/12/2043 | 1,080,000 | *** | 1,040 | ||||||||||||||
J P MORGAN CHASE COML MTG SECS 2006 LDP9 COML MTG CTF CL A 3 | 5.336 | % | 5/15/2047 | 549,000 | *** | 477 | ||||||||||||||
JP MORGAN CHASE 2006 CB17 MTG PASSTHR CTF CLA4 | 5.429 | % | 12/12/2043 | 1,080,000 | *** | 1,021 |
* | 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. |
F-25
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||
Interest | ||||||||||||||||||||
Shared Holdings (aa) | rate | Maturity | Par Value | |||||||||||||||||
LB UBS COML MTG TR 2006 C6 MTG PASSTHR CTF CLXCP | 0.667 | % | 9/15/2039 | 23,916,978 | *** | $ | 485 | |||||||||||||
LEHMAN BROS SMALL BALANCE LN T 2006 2 MTG PASS CL 2A2 144A | 5.620 | % | 9/25/2036 | 530,000 | *** | 431 | ||||||||||||||
MERRILL LYNCH MTG TR SER 2004 BPC1 CL XP144A | 1.081 | % | 9/12/2041 | 4,564,455 | *** | 73 | ||||||||||||||
MERRILL LYNCH MTG TR 2005 MKB2 CL XP | 0.116 | % | 9/12/2042 | 18,033,877 | *** | 131 | ||||||||||||||
MORGAN STANLEY CAP I INC 2005 TOP17 COML MTG CTF X 2 | 0.576 | % | 12/13/2041 | 10,053,778 | *** | 155 | ||||||||||||||
MORGAN STANLEY DEAN WITTER CAP 2002 TOP7 MTG CTF CL A 1 | 5.380 | % | 1/15/2039 | 58,765 | *** | 60 | ||||||||||||||
MORGAN STANLEY CAP I TR 2007 T27 MTG PASSTHRU CTF CLA4 | 5.649 | % | 6/11/2042 | 702,000 | *** | 679 | ||||||||||||||
PRUDENTIAL COML MTG TR 2003 PWR1 MTG CTF 144A X2 | 1.457 | % | 2/11/2036 | 9,224,112 | *** | 148 | ||||||||||||||
SMALL BUSINESS ADMIN SER 2005 20 F PARTN CTF | 4.570 | % | 6/1/2025 | 1,000,169 | *** | 1,033 | ||||||||||||||
SMALL BUSINESS ADMIN 2006 10F PARTN CTF CL 1 | 5.230 | % | 11/1/2016 | 1,028,799 | *** | 1,090 | ||||||||||||||
SMALL BUSINESS ADMIN GTD 2007 10A PARTN CTF CL1 | 5.190 | % | 1/1/2017 | 824,197 | *** | 873 | ||||||||||||||
SMALL BUSINESS ADMIN 2007 10F PARTN CTF | 5.120 | % | 11/1/2017 | 773,757 | *** | 823 | ||||||||||||||
WACHOVIA BK COML MTG TR SER 2004 C11 CL A 3 COML MTG | 4.719 | % | 1/15/2041 | 825,000 | *** | 821 | ||||||||||||||
WACHOVIA BK COML MTG TR 2005 C18 MTG PASS CTF XP 144A | 0.309 | % | 4/15/2042 | 17,232,656 | *** | 127 | ||||||||||||||
WACHOVIA BK COML MTG TR 2006 C29 MTG PASSTHRU CTF CLA4 | 5.308 | % | 11/15/2048 | 1,080,000 | *** | 1,015 | ||||||||||||||
CAPITAL AUTO RECEIVABLES TR 2007 3 ASSET BKD NT CL A4 | 5.210 | % | 3/17/2014 | 850,000 | *** | 892 | ||||||||||||||
FORD CR AUTO OWNER TR 2006 B NT CL C | 5.680 | % | 6/15/2012 | 575,000 | *** | 601 | ||||||||||||||
NAROT 2009 A A4 08/15 FIXED 4.74 | 4.740 | % | 8/17/2015 | 1,065,000 | *** | 1,132 | ||||||||||||||
WI TREASURY N/B 11/19 FIXED 3.375 | 3.375 | % | 11/15/2019 | 15,276,000 | *** | 14,710 | ||||||||||||||
U S TREAS NOTES 10YR FUTURE MAR10 110 PUT | 0.000 | % | N/A | 177,000 | *** | 66 | ||||||||||||||
U S TREAS NOTES 10YR FUTURE MAR10 119.5 CALL | 0.000 | % | N/A | 200,000 | *** | 14 | ||||||||||||||
Subtotal HIMCO Bond Fund | 430,397 | |||||||||||||||||||
Natixis Financial Products Inc. | Group Annuity Contract #WR1879-01, 2.50% ** | *** | $ | 93,305 | ||||||||||||||||
Monumental Life Insurance Company | Group Annuity Contract #MDA00912TR, 2.50% ** | *** | 146,839 | |||||||||||||||||
Shared Holdings (bb) | Interest rate | Maturity | Par Value | |||||||||||||||||
CIT HOME EQUITY LN TR 2003 1 ASSET BKD CTF CL A6 | 4.060 | % | 10/20/2032 | 1,403,847 | *** | 1,276 | ||||||||||||||
CARRINGTON MTG LN TR 2006 NC3 MTG PASS CTF CL A3 | 0.336 | % | 8/25/2036 | 1,170,410 | *** | 984 | ||||||||||||||
SYSTEMS 2001 A T LLC ASSET PASSTHRU CTF CL G 144A | 6.664 | % | 9/15/2013 | 898,288 | *** | 920 | ||||||||||||||
GOVERNMENT STIF 18 | 0.011 | % | N/A | 5,500,565 | *** | 5,507 | ||||||||||||||
CIT RV TR 1999 A ASSET BKD NT CL A 5 | 6.240 | % | 8/15/2015 | 31,081 | *** | 31 | ||||||||||||||
POPULAR ABS INC 2005 1 MTG PASS CTF CL AF 6 | 4.618 | % | 5/25/2035 | 1,987,811 | *** | 1,815 | ||||||||||||||
FEDERAL HOME LN BKS TRANCHE TR 00130 | 5.250 | % | 6/18/2014 | 5,650,000 | *** | 6,284 | ||||||||||||||
FEDERAL HOME LN BANKS 08/14 FIXED 5.5 | 5.500 | % | 8/13/2014 | 3,350,000 | *** | 3,763 | ||||||||||||||
FEDERAL NATL MTG ASSN PREASSIGN 00377 | 4.625 | % | 10/15/2014 | 5,200,000 | *** | 5,640 | ||||||||||||||
FREDDIE MAC 4/14 FIXED 2.5 | 2.500 | % | 4/23/2014 | 10,000,000 | *** | 10,005 | ||||||||||||||
FEDERAL NATL MTG ASSN 03/14 FIXED 2.75 | 2.750 | % | 3/13/2014 | 2,000,000 | *** | 2,019 | ||||||||||||||
FANNIE MAE 11/14 FIXED 2.625 | 2.625 | % | 11/20/2014 | 8,300,000 | *** | 8,245 | ||||||||||||||
UNITED STATES TREAS NTS 3.125PCT 30SEP13 | 3.125 | % | 9/30/2013 | 650,000 | *** | 676 |
* | 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. |
F-26
Table of Contents
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (bb) | rate | Maturity | Par Value | |||||||||||||||||||||
UNITED STATES TREAS NTS 11/13 FIXED 2 | 2.000 | % | 11/30/2013 | 200,000 | *** | $ | 199 | |||||||||||||||||
US TREASURY N/B 03/14 FIXED 1.75 | 1.750 | % | 3/31/2014 | 780,000 | *** | 762 | ||||||||||||||||||
US TREAUSRY NB 04/14 FIXED 1.875 | 1.875 | % | 4/30/2014 | 1,180,000 | *** | 1,157 | ||||||||||||||||||
US TREASURY N/B 06/12 FIXED 1.375 | 1.875 | % | 6/15/2012 | 4,000,000 | *** | 4,048 | ||||||||||||||||||
WI TREASURY N/B 07/14 FIXED 2.625 | 2.625 | % | 7/31/2014 | 6,500,000 | *** | 6,540 | ||||||||||||||||||
US TRASURY N/B 9/14 FIXED 2.375 | 2.375 | % | 9/30/2014 | 565,000 | *** | 561 | ||||||||||||||||||
WI TREASURY N/B 10/14 FIXED 2.375 | 2.375 | % | 10/31/2014 | 775,000 | *** | 767 | ||||||||||||||||||
WI TREASURY NB 11/14 FIXED 2.125 | 2.125 | % | 11/30/2014 | 14,646,000 | *** | 14,315 | ||||||||||||||||||
FNR 2006 60 CO 07/33 FIXED 6.5 | 6.500 | % | 7/25/2033 | 1,724,543 | *** | 1,803 | ||||||||||||||||||
GENERAL NATL MTG ASSN 2/32 FIXED 5 | 5.000 | % | 2/16/2032 | 2,788,325 | *** | 2,925 | ||||||||||||||||||
FEDERAL NATL MTG ASSN PREASSIGN 00020 | 6.170 | % | 2/25/2016 | 53,534 | *** | 55 | ||||||||||||||||||
FEDERAL NATL MTG ASSN REMIC PREASS 00267 SER 2003 84 CL PD | 5.000 | % | 1/25/2027 | 943,432 | *** | 962 | ||||||||||||||||||
FEDERAL NATL MTG ASSN REMIC TR 2008 24 CL VA | 5.000 | % | 3/25/2019 | 3,055,847 | *** | 3,223 | ||||||||||||||||||
FEDERAL HOME LN MTG CORP PREASSIGN 00201/SER 2649 CL QC | 4.500 | % | 11/15/2016 | 862,478 | *** | 877 | ||||||||||||||||||
FEDERAL HOME LN MTG CORP SER 2720 CL JB | 5.000 | % | 12/15/2016 | 1,076,342 | *** | 1,108 | ||||||||||||||||||
FEDERAL HOME LN MTG CORP SER 2726 CL PB | 5.000 | % | 4/15/2026 | 1,396,711 | *** | 1,448 | ||||||||||||||||||
FEDERAL HOME LOAN MTG CORP SER R014 CL AL | 5.500 | % | 10/15/2014 | 1,511,735 | *** | 1,543 | ||||||||||||||||||
FHR 3561 PA 12/31 FIXED 5.0 | 5.000 | % | 12/15/2031 | 2,229,180 | *** | 2,346 | ||||||||||||||||||
FHR 3593 QA 05/38 FIXED 5.0 | 5.000 | % | 5/15/2038 | 2,077,992 | *** | 2,181 | ||||||||||||||||||
FHR 3601 PA 09/38 FIXED 5 | 5.000 | % | 9/15/2038 | 2,077,830 | *** | 2,182 | ||||||||||||||||||
CAPITAL ONE MULTI ASSET EXEC SER 2005 7 NT CL A | 4.700 | % | 6/15/2015 | 4,325,000 | *** | 4,575 | ||||||||||||||||||
CAPITAL ONE MULTI ASSET EXECUT 2008 A5 CARD SER NT | 4.850 | % | 2/18/2014 | 2,000,000 | *** | 2,090 | ||||||||||||||||||
DISCOVER CARD EXECUTION NT TR 2008 4 NT CL A | 5.650 | % | 12/15/2015 | 2,400,000 | *** | 2,612 | ||||||||||||||||||
NORDSTROM CR CARD MASTER NT TR 2007 1A ASSET BKD NT CL B 144A | 5.020 | % | 5/15/2013 | 980,000 | *** | 983 | ||||||||||||||||||
ANZ NATL INTL LTD MEDIUM TERM TRANCHE TR00009144A | 6.200 | % | 7/19/2013 | 320,000 | *** | 345 | ||||||||||||||||||
ABBEY NATL TREASURY SERV 11/14 FIXED 3.875 144A | 3.875 | % | 11/10/2014 | 555,000 | *** | 558 | ||||||||||||||||||
ABU DHABI NATL ENERGY CO TRANCHE TR 00001 144A | 5.620 | % | 10/25/2012 | 1,100,000 | *** | 1,121 | ||||||||||||||||||
AMERICAN EXPRESS TRAVEL 11/11 FIXED 5.25 | 5.250 | % | 11/21/2011 | 600,000 | *** | 630 | ||||||||||||||||||
ANHEUSER BUSCH INBEV WOR 01/15 FIXED 4.125 144A | 4.125 | % | 1/15/2015 | 750,000 | *** | 762 | ||||||||||||||||||
APACHE CORP NT | 6.000 | % | 9/15/2013 | 550,000 | *** | 609 | ||||||||||||||||||
APPALACHIAN PWR CO SR NT SER O | 5.650 | % | 8/15/2012 | 600,000 | *** | 643 | ||||||||||||||||||
ARCELORMITTAL NT | 5.375 | % | 6/1/2013 | 950,000 | *** | 1,004 | ||||||||||||||||||
BB+T CORPORATION 07/12 FIXED 3.85 | 3.850 | % | 7/27/2012 | 650,000 | *** | 674 | ||||||||||||||||||
BNP PARIBAS 12/12 FIXED 2.125 | 2.125 | % | 12/21/2012 | 400,000 | *** | 398 | ||||||||||||||||||
BANK AMER CORP SR NT | 4.875 | % | 1/15/2013 | 550,000 | *** | 573 | ||||||||||||||||||
BANK AMER FDG CORP MED TERM NTS SER L | 4.900 | % | 5/1/2013 | 800,000 | *** | 830 | ||||||||||||||||||
BANK NEW YORK INC MED TERM SR TRANCHE NO TR 00033 | 4.500 | % | 4/1/2013 | 445,000 | *** | 470 | ||||||||||||||||||
BARCLAYS BANK PLC 07/14 FIXED 5.2 | 5.200 | % | 7/10/2014 | 615,000 | *** | 653 | ||||||||||||||||||
BEAR STEARNS COS INC SR NT | 5.350 | % | 2/1/2012 | 600,000 | *** | 638 | ||||||||||||||||||
BERKSHIRE HATHAWAY FIN CORP SR NT | 4.600 | % | 5/15/2013 | 1,235,000 | *** | 1,306 | ||||||||||||||||||
CVS CAREMARK CORP SR NT | 0.556 | % | 6/1/2010 | 1,800,000 | *** | 1,803 |
* | 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. |
F-27
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (bb) | rate | Maturity | Par Value | |||||||||||||||||||||
CAPITAL ONE FINL CORP SR NT | 5.700 | % | 9/15/2011 | 1,318,000 | *** | $ | 1,386 | |||||||||||||||||
CARDINAL HEALTH INC NT | 5.500 | % | 6/15/2013 | 300,000 | *** | 319 | ||||||||||||||||||
CENTERPOINT ENERGY HOUSTON EL MTG BD SER J | 5.700 | % | 3/15/2013 | 450,000 | *** | 479 | ||||||||||||||||||
CITIGROUP INC SR NT | 5.500 | % | 8/27/2012 | 500,000 | *** | 523 | ||||||||||||||||||
CITIGROUP INC GLOBAL SR NT | 5.500 | % | 4/11/2013 | 1,020,000 | *** | 1,059 | ||||||||||||||||||
COMMONWEALTH BANK 11/12 FIXED 5 | 5.000 | % | 11/6/2012 | 650,000 | *** | 691 | ||||||||||||||||||
CONAGRA INC NT | 7.875 | % | 9/15/2010 | 84,000 | *** | 88 | ||||||||||||||||||
CONAGRA INC NT | 6.750 | % | 9/15/2011 | 63,000 | *** | 68 | ||||||||||||||||||
CONOCOPHILLIPS GTD NT | 4.400 | % | 5/15/2013 | 800,000 | *** | 845 | ||||||||||||||||||
COVIDIEN INTL FIN S A SR NT | 5.450 | % | 10/15/2012 | 1,000,000 | *** | 1,083 | ||||||||||||||||||
CREDIT SUISSE FIRST BOSTON TRANCHE TR00411 | 5.000 | % | 5/15/2013 | 1,340,000 | *** | 1,431 | ||||||||||||||||||
DPL INC SR NT | 6.875 | % | 9/1/2011 | 1,500,000 | *** | 1,605 | ||||||||||||||||||
DAIMLERCHRYSLER NORTH AMER HLD GTD NT | 5.875 | % | 3/15/2011 | 1,000,000 | *** | 1,047 | ||||||||||||||||||
DEERE JOHN CAP CORP MTN BK ENT 4.50PCT 03APR13 | 4.500 | % | 4/3/2013 | 600,000 | *** | 631 | ||||||||||||||||||
DEUTSCHE TELEKOM INTL FIN BV | 5.875 | % | 8/20/2013 | 600,000 | *** | 650 | ||||||||||||||||||
DIAGEO CAP PLC GTD NT | 5.200 | % | 1/30/2013 | 320,000 | *** | 343 | ||||||||||||||||||
DOW CHEM CO NT | 6.000 | % | 10/1/2012 | 287,000 | *** | 309 | ||||||||||||||||||
DR PEPPER SNAPPLE GROUP 12/12 FIXED 2.35 | 2.350 | % | 12/21/2012 | 290,000 | *** | 291 | ||||||||||||||||||
ENERGY ARKANSAS INC 1ST MTG BD | 5.400 | % | 8/1/2013 | 550,000 | *** | 593 | ||||||||||||||||||
EXCELON CORP SR NT | 4.450 | % | 6/15/2010 | 900,000 | *** | 916 | ||||||||||||||||||
FIFTH THIRD BANCORP SR NT | 6.250 | % | 5/1/2013 | 500,000 | *** | 515 | ||||||||||||||||||
FIRSTENERGY SOLUTIONS CO 02/15 FIXED 4.8 | 4.800 | % | 2/15/2015 | 530,000 | *** | 542 | ||||||||||||||||||
FORTUNE BRANDS INC 06/12 FIXED 3 | 3.000 | % | 6/1/2012 | 700,000 | *** | 695 | ||||||||||||||||||
GENERAL ELEC CAP CORP TRANCHE TR 00802 | 5.250 | % | 10/19/2012 | 1,600,000 | *** | 1,705 | ||||||||||||||||||
GENERAL ELEC CAP CORP 05/14 FIXED 5.9 | 5.900 | % | 5/13/2014 | 620,000 | *** | 671 | ||||||||||||||||||
GENERAL ELEC CAP CORP 09/12 FIXED 2 | 2.000 | % | 9/28/2012 | 4,000,000 | *** | 4,010 | ||||||||||||||||||
GENERAL MLS INC NT | 5.250 | % | 8/15/2013 | 580,000 | *** | 626 | ||||||||||||||||||
GOLDMAN SACHS GROUP INC MTN 05/14 FIXED 6.0 | 6.000 | % | 5/1/2014 | 570,000 | *** | 624 | ||||||||||||||||||
GOLDMAN SACHS GROUP INC SR NT | 5.450 | % | 11/1/2012 | 500,000 | *** | 538 | ||||||||||||||||||
HSBC FIN CORP NT | 6.750 | % | 5/15/2011 | 1,000,000 | *** | 1,058 | ||||||||||||||||||
HSBC FIN CORP NT | 4.625 | % | 9/15/2010 | 600,000 | *** | 616 | ||||||||||||||||||
HEINZ H J FIN CO GTD NT | 6.625 | % | 7/15/2011 | 345,000 | *** | 371 | ||||||||||||||||||
HEINZ H J FIN CO GTD NT | 6.000 | % | 3/15/2012 | 300,000 | *** | 322 | ||||||||||||||||||
HEWLETT PACKARD CO GLOBAL NT FLTG RATE | 4.500 | % | 3/1/2013 | 600,000 | *** | 637 | ||||||||||||||||||
IBERDROLA FIN IRELAND 09/14 FIXED 3.8 144A | 3.800 | % | 9/11/2014 | 440,000 | *** | 442 | ||||||||||||||||||
INC BK NV NETH ST CR GTEE GTD GLOBAL NT 144A | 2.625 | % | 2/9/2012 | 1,100,000 | *** | 1,125 | ||||||||||||||||||
INGERSOLL RAND GLOBAL HLDG CO GTD SR NT | 6.000 | % | 8/15/2013 | 550,000 | *** | 595 | ||||||||||||||||||
IBM CORP 05/13 FIXED 2.1 | 2.100 | % | 5/6/2013 | 850,000 | *** | 849 | ||||||||||||||||||
INTL LEASE FIN CORP MTN TRANCHE TR 00590 | 6.375 | % | 3/25/2013 | 500,000 | *** | 412 | ||||||||||||||||||
JP MORGAN CHASE CAN CO NT | 5.375 | % | 10/1/2012 | 1,250,000 | *** | 1,354 | ||||||||||||||||||
JPMORGAN CHASE + CO NT | 4.750 | % | 5/1/2013 | 300,000 | *** | 317 | ||||||||||||||||||
KEYCORP MTN BOOK ENTRY TRANCHE SR 00098 | 6.500 | % | 5/14/2013 | 650,000 | *** | 672 | ||||||||||||||||||
KRAFT FOODS INC BD | 6.000 | % | 2/11/2013 | 800,000 | *** | 859 |
* | 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. |
F-28
Table of Contents
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||||
Interest | ||||||||||||||||||||||||
Shared Holdings (bb) | rate | Maturity | Par Value | |||||||||||||||||||||
LINCOLN NATL CORP IN SR NT | 5.650 | % | 8/27/2012 | 630,000 | *** | $ | 653 | |||||||||||||||||
MERRILL LYNCH + CO INC TRANCHE TR 00614 | 0.485 | % | 6/5/2012 | 1,100,000 | *** | 1,068 | ||||||||||||||||||
MORGAN STANLEY NT | 5.050 | % | 1/21/2011 | 1,700,000 | *** | 1,765 | ||||||||||||||||||
MORGAN STANLEY 05/14 FIXED 6 | 6.000 | % | 5/13/2014 | 530,000 | *** | 570 | ||||||||||||||||||
ORACLE CORP NT | 4.950 | % | 4/15/2013 | 600,000 | *** | 645 | ||||||||||||||||||
ORACLE CORP 07/14 FIXED 3.75 | 3.750 | % | 7/8/2014 | 330,000 | *** | 341 | ||||||||||||||||||
PPL ENERGY SUPPLY LLC SR NT | 6.300 | % | 7/15/2013 | 370,000 | *** | 399 | ||||||||||||||||||
PEMEX PROJ FDG MASTER TR NT | 9.125 | % | 10/13/2010 | 251,000 | *** | 265 | ||||||||||||||||||
PRINCIPAL LIFE INCOME FUNDINGS TRANCHE TR 00470 | 5.300 | % | 12/14/2012 | 450,000 | *** | 478 | ||||||||||||||||||
REGIONS FINANCIAL CORP 11/14 FIXED 7.75 | 7.750 | % | 11/10/2014 | 500,000 | *** | 494 | ||||||||||||||||||
ROGERS WIRELESS INC SR SECD NT | 7.250 | % | 12/15/2012 | 801,000 | *** | 904 | ||||||||||||||||||
ROYAL BK OF SCOTLAND PLC 8/14 FIXED 4.875 | 4.875 | % | 8/25/2014 | 525,000 | *** | 533 | ||||||||||||||||||
SBC COMMUNICATIONS INC GLOBAL NT | 5.875 | % | 2/1/2012 | 1,100,000 | *** | 1,191 | ||||||||||||||||||
STATE STREET CORP 05/14 FIXED 4.3 | 4.300 | % | 5/30/2014 | 500,000 | *** | 518 | ||||||||||||||||||
STATOILHYDRO ASA 10/14 FIXED 2.9 | 2.900 | % | 10/15/2014 | 340,000 | *** | 339 | ||||||||||||||||||
TARGET CORP NT | 5.125 | % | 1/15/2013 | 600,000 | *** | 652 | ||||||||||||||||||
TELECOM ITALIA CAP GTD SR NT | 6.200 | % | 7/18/2011 | 770,000 | *** | 816 | ||||||||||||||||||
TELEFONICA EMISIONES S A U SR NT | 5.855 | % | 2/4/2013 | 620,000 | *** | 671 | ||||||||||||||||||
3M CO TRANCHE TR 00005 | 4.375 | % | 8/15/2013 | 565,000 | *** | 609 | ||||||||||||||||||
TIME WARNER CABLE INC NT | 5.400 | % | 7/2/2012 | 1,148,000 | *** | 1,228 | ||||||||||||||||||
TRANSCAPITALINVEST LTD LN PARTN NT 1440 3C7 | 6.103 | % | 6/27/2012 | 1,300,000 | *** | 1,350 | ||||||||||||||||||
US CENTRAL FEDERAL CRED 10/12 FIXED 1.9 | 1.900 | % | 10/19/2012 | 400,000 | *** | 400 | ||||||||||||||||||
UNITED HEALTH GROUP INC NT | 5.250 | % | 3/15/2011 | 850,000 | *** | 882 | ||||||||||||||||||
VERIZON MD INC DEB SER A | 6.125 | % | 3/1/2012 | 1,500,000 | *** | 1,598 | ||||||||||||||||||
VIRGINIA ELEC + PWR CO SR NT 2007 SER C | 5.100 | % | 11/30/2012 | 570,000 | *** | 616 | ||||||||||||||||||
VODAFONE AIRTOUCH PLC NT | 7.750 | % | 2/15/2010 | 800,000 | *** | 807 | ||||||||||||||||||
VODAFONE GROUP PLC NT | 0.536 | % | 2/27/2012 | 800,000 | *** | 798 | ||||||||||||||||||
WACHOVIA CORP TRANCHE SR 00033 | 5.500 | % | 5/1/2013 | 600,000 | *** | 638 | ||||||||||||||||||
WELLS FARGO + CO NEW SR NT | 4.375 | % | 1/31/2013 | 1,420,000 | *** | 1,477 | ||||||||||||||||||
WEST CORP FED CRED UNION 11/12 FIXED 1.75 | 1.750 | % | 11/2/2012 | 950,000 | *** | 947 | ||||||||||||||||||
WESTPAC BANKING CORP 09/14 FIXED 2.9 | 2.900 | % | 9/10/2014 | 1,800,000 | *** | 1,778 | ||||||||||||||||||
XEROX CORP SR NT | 7.625 | % | 6/15/2013 | 950,000 | *** | 970 | ||||||||||||||||||
XSTRATA FINANCE CANADA 11/11 FIXED 5.5 GTD NT 144A | 5.500 | % | 11/16/2011 | 950,000 | *** | 998 | ||||||||||||||||||
BEAR STEARNS COML MTG SECS SER 2000 WF2 CL A2 | 7.320 | % | 10/15/2032 | 2,758,047 | *** | 2,815 | ||||||||||||||||||
CITIGROUP 2007 CD4 PASSTHRU CTF CL A2B | 5.205 | % | 12/11/2049 | 4,520,000 | *** | 4,623 | ||||||||||||||||||
COMMERCIAL MTG ASSET TR SER 1999 C2 COMML MTG CL A2 | 7.546 | % | 11/17/2032 | 342,056 | *** | 343 | ||||||||||||||||||
COMMERCIAL MTG TR 2006 GG7 MTG PAAST CTF CL A1 | 5.744 | % | 7/10/2038 | 1,221,677 | *** | 1,241 | ||||||||||||||||||
COMMERCIAL MTG TR 2007 GG9 MTG PASS CTF CL A2 | 5.381 | % | 7/10/2012 | 2,893,000 | *** | 2,934 | ||||||||||||||||||
CREDIT SUISSE FIRST BOSTON MTG SER 2001 CP4 CTF CL A 4 | 6.180 | % | 12/15/2035 | 3,636,746 | *** | 3,783 | ||||||||||||||||||
CREDIT SUISSE COML MTG TR 2007 C1 MTG PASSTHRU CTF CL A1 | 5.268 | % | 2/15/2040 | 3,425,000 | *** | 3,449 | ||||||||||||||||||
CREDIT SUISSE COML MTG TR 2008 C1 COML MTG PASS CTFCLA2 | 6.216 | % | 2/15/2041 | 2,000,000 | *** | 2,021 |
* | 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. |
F-29
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||||||||||||
Interest | ||||||||||||||||||||||
Shared Holdings (bb) | rate | Maturity | Par Value | |||||||||||||||||||
GS MTG SECS CORP II 2006 GG6 MTG PASS CTF CL A2 | 5.506 | % | 4/10/2038 | 4,315,000 | *** | $ | 4,378 | |||||||||||||||
GREENWICH CAP COML FDG CORP 2005 GG3 COML MTG P/THRU A 4 | 4.799 | % | 8/10/2042 | 2,000,000 | *** | 1,933 | ||||||||||||||||
GREENWICH CAP COML FDG CORP 2005 GG5 COML MTG PASS CTF A2 | 5.117 | % | 4/10/2037 | 4,500,000 | *** | 4,523 | ||||||||||||||||
HELLER FIN COML MTG ASSET CORP SER 2000 PH1 CL A2 | 7.750 | % | 1/17/2034 | 1,707 | *** | 2 | ||||||||||||||||
JP MORGAN CHASE COML MTG SECS 2004 CIBC9 MTG PASS CTF CL A4 | 5.377 | % | 6/12/2041 | 2,000,000 | *** | 2,016 | ||||||||||||||||
J P MORGAN CHASE COML MTG SEC 2005 LDP1 COML MTG PASSTHR A2 | 4.625 | % | 3/15/2046 | 3,095,247 | *** | 3,096 | ||||||||||||||||
J P MORGAN CHASE COML MTG SECS 2005 LDP2 COML MTG CL A2 | 4.575 | % | 7/15/2042 | 4,075,921 | *** | 4,085 | ||||||||||||||||
JP MORGAN CHASE COML MTG SECS 2005 LDP3 COML MTG CTF CL A2 | 4.851 | % | 8/15/2042 | 4,244,977 | *** | 4,255 | ||||||||||||||||
J P MORGAN CHASE COML MTG SECS TR 2007 CB19 CTF CL A2 | 5.746 | % | 2/12/2049 | 720,000 | *** | 669 | ||||||||||||||||
MERRILL LYNCH MTG TR 2008 C1 MTG PASSTHRU CTFCL A2 | 5.425 | % | 2/12/2051 | 4,000,000 | *** | 3,906 | ||||||||||||||||
CARMAX AUTO OWNER TR 2007 2 ASSET BKD CTF CL A 4 | 5.270 | % | 11/15/2012 | 1,143,000 | *** | 1,194 | ||||||||||||||||
FORD CR AUTO OWNER TR 2008 C ASSET BKD NT CL AA | 5.160 | % | 4/15/2013 | 3,905,000 | *** | 4,148 | ||||||||||||||||
FORD CR AUTO OWNER TR 2007 A NT CL C | 5.800 | % | 2/15/2013 | 339,000 | *** | 357 | ||||||||||||||||
FRANKLIN AUTO TR 2006 1 ASSET BACKED NT CL A4 | 5.030 | % | 7/21/2014 | 1,279,535 | *** | 1,300 | ||||||||||||||||
HYUNDAI AUTO RECEIVABLES TR SER 2006 B CL B | 5.190 | % | 5/15/2013 | 612,702 | *** | 635 | ||||||||||||||||
LONG BEACH ACCEP AUTO RECVLS ASSET BKD NT CL A4 | 5.180 | % | 9/15/2013 | 998,185 | *** | 1,019 | ||||||||||||||||
WI TREASURY N B 12/12 FIXED 1.125 | 1.125 | % | 12/15/2012 | 676,000 | *** | 665 | ||||||||||||||||
Subtotal DeAM Bond Fund | 240,144 | |||||||||||||||||||||
Wrapper Contracts | ||||||||||||||||||||||
Monumental Life Insurance Company | Group Annuity Contract #MDA00912TR, 2.50% ** | 113 | ||||||||||||||||||||
Monumental Life Insurance Company | Group Annuity Contract #MDA00911TR, 4.30% ** | 109 | ||||||||||||||||||||
Subtotal Wrapper Contracts | 222 | |||||||||||||||||||||
Subtotal Group Annuity Contracts | 670,763 | |||||||||||||||||||||
* | State Street Bank and Trust | State Street Cash Fund — STIF | *** | 11,543 | ||||||||||||||||||
Subtotal Stable Value Fund | 682,306 | |||||||||||||||||||||
(aa) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the HIMCO Bond fund: Natixis #1879-02, JP Morgan Chase #AITTH01, JP Morgan Chase #AITTH02 and Monumental Life Insurance #MDA00911TR. | |
(bb) | Shared holdings are other underlying securities making up the total value of the two Guaranteed Investment Contracts under the Deutsche Asset Management (“DeAM”) Bond fund: Natixis #1879-01 and Monumental Life Insurance #MDA00912TR. | |
* | 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. |
F-30
Table of Contents
EIN# 06-0383750
Plan# 100
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, 2009 (CONTINUED)
($ IN THOUSANDS, except for par value)
FORM 5500, SCHEDULE H, PART IV, LINE 4i — SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2009 (CONTINUED)
($ IN THOUSANDS, except for par value)
(c) Description of investment including | ||||||||||||
maturity date, rate of interest, | (e) Current | |||||||||||
(a) | (b) Identity of issue, borrower, lessor, or similar party | collateral, par or maturity value | (d) Cost | value | ||||||||
Clearing Account | ||||||||||||
* | State Street Bank and Trust | Clearing Account, Fund #NCD8 | *** | $ | 724 | |||||||
Subtotal Clearing Account | 724 | |||||||||||
Master Expense Account | ||||||||||||
* | State Street Bank and Trust | Master Expense Account, Fund #NCD9 | *** | 139 | ||||||||
Subtotal Master Expense Account | 139 | |||||||||||
Loan Fund | ||||||||||||
* | Plan Members | Loans Receivable from Members, maturing in 2010 through 2024 bearing interest at rates from 4.25% -10.50% | N/A | 49,448 | ||||||||
Subtotal Loan Fund | 49,448 | |||||||||||
Grand Total | $ | 2,521,655 | ||||||||||
* | 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. |
F-31
Table of Contents
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 (Name of Plan) | ||||
BY: | /s/ Erin Ridge | |||
Erin Ridge | ||||
Plan Administrator June 28, 2010 | ||||
F-32