Annual Report of Employee Stock Plans (11-k)

Date : 06/28/2019 @ 9:15PM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Group Inc (HIG)
Quote : 59.48  0.6 (1.02%) @ 10:14PM

Annual Report of Employee Stock Plans (11-k)

Table of Contents

 

 

FORM 11-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

(Mark One)

ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2018

OR

 

TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                      to                     

Commission file number 001-13958

 

 

 

A.

Full title of the Plan and the address of the Plan, if different from that of the issuer named below:

THE HARTFORD INVESTMENT AND SAVINGS PLAN

 

B.

Name of issuer of the securities held pursuant to the Plan and the address of its principal executive office:

THE HARTFORD FINANCIAL SERVICES GROUP, INC.

One Hartford Plaza, Hartford, Connecticut 06155

 

 

 

 


Table of Contents

The Hartford Investment and Savings Plan

TABLE OF CONTENTS

December 31, 2018 and 2017

 

     Page No(s).  

Report of Independent Registered Public Accounting Firm

     F-1  

Financial Statements:

  

Statements of Net Assets Available for Benefits as of December  31, 2018 and 2017

     F-2  

Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2018

     F-3  

Notes to Financial Statements as of December  31, 2018 and 2017 and for the year ended December 31, 2018

     F-4 - F-12  

Supplemental Schedule:

  

Form 5500, Schedule H, Part IV, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2018

     F-13 – F-39  

Signature

  

Exhibit Index

 

Exhibit
Number
   Exhibit Name
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 Participants and Plan Administrator of

The Hartford Investment and Savings Plan

Hartford, Connecticut

Opinion on the Financial Statements

We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the “Plan”) as of December 31, 2018 and 2017, and the related statement of changes in net assets available for benefits for the year ended December 31, 2018, and the related notes (collectively, the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2018 and 2017, and the changes in net assets available for benefits for the year ended December 31, 2018, in conformity with accounting principles generally accepted in the United States of America.

Basis for Opinion

These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audits in accordance with standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.

Report on Supplemental Information

The supplemental schedule of assets (held at end of year) as of December 31, 2018, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.

/s/ DELOITTE & TOUCHE LLP

Hartford, Connecticut

June 28, 2019

We have served as the auditor of the Plan since 2001.

 

F-1


Table of Contents

EIN# 06-0383750

Plan# 100

 

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS

AS OF DECEMBER 31, 2018 AND 2017

($ IN THOUSANDS)

 

     2018      2017  

Assets

     

Investments:

     

Investments, at fair value (Note 4)

   $ 3,369,025      $ 3,617,677  

Investments, at contract value (Note 3)

     746,061        728,166  
  

 

 

    

 

 

 

Total investments

     4,115,086        4,345,843  

Receivables:

     

Notes receivable from Members

     67,753        64,137  

Dividends and interest receivable

     2,961        2,731  
  

 

 

    

 

 

 

Total receivables

     70,714        66,868  
  

 

 

    

 

 

 

Total assets

     4,185,800        4,412,711  

Liabilities

     

Investment management expenses payable

     803        763  

Administrative expenses payable

     43        37  
  

 

 

    

 

 

 

Total liabilities

     846        800  

Net assets available for benefits

   $ 4,184,954      $ 4,411,911  
  

 

 

    

 

 

 

See Notes to Financial Statements.

 

F-2


Table of Contents

EIN# 06-0383750

Plan# 100

 

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS

FOR THE YEAR ENDED DECEMBER 31, 2018

($ IN THOUSANDS)

 

     2018  

Additions to net assets attributed to:

  

Contributions:

  

Employee contributions

   $ 156,632  

Employer contributions

     128,692  

Rollover contributions

     66,197  
  

 

 

 

Total contributions

     351,521  
  

 

 

 

Investment income (loss):

  

Net (depreciation) appreciation in fair value of investments

     (264,593

Dividends

     10,105  
  

 

 

 

Total investment income (loss)

     (254,488
  

 

 

 

Interest income on notes receivable from Members

     3,859  
  

 

 

 

Total additions

     100,892  
  

 

 

 

Deductions from net assets attributed to:

  

Benefits paid to Members

     324,923  

Investment management fees

     2,689  

Administrative expenses

     237  
  

 

 

 

Total deductions

     327,849  
  

 

 

 

Net (decrease) increase in net assets

     (226,957

Net assets available for benefits:

  

Beginning of year

     4,411,911  
  

 

 

 

End of year

   $ 4,184,954  
  

 

 

 

See Notes to Financial Statements.

 

F-3


Table of Contents

THE HARTFORD INVESTMENT AND SAVINGS PLAN

NOTES TO FINANCIAL STATEMENTS

AS OF DECEMBER 31, 2018 AND 2017

AND FOR THE YEAR ENDED DECEMBER 31, 2018

($ IN THOUSANDS)

Note 1. Description of the Plan

The following description of The Hartford Investment and Savings Plan (the “Plan” or “ISP”) as of December 31, 2018 is provided for general information purposes only. Members should refer to the Plan document for more complete information. “Members” refers to eligible participants of the Plan.

The Hartford Financial Services Group, Inc. (“HFSG”, together with its subsidiaries, “The Hartford”, or the “Company”) is an insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States of America. The Hartford is also a provider of mutual funds to investors. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of The Hartford.

Information with regard to eligibility, contributions, distributions, vesting, trustees, withdrawals, loans, fund redistribution and certain definitions are contained in the Plan Document. A Summary Plan Description (“SPD”) setting forth the highlights of the Plan is available to Members on the Fidelity Net Benefits website. Fidelity Workplace Services LLC serves as the record keeper of the Plan.

Plan Changes

See Note 9 for a general description of amendments made to the Plan Document during 2018 and 2017.

General

The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan Document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”).

The Trust, as defined in the Plan Document, is the aggregate funds held by the trustee, State Street Bank and Trust Company (the “Trustee”), under the trust agreement established for the purposes of the Plan. The Investment and Savings Plan Investment Committee (“ISPIC”) is responsible for the management of Plan assets except with respect to matters that are the responsibility of Newport Trust Company (formerly Evercore Trust Company) as fiduciary with respect to the common stock of HFSG (“Hartford Stock”) held in The Hartford Stock Fund. The ISPIC may from time to time add investment funds to, or eliminate investment funds from, the group of investment funds available under the Plan, provided, however, that the ISPIC has no authority with respect to the Hartford Stock in The Hartford Stock Fund.

Contributions

Members may elect to contribute a percentage of their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their contributions as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, Member contributions may be elected based on 1% to 30% of eligible compensation. 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 “IRC”). If Members do not elect otherwise, they are automatically enrolled to make before-tax contributions equal to 6% (3% prior to January 1, 2016) of eligible compensation.

Since January 1, 2013, the Company’s contributions include a non-elective contribution of 2% of eligible compensation (“Non-elective Company contributions”) and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (“Matching Company contributions”). Prior to January 1, 2013, in addition to matching company contributions, the Company made floor company contributions equal to 0.5% of highly compensated eligible employees’ base salary and 1.5% of all other eligible employees’ base salary.

Member contributions in excess of 6% of the eligible compensation are Supplemental Savings that are not matched by the Company.

 

F-4


Table of Contents

Note 1. Description of the Plan (continued)

 

Administrative Costs

The Trust pays certain administrative expenses of the Plan out of the assets of the Trust. Expenses not paid by the Trust are borne by the Company.

Member Accounts

Individual accounts are maintained for each Member of the Plan. Each Member’s account is credited with that Member’s contributions and allocations of the associated Matching Company contributions, Non-Elective Company contributions and any investment earnings for the Member’s account, and is charged with withdrawals and an allocation of administrative expenses and investment losses for the Member’s account. Allocations are based on Member account balances, as defined in the Plan Document. The benefit to which a Member is entitled is the benefit that can be provided from that Member’s vested account balance.

Vesting

Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members first hired prior to January 1, 2016 are 100% vested in Matching Company and Non-Elective Company contributions made after January 1, 2013 after two years of service. Effective January 1, 2016, Members first hired on or after January 1, 2016 are 100% vested in Matching Company Contributions and Non-Elective Company contributions after three years of service.

Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions made prior to January 1, 2013.

Notwithstanding the foregoing statement, a Member becomes fully vested in such Member’s Matching Company contribution account upon retirement (for retirement eligible Members), disability, death, reaching age 65, or upon the complete discontinuance of Company contributions or termination of the Plan.

Investment Options

Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. As of December 31, 2018, Member contributions, Matching Company contributions and Non-Elective Company contributions may be invested in any of the twenty-six investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (“Member directed investments”).

Certain investment options are parties-in-interest with The Hartford. See Note 8 for further discussion.

Notes Receivable from Members

Members may borrow from their accounts a minimum of $0.5 to a maximum equal to the lesser of $50 or 50% of their vested account balance, reduced by any pre-existing outstanding loan amounts during the last 12 months. Loan transactions are treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Member’s account. The interest rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan. Principal and interest is paid ratably through payroll deductions.

Payment of Benefits

On termination of service due to retirement, death, disability, or certain other reasons, Members or their designated beneficiaries may elect to receive either a lump sum amount equal to the value of their vested account balance, or, in the case of Members meeting certain requirements, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipient’s life expectancy. If a Member was receiving installment payments, upon the Member’s death, the designated beneficiary has the option of receiving the remaining value either in a lump sum or annual installments over the beneficiary’s life expectancy.

 

F-5


Table of Contents

Note 1. Description of the Plan (continued)

 

Distributions may be paid in cash or, with respect to The Hartford Stock Fund, in stock distributions. Members or their designated beneficiaries may also elect to defer distributions subject to certain conditions.

Forfeitures

When a Member terminates employment before he or she has vested in his or her Matching Company and Non-Elective Company contributions, the non-vested portion of the Member’s account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future employer contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2018 and 2017, forfeited non-vested account balances totaled $57 and $17, respectively.

These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2018, Matching Company contributions were reduced by $2,804 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.

Use of Estimates

The preparation of financial statements in conformity with U.S. GAAP requires management of the Plan to make estimates and assumptions that affect the reported amounts of assets and liabilities and changes therein, and disclosure of contingent assets and liabilities as of the date of the financial statements and the reported amounts of additions and deductions during the reporting period. Actual results could differ from those estimates.

Risks and Uncertainties

The Plan provides various investment options to its participants. Investment securities, in general, are exposed to various risks, such as interest rate, credit and overall market volatility. Due to the level of risk associated with certain investment securities, it is possible that changes in the values of investment securities, which are reflected in the Statement of Changes in Net Assets Available for Benefits, may occur in the near term and such changes could materially affect the amounts reported in the financial statements.

Investment Valuation and Income Recognition

The Plan’s investments are stated at fair value, except for fully benefit-responsive guaranteed investment contracts (“GICs”), which are reported at contract value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. Contract value is the amount Plan participants would receive if they were to initiate permitted transactions under the terms of the Plan (see Note 3). See Note 4 for discussion on fair value measurements.

Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Net appreciation includes the Plan’s gains and losses on investments bought and sold as well as held during the year.

Investment expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment gain (loss) for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan.

Payment of Benefits

Benefits paid to Members are recorded when distributed.

 

F-6


Table of Contents

Note 2. Accounting Policies (continued)

 

Contributions

Member and Matching Company contributions are recorded in the period during which the Company makes payroll deductions from Members’ compensation.

Excess Contribution Payable

The Plan is required to return contributions received during the Plan year in excess of the IRC limits. There were no such excess contributions in 2018 or 2017.

Notes Receivable from Members

Notes receivable from Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent notes receivable from Member loans are recorded as deemed distributions based on the terms of the Plan Document.

Administrative Expenses

Certain administrative expenses of the Plan are paid by the Plan Sponsor as provided in the plan document. Recordkeeping fees of the Plan are paid by the Plan. All investment management and transaction fees directly related to the Plan investments are paid by the Plan.

Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions

The Plan’s Stable Value Fund is comprised primarily of synthetic GICs, which are fully benefit responsive contracts. 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. The synthetic GIC contracts are included in the financial statements at contract value (see Note 2). Contract value represents contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. A synthetic GIC is an investment contract issued by an insurance company or other financial institution where the contract issuer is contractually obligated to provide a specified interest rate return with respect to a portfolio of financial instruments owned by the Plan and not held or owned by that insurance company or financial institution. The interest rate return is provided under a benefit responsive wrap contract (or “wrapper”). Standish Mellon Asset Management Company LLC, a wholly owned subsidiary of The Bank of New York Mellon Corporation, provides investment management services to the Stable Value Fund. The fair value of the benefit-responsive wrapper contracts was $0 at December 31, 2018 and ($50) at December 31, 2017. The wrapper provides that Members execute Plan transactions at contract value. 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 at less than contract value.

The Plan Sponsor does not believe that it is probable that any such events would limit the ability of the Plan to transact at contract value.

Earnings on investments at contract value as 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. Gains and losses are defined as the difference between the market value of the underlying securities and contract value of the synthetic GIC. 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 of the underlying securities within each synthetic GIC, default or credit failures of any of the securities, investment contracts, or other investments held in a trust that is owned by the Plan and the initiation of an extended termination of one or more synthetic GICs by the manager or the contract issuer. The rate of return earned on a synthetic GIC, or the crediting rate, is generally reset quarterly by the issuer but the rate cannot 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 did not breach any terms of the synthetic GICs in 2018 or 2017.

 

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Table of Contents

Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)

 

During 2018, there were no changes in contracts within the Stable Value Fund.

 

Average yields on investments recorded at contract value:

   2018     2017  

Based on annualized earnings (1)

     2.48     2.28

Based on interest rate credited to participants (2)

     2.50     2.21

 

(1)

Calculated based on actual investment income from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2018 and 2017, respectively.

(2)

Calculated based on the interest rate credited to participants from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2018 and 2017, respectively.

The following table represents the contract value for each of the contracts as of December 31, 2018:

 

Contract Issuer

   Contract
Number
     Major
Credit
Ratings
     Investments
at Contract
Value
 

Transamerica Premier Life

     MDA01097TR        AA- / Aa2      $ 220,225  

American General Life

     1646368        AA / Aa2        103,802  

American General Life

     1635582        AA+ / Aaa        79,895  

RGA

     RGA00058        AA / Aa2        43,545  

New York Life

     GA29021        AA+ / Aaa        97,774  

Prudential

     GA62433        AA / Aa1        176,671  
        

 

 

 
           721,912  

Cash and cash equivalents

           24,149  
        

 

 

 

Total

         $ 746,061  
        

 

 

 

The following table represents the contract value for each of the contracts as of December 31, 2017:

 

Contract Issuer

   Contract
Number
     Major
Credit
Ratings
     Investments
at Contract
Value
 

Transamerica Premier Life

     MDA01097TR        AA- / Aa2      $ 214,437  

American General Life

     1646368        AA / Aa2        101,686  

American General Life

     1635582        AA+ / Aaa        78,559  

RGA

     RGA00058        AA / Aa2        42,518  

New York Life

     GA29021        AA+ / Aaa        95,238  

Prudential

     GA62433        AA / Aa1        172,148  
        

 

 

 
           704,586  

Cash and cash equivalents

           23,580  
        

 

 

 

Total

         $ 728,166  
        

 

 

 

Note 4. Fair Value Measurements

The Plan estimates of fair value are based on ASC 820, Fair Value Measurements and Disclosures , which provides a framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value and requires that observable inputs be used in valuations when available.

The disclosure of fair value estimates in the fair value accounting guidance hierarchy is based on whether the significant inputs into the valuation are observable. In determining the level of the hierarchy in which the estimate is disclosed, the highest priority is given to unadjusted quoted prices in active markets and the lowest priority to unobservable inputs that reflect the Plan’s significant market assumptions. The level in the fair value hierarchy within which the fair value measurement is reported is based on the level of the input that is least observable to the measurement in its entirety. The three levels of the hierarchy are as follows:

 

   

Level 1 - Fair values based primarily on unadjusted quoted prices for identical assets, or liabilities, in active markets that the Plan has the ability to access at the measurement date.

 

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Table of Contents

Note 4. Fair Value Measurements (continued)

 

   

Level 2 - Fair values primarily based on observable inputs, other than quoted prices included in Level 1, or based on prices for similar assets and liabilities in inactive markets.

 

   

Level 3 - Fair values derived when one or more of the significant inputs are unobservable (including assumptions about risk). With little or no observable market, the determination of fair values uses considerable judgment and represents the Plan’s best estimate of an amount that could be realized in a market exchange for the asset or liability. Also included are securities that are traded within illiquid markets and/or priced by independent brokers.

Asset Valuation Techniques  — Valuation techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2018 and 2017.

Generally, the Plan determines the estimated fair value of its equity securities and short-term investments using the market approach. The income approach is used for securities priced using a pricing matrix, if any. The collective investment trust assets are measured at fair value using a net asset value (“NAV”) as a practical expedient. For Level 1 investments, which are comprised primarily of exchange-traded equity securities, valuations are based on observable inputs that reflect quoted prices for identical assets in active markets that the Plan has the ability to access at the measurement date.

Short-term Investments — Primary inputs also include material event notices and new issue money market rates.

Mutual Funds  — Valued at the daily closing price as reported by the fund. Mutual funds held by the Plan are open-ended mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily NAV and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded.

Equity Securities – Valued at the closing price reported on the active market on which the individual securities are traded.

Collective Investment Trusts  — Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner. As of December 31, 2018 and 2017 there were no unfunded commitments or redemption restrictions on collective investment trusts.

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, 2018 and 2017.

 

     Investment Assets at Fair Value December 31, 2018  
     Active Markets      Other      Significant         
     for Identical      Observable      Unobservable         
     Assets (Level 1)      Inputs (Level 2)      Inputs (Level 3)      Total  

Invested Assets

           

Short Term Investments

   $ —        $ 9,522      $ —        $ 9,522  

Mutual Funds

     869,341        —          —          869,341  

Equity Securities

     1,124,940        —          —          1,124,940  
  

 

 

    

 

 

    

 

 

    

 

 

 

Total investments at fair value [1]

   $ 1,994,281      $ 9,522      $ —        $ 2,003,803  
  

 

 

    

 

 

    

 

 

    

 

 

 

Investments at net asset value:

           

Collective investment trusts

              1,365,222  
           

 

 

 

Total investments

            $ 3,369,025  
           

 

 

 

 

[1]

Excludes $1,395 of dividend receivable and $1,566 of interest receivable recorded at fair value.

 

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Note 4. Fair Value Measurements (continued)

 

     Investment Assets at Fair Value December 31, 2017  
     Active Markets      Other      Significant         
     for Identical      Observable      Unobservable         
     Assets (Level 1)      Inputs (Level 2)      Inputs (Level 3)      Total  

Invested Assets

           

Short Term Investments

   $ —        $ 9,623      $ —        $ 9,623  

Mutual Funds

     970,675        —          —          970,675  

Equity Securities

     1,273,998        —          —          1,273,998  
  

 

 

    

 

 

    

 

 

    

 

 

 

Total investments at fair value [1]

   $ 2,244,673      $ 9,623      $ —        $ 2,254,296  
  

 

 

    

 

 

    

 

 

    

 

 

 

Investments at net asset value:

           

Collective investment trusts

              1,363,381  
           

 

 

 

Total investments

            $ 3,617,677  
           

 

 

 

 

[1]

Excludes $1,310 of dividend receivable and $1,421 of interest receivable recorded at fair value.

Transfers Between Levels  — The availability of observable market data is monitored to assess the appropriate classification of financial instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at the beginning of the reporting period.

We evaluate the significance of transfers between levels based upon the nature of the financial instrument and size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 2018 and 2017 there were no transfers between levels beyond those mentioned below.

There were no Level 3 investments as of either December 31, 2018 or December 31, 2017 and no transfers to or from Level 3 investments during 2018 or 2017.

The change in unrealized gains/(losses) included in the Statement of Changes in Net Assets Available for Benefits related to Level 3 assets still held at the reporting date totaled $0 and $0 as of December 31, 2018 and 2017, respectively.

Hartford’s Investment and Savings Plan Investment Committee, which oversees the Plan’s menu of investments, works with an unaffiliated investment consultant to monitor the performance of Plan investments, periodically reviews the Plan’s menu of investments and, when appropriate, makes changes.

The valuation methods described in Note 2 may produce a fair value calculation that may not be indicative of net realizable value or reflective of future fair values. Furthermore, although the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different fair value measurement at the reporting date.

 

F-10


Table of Contents

Note 5. Federal Income Tax Status

The Internal Revenue Service (“IRS”) has determined and informed the Company by letter dated June 13, 2017 that the Plan and related Trust are designed in accordance with the applicable regulations of the IRC. The Company and Plan management believe that the Plan is currently designed and operated in compliance with the applicable requirements of the IRC and the Plan and related Trust continue to be tax-exempt. No provision for income taxes has been included in the Plan’s financial statements.

GAAP requires Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS.

The Plan is subject to audit by the IRS; however there are currently no audits for any tax periods in progress. The Plan Administrator believes it is no longer subject to income tax examinations for years prior to 2015.

Note 6. Plan Termination

Although the Company has not expressed any intent to do so, the Company has the right under the Plan to suspend, reduce, or partially or completely discontinue its contributions at any time and to terminate the Plan, the Trust agreement and the Trust hereunder, subject to the provisions of ERISA. In the event of termination or partial termination of the Plan or complete discontinuance of contributions, affected Members automatically become fully-vested in their accounts.

Note 7. Reconciliation of Financial Statements to Form 5500

The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts reflected in Form 5500 as of December 31, 2018 and 2017:

 

     2018      2017  

Net assets available for benefits per accompanying financial statements

   $ 4,184,954      $ 4,411,911  

Adjustment from contract value to fair value for fully benefit-responsive investment contracts

     (6,159      5,138  
  

 

 

    

 

 

 

Net assets per Form 5500

   $ 4,178,795      $ 4,417,049  
  

 

 

    

 

 

 

The following is a reconciliation of total investment income, contributions and interest income on notes receivable on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2018:

 

Total investment income, contributions and interest income on notes receivable per accompanying financial statements

   $ 100,892  

Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year

     (5,138

Adjustment from contract value to fair value for fully benefit-responsive investment contracts at the end of the year

     (6,159
  

 

 

 

Total income per Form 5500

   $ 89,595  
  

 

 

 

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, 2018:

 

Benefits paid to Members per accompanying financial statements

   $ 324,923  

Deduct corrective distributions

     3  

Deduct amounts allocated to deemed loan distributions

     84  
  

 

 

 

Benefits paid to Members per Form 5500

   $ 324,836  
  

 

 

 

 

F-11


Table of Contents

Note 8. Exempt Party-in-Interest Transactions

Certain plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services amounted to $56 for the year ended December 31, 2018. The group annuity contract issued by a subsidiary of the Company was terminated in June 2018 and there were no fees paid by the Plan to the subsidiary in 2018. In addition, certain Plan investments include shares of mutual funds that are advised and distributed by a subsidiary and shares of Hartford Stock. At December 31, 2018 and 2017, the fair value of mutual funds held by the Plan was $869,341 and $672,361, respectively. At December 31, 2018 and 2017, the Plan held 3,882,431 shares and 4,190,646 shares of Hartford Stock with a cost basis of $130,077 and $139,664, respectively. The shares of Hartford Stock had a fair value of $172,574 and $235,850 at December 31, 2018 and 2017, respectively. During the year ended December 31, 2018, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of $10,430.

Note 9. Plan Amendments and Other Changes

Effective January 1, 2018, the definition of Service was revised to give credit for employment with Aetna, Inc. to former Aetna employees who became Company employees on January 1, 2018 as a result of the Company’s acquisition of Aetna’s group life and disability business. In addition, if these former Aetna employees do not make a proper enrollment election, they will be automatically enrolled in the Plan 90 days after January 1, 2018 to make before-tax contributions equal to 6% of eligible compensation.

Effective January 1, 2018, a provision was added to the Plan to reduce the administrative burden of filing for benefits in cases where the beneficiary is unable to care for their affairs due to illness or accident, or is a minor or has died.

Effective December 1, 2018, the definition of Service was revised to give credit for employment with Y-Risk to former Y-Risk employees who became Hartford employees on December 1, 2018 as a result of the Y-Risk transaction. In addition, if these former Y-Risk employees did not make a proper enrollment election, they were automatically enrolled in the Plan as of January 7, 2019 (or as soon as practicable thereafter).

Effective January 1, 2019, the Plan was amended so that (a) a member is no longer required to obtain a plan loan before requesting a hardship withdrawal; (b) member contributions will no longer be suspended after receipt of a hardship withdrawal; and (c) earnings on before-tax contributions will be included as part of a hardship withdrawal.

Effective May 23, 2019, the definition of Service was revised to give credit for employment with Navigators to former Navigators employees who became Hartford employees on May 23, 2019 as a result of the Navigators transaction. In addition, if these former Navigators employees do not make a proper enrollment election, they will be automatically enrolled in the Plan as of the later of (a) the first payroll period (or as soon as practicable thereafter) in which his or her 90 th day of active employment occurs after May 23, 2019 or (b) the first payroll period (or as soon as practicable thereafter) after the end of the 30-day automatic enrollment notice period.

Effective May 23, 2019, the definition of “Eligible Employee” was amended by adding the following to the list of Ineligible Persons: (a) a person who is a nonresident alien and who receives no earned income (within the meaning of Code Section 911(d)(2)) from the Company or its affiliate which constitutes income from sources within the United States (within the meaning of Code Section 861(a)(3)); and (b) a person who is a U.S. citizen working in a foreign country for the Company or its affiliate who is not on the U.S. payroll of Hartford Fire.

Effective July 1, 2019, the Plan was amended to (a) increase the maximum member contribution from 30% of eligible pay to 50%; and (b) allow partial loan prepayments.

Note 10. Subsequent Events

Management has evaluated events subsequent to December 31, 2018, through the date the financial statements were issued, noting there are no subsequent events requiring adjustment or disclosure in the financial statements.

******

 

F-12


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Chartwell Equity Securities

        
  

American Equity Invt Life Hl

      ***    $ 989  
  

Apergy Corp Common Stock

      ***      867  
  

Avista Corp

      ***      306  
  

Barnes Group Inc

      ***      1,074  
  

Black Hills Corp

      ***      842  
  

CVB Financial Corp

      ***      843  
  

Caci International Inc

      ***      1,424  
  

Cheesecake Factory Inc

      ***      1,155  
  

Columbia Banking System Inc

      ***      1,247  
  

Commvault Systems Inc

      ***      985  
  

Denny S Corp

      ***      1,596  
  

Diodes Industries Inc

      ***      847  
  

Dycom Industries Inc

      ***      770  
  

Eagle Materials Inc

      ***      687  
  

Eagle Pharmaceuticals Inc

      ***      721  
  

El Paso Electric Co

      ***      1,057  
  

Empire State Realty Trust A

      ***      733  
  

Enpro Industries Inc

      ***      528  
  

Esco Technologies Inc

      ***      2,222  
  

Fnb Corp

      ***      550  
  

Fcb Financial Holdings Cl A

      ***      590  
  

First Financial Bancorp

      ***      1,070  
  

First Industrial Realty Tr

      ***      1,002  
  

First Midwest Bancorp Inc/Il

      ***      906  
  

Franklin Electric Co Inc

      ***      816  
  

Glatfelter

      ***      580  
  

Harsco Corp

      ***      871  
  

Healthcare Realty Trust Inc

      ***      1,156  
  

Hope Bancorp Inc

      ***      705  
  

Hub Group Inc Cl A

      ***      735  
  

Itt Inc

      ***      1,526  
  

Independent Bank Group Inc

      ***      1,018  
  

Integrated Device Tech Inc

      ***      2,660  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-13


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Interface Inc

      ***      656  
  

Kite Realty Group Trust

      ***      446  
  

Knoll Inc

      ***      726  
  

Korn/Ferry International

      ***      1,037  
  

LHC Group Inc

      ***      2,114  
  

Lydall Inc

      ***      319  
  

Mantech International Corp A

      ***      1,822  
  

Matthews Intl Corp Class A

      ***      563  
  

Mcgrath Rentcorp

      ***      854  
  

Minerals Technologies Inc

      ***      843  
  

Mueller Water Products Inc

      ***      877  
  

Northwestern Corp

      ***      1,428  
  

Oxford Industries Inc

      ***      605  
  

Pebblebrook Hotel Trust

      ***      792  
  

PS Business Parks Inc/Ca

      ***      1,394  
  

PRA Group Inc

      ***      1,021  
  

Plexus Corp

      ***      1,414  
  

Progress Software Corp

      ***      975  
  

Renasant Corp

      ***      836  
  

Ring Energy Inc

      ***      545  
  

Rush Enterprises Inc Cl A

      ***      1,072  
  

SRC Energy Inc

      ***      657  
  

Saia Inc

      ***      936  
  

Sandershon Farms Inc

      ***      946  
  

Sandy Spring Bancorp Inc

      ***      717  
  

Scholastic Corp

      ***      1,248  
  

Selective Insurance Group

      ***      1,888  
  

South State Corp

      ***      964  
  

Southwest Gas Holdings

      ***      1,174  
  

Stag Industrial Inc

      ***      1,048  
  

Tri Pointe Group Inc

      ***      679  
  

Towne Bank

      ***      870  
  

Trueblue Inc

      ***      1,083  
  

UMB Financial Corp

      ***      862  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-14


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Umpqua Holdings Corp

      ***      783  
  

United Community Banks/Ga

      ***      956  
  

United Bankshares Inc

      ***      662  
  

Gstif 25 Bps

      ***      1,326  
  

Wolverine World Wide Inc

      ***      983  
  

Argo Group International

      ***      2,087  
  

Fresh Del Monte Produce Inc

      ***      852  
           

 

 

 
      Subtotal Chartwell Equity Securities    $ 74,141  
           

 

 

 
  

Clearing Account

        
  

State Street Bank and Trust

  

Clearing Account

   ***      864  
           

 

 

 
      Subtotal Clearing Account    $ 864  
           

 

 

 
  

Collective Investment Trusts

        
  

SSGA Real Asset

      ***      34,014  
  

Target Retirement 2015 Fund

      ***      73,374  
  

Target Retirement 2020 Fund

      ***      81,621  
  

Target Retirement 2025 Fund

      ***      280,571  
  

Target Retirement 2030 Fund

      ***      126,436  
  

Target Retirement 2035 Fund

      ***      289,460  
  

Target Retirement 2040 Fund

      ***      99,926  
  

Target Retirement 2045 Fund

      ***      182,003  
  

Target Retirement 2050 Fund

      ***      84,886  
  

Target Retirement 2055 Fund

      ***      46,748  
  

Target Retirement 2060 Fund

      ***      21,179  
  

Target Retirement 2065 Fund

      ***      1,375  
  

Target Retirement Income Fund

      ***      43,628  
           

 

 

 
      Subtotal Collective Investment Trusts    $ 1,365,222  
           

 

 

 
  

Loomis Sayles Growth Fund

        
  

Alibaba Group Holding Sp Adr

      ***      13,238  
  

Alphabet Inc Cl A

      ***      7,810  
  

Alphabet Inc Cl C

      ***      7,859  
  

Amazon.Com Inc

      ***      17,017  
  

American Express Co

      ***      2,930  
  

Amgen Inc

      ***      5,121  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-15


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Autodesk Inc

      ***      10,537  
  

Automatic Data Processing

      ***      2,502  
  

Cerner Corp

      ***      5,288  
  

Cisco Systems Inc

      ***      7,655  
  

Coca Cola Co/The

      ***      7,207  
  

Colgate Palmolive Co

      ***      5,087  
  

Danone Spons Adr

      ***      7,256  
  

Deere + Co

      ***      7,350  
  

Expeditors Intl Wash Inc

      ***      7,806  
  

Facebook Inc A

      ***      13,034  
  

Factset Research Systems Inc

      ***      4,570  
  

Merck + Co. Inc.

      ***      3,444  
  

Microsoft Corp

      ***      8,916  
  

Monster Beverage Corp

      ***      8,424  
  

Novartis AG Sponsored ADR

      ***      4,798  
  

Novo Nordisk A/S Spons ADR

      ***      7,539  
  

Oracle Corp

      ***      13,271  
  

Procter + Gamble Co/The

      ***      7,864  
  

Qualcomm Inc

      ***      7,354  
  

Regeneron Pharmaceuticals

      ***      9,507  
  

Schlumberger Ltd

      ***      4,379  
  

SEI Investments Company

      ***      5,498  
  

Starbucks Corp

      ***      8,506  
  

United Parcel Service Cl B

      ***      2,475  
  

Varian Medical Systems Inc

      ***      4,693  
  

Visa Inc Class A Shares

      ***      16,583  
  

Gstif 25 Bps

      ***      4,693  
  

Yum Brands Inc

      ***      5,139  
  

Yum China Holdings Inc

      ***      3,224  
           

 

 

 
      Subtotal Loomis Sayles Growth Fund    $ 258,575  
           

 

 

 
  

Lee Munder Equity Securities

        
  

Aercap Holdings Nv

      ***      1,521  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-16


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

AGNC Investment Corp

      ***      1,682  
  

Alexandria Real Estate Equit

      ***      2,050  
  

Allegheny Technologies Inc

      ***      1,300  
  

Allstate Corp

      ***      1,863  
  

American Campus Communities

      ***      1,943  
  

Amerisourcebergen Corp

      ***      804  
  

Ameriprise Financial Inc

      ***      1,733  
  

Anadarko Petroleum Corp

      ***      1,545  
  

Apergy Corp

      ***      317  
  

Aramark

      ***      1,332  
  

Berry Global Group Inc

      ***      2,403  
  

Borgwarner Inc

      ***      1,252  
  

Brixmor Property Group Inc

      ***      1,313  
  

Carter S Inc

      ***      1,400  
  

Charles River Laboratories

      ***      1,888  
  

Cimarex Energy Co

      ***      1,503  
  

Clean Harbors Inc

      ***      1,480  
  

DTE Energy Company

      ***      2,242  
  

Darling Ingredients Inc

      ***      2,100  
  

Dentsply Sirona Inc

      ***      1,527  
  

Diamondback Energy Inc

      ***      1,572  
  

Dollar General Corp

      ***      1,296  
  

Dollar Tree Inc

      ***      2,036  
  

Dover Corp

      ***      1,662  
  

EQT Corp

      ***      844  
  

Edison International

      ***      1,245  
  

Equinix Inc

      ***      1,293  
  

Equitrans Midstream Corp

      ***      571  
  

Evergy Inc

      ***      3,142  
  

FMC Corp

      ***      2,009  
  

Fidelity National Info Serv

      ***      2,334  
  

Fluor Corp

      ***      788  
  

Hain Celestial Group Inc

      ***      715  
  

Host Hotels + Resorts Inc

      ***      1,380  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-17


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Ingredion Inc

      ***      1,210  
  

Ishares Russell

      ***      2,536  
  

Kar Auction Services Inc

      ***      2,112  
  

Kroger Co

      ***      1,323  
  

LKQ Corp

      ***      2,640  
  

Leidos Holdings

      ***      1,726  
  

M + T Bank Corp

      ***      1,124  
  

Macom Technology Solutions H

      ***      2,171  
  

Michaels Cos Inc/The

      ***      859  
  

Mid America Apartment Comm

      ***      1,531  
  

Newell Brands Inc

      ***      1,660  
  

Nisource Inc

      ***      2,480  
  

Olin Corp

      ***      1,172  
  

PTC Inc

      ***      1,681  
  

Pacwest Bancorp

      ***      1,339  
  

Parker Hannifin Corp

      ***      1,057  
  

Patterson Cos Inc

      ***      898  
  

Pinnacle Financial Partners

      ***      1,233  
  

Pinnacle West Capital

      ***      2,300  
  

Qorvo Inc

      ***      1,318  
  

RPM International Inc

      ***      1,948  
  

Regal Beloit Corp

      ***      1,851  
  

Reinsurance Group Of America

      ***      2,022  
  

Scotts Miracle Gro Co

      ***      1,435  
  

Signature Bank

      ***      1,799  
  

Snap On Inc

      ***      2,077  
  

Sonoco Products Co

      ***      1,254  
  

Stericycle Inc

      ***      990  
  

Sterling Bancorp

      ***      1,728  
  

Synopsys Inc

      ***      1,493  
  

Treehouse Foods Inc

      ***      2,483  
  

Tyson Foods Inc Cl A

      ***      1,129  
  

Valvoline Inc

      ***      1,781  
  

Gstif 25 Bps

      ***      1,778  
           

 

 

 
      Subtotal Lee Munder Equity Securities    $ 110,228  
           

 

 

 

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-18


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

Loan Fund

        
  

Notes receivable from Members

   Notes receivable from Members, maturing in 2019 through 2032 bearing interest at rates from 4.25% - 9.25%    N/A      67,753  
           

 

 

 
      Subtotal Loan Fund    $ 67,753  
           

 

 

 
  

Master Expense Account

        
  

Gstif 25 Bps Gstif 25 Bps

      ***      7  
           

 

 

 
      Subtotal Master Expense Account    $ 7  
           

 

 

 
  

Mutual Funds

        
  

Dodge & Cox

  

3,176

   ***      117,256  

*

  

Hartford HLS Divident & Growth Fd Cl Ia

  

12,925

   ***      257,521  

*

  

Hartford HLS Mut Fds Bond HLS Fd Cl Ia

  

10,629

   ***      114,457  

*

  

Hartford HLS Mut Fds Intl Opportunities HLS Fd Cl I

  

8,376

   ***      116,584  

*

  

Hartford HLS Mut Fds Midcap HLS Fd Cl Ia

  

3,309

   ***      111,837  
  

Vanguard Federal Money Market

  

78,730

   ***      77,855  
           

 

 

 
      Subtotal Mutual Funds    $ 795,511  
           

 

 

 
  

QM Small Cap Growth Fund

        
  

AAON INC

      ***      74  
  

AMAG PHARMACEUTICALS INC

      ***      56  
  

ASGN INC

      ***      361  
  

AARON S INC

      ***      72  
  

ABEONA THERAPEUTICS INC

      ***      16  
  

ACADIA PHARMACEUTICALS INC

      ***      131  
  

ACCELERON PHARMA INC

      ***      135  
  

ACI WORLDWIDE INC

      ***      242  
  

ADDUS HOMECARE CORP

      ***      251  
  

AERIE PHARMACEUTICALS INC

      ***      97  
  

ADVANSIX INC

      ***      136  
  

AEROJET ROCKETDYNE HOLDINGS

      ***      507  
  

ADVANCED DISPOSAL SERVICES I

      ***      246  
  

ADVANCED ENERGY INDUSTRIES

      ***      177  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-19


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

AGIOS PHARMACEUTICALS INC

      ***      178  
  

AIMMUNE THERAPEUTICS INC

      ***      83  
  

ALNYLAM PHARMACEUTICALS INC

      ***      36  
  

AMERIS BANCORP

      ***      206  
  

AMICUS THERAPEUTICS INC

      ***      72  
  

APERGY CORP

      ***      203  
  

ARRAY BIOPHARMA INC

      ***      200  
  

ASPEN TECHNOLOGY INC

      ***      473  
  

ASSERTIO THERAPEUTICS INC

      ***      38  
  

ATKORE INTERNATIONAL GROUP I

      ***      213  
  

AVANOS MEDICAL INC

      ***      150  
  

BWX TECHNOLOGIES INC

      ***      266  
  

BEACON ROOFING SUPPLY INC

      ***      134  
  

BERRY GLOBAL GROUP INC

      ***      474  
  

BIG LOTS INC

      ***      46  
  

BIO RAD LABORATORIES A

      ***      292  
  

BIOTELEMETRY INC

      ***      263  
  

BLACKBAUD INC

      ***      343  
  

BLUEBIRD BIO INC

      ***      134  
  

BLUEPRINT MEDICINES CORP

      ***      148  
  

BOOZ ALLEN HAMILTON HOLDINGS

      ***      569  
  

BOSTON BEER COMPANY INC A

      ***      276  
  

BOYD GAMING CORP

      ***      232  
  

BRIGHT HORIZONS FAMILY SOLUT

      ***      431  
  

BROADRIDGE FINANCIAL SOLUTIO

      ***      398  
  

BRUKER CORP

      ***      101  
  

BRUNSWICK CORP

      ***      249  
  

BURLINGTON STORES INC

      ***      854  
  

CBOE GLOBAL MARKETS INC

      ***      451  
  

CABLE ONE INC

      ***      618  
  

CABOT MICROELECTRONICS CORP

      ***      198  
  

CAMBREX CORP

      ***      196  
  

CANTEL MEDICAL CORP

      ***      363  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-20


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

CAROLINA FINANCIAL CORP

      ***      184  
  

CARRIZO OIL + GAS INC

      ***      37  
  

CARTER S INC

      ***      212  
  

CASELLA WASTE SYSTEMS INC A

      ***      444  
  

CASEY S GENERAL STORES INC

      ***      530  
  

CATALENT INC

      ***      320  
  

CENTENNIAL RESOURCE DEVELO A

      ***      159  
  

CENTERSTATE BANK CORP

      ***      252  
  

CHARLES RIVER LABORATORIES

      ***      492  
  

CHART INDUSTRIES INC

      ***      132  
  

CHASE CORP

      ***      298  
  

CHEESECAKE FACTORY INC/THE

      ***      149  
  

CHEMED CORP

      ***      479  
  

CHILDREN S PLACE INC/THE

      ***      121  
  

CHOICE HOTELS INTL INC

      ***      173  
  

CHURCHILL DOWNS INC

      ***      512  
  

CIRRUS LOGIC INC

      ***      241  
  

COCA COLA CONSOLIDATED INC

      ***      184  
  

COGNEX CORP

      ***      241  
  

COHERENT INC

      ***      279  
  

COMMVAULT SYSTEMS INC

      ***      288  
  

COOPER COS INC/THE

      ***      254  
  

COOPER STANDARD HOLDING

      ***      130  
  

CORESITE REALTY CORP

      ***      335  
  

CORELOGIC INC

      ***      274  
  

CORVEL CORP

      ***      115  
  

CUBESMART

      ***      208  
  

CURTISS WRIGHT CORP

      ***      389  
  

CYRUSONE INC

      ***      367  
  

DENNY S CORP

      ***      282  
  

DESCARTES SYSTEMS GRP/THE

      ***      125  
  

DOMINO S PIZZA INC

      ***      369  
  

DOUGLAS DYNAMICS INC

      ***      208  
  

DRIL QUIP INC

      ***      56  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-21


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

DUN + BRADSTREET CORP

      ***      226  
  

E TRADE FINANCIAL CORP

      ***      188  
  

EAGLE MATERIALS INC

      ***      165  
  

ECHOSTAR CORP A

      ***      93  
  

ELLIE MAE INC

      ***      111  
  

EMERGENT BIOSOLUTIONS INC

      ***      373  
  

EMPIRE STATE REALTY TRUST A

      ***      95  
  

ENANTA PHARMACEUTICALS INC

      ***      64  
  

ENCOMPASS HEALTH CORP

      ***      318  
  

ENSIGN GROUP INC/THE

      ***      336  
  

ENTEGRIS INC

      ***      243  
  

ENVESTNET INC

      ***      366  
  

EPLUS INC

      ***      57  
  

EQUITY LIFESTYLE PROPERTIES

      ***      348  
  

EURONET WORLDWIDE INC

      ***      620  
  

EXACT SCIENCES CORP

      ***      517  
  

EXELIXIS INC

      ***      56  
  

EXPONENT INC

      ***      430  
  

EXTERRAN CORP

      ***      108  
  

FACTSET RESEARCH SYSTEMS INC

      ***      143  
  

FAIR ISAAC CORP

      ***      697  
  

FIBROGEN INC

      ***      204  
  

FIRST BANCORP/NC

      ***      278  
  

FIRST INDUSTRIAL REALTY TR

      ***      292  
  

FORTINET INC

      ***      245  
  

FRONTDOOR INC

      ***      132  
  

GCI LIBERTY INC CLASS A

      ***      260  
  

GTT COMMUNICATIONS INC

      ***      104  
  

GARTNER INC

      ***      261  
  

GENERAC HOLDINGS INC

      ***      206  
  

GENOMIC HEALTH INC

      ***      219  
  

GLOBAL BLOOD THERAPEUTICS IN

      ***      102  
  

GLOBUS MEDICAL INC A

      ***      253  
  

GLYCOMIMETICS INC

      ***      32  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-22


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

GRACO INC

      ***      360  
  

GRAND CANYON EDUCATION INC

      ***      375  
  

GRAPHIC PACKAGING HOLDING CO

      ***      142  
  

GRAY TELEVISION INC

      ***      158  
  

HAEMONETICS CORP/MASS

      ***      351  
  

HAWAIIAN HOLDINGS INC

      ***      63  
  

HEALTHCARE SERVICES GROUP

      ***      200  
  

HEICO CORP CLASS A

      ***      727  
  

JACK HENRY + ASSOCIATES INC

      ***      178  
  

HERITAGE INSURANCE HOLDINGS

      ***      52  
  

HEXCEL CORP

      ***      382  
  

HILTON GRAND VACATIONS INC

      ***      224  
  

ICU MEDICAL INC

      ***      604  
  

IDEX CORP

      ***      168  
  

IMMUNOMEDICS INC

      ***      102  
  

INGEVITY CORP

      ***      513  
  

INSMED INC

      ***      100  
  

INNOSPEC INC

      ***      292  
  

INSPERITY INC

      ***      461  
  

INOGEN INC

      ***      269  
  

INNOVIVA INC

      ***      82  
  

INTEGRATED DEVICE TECH INC

      ***      562  
  

IONIS PHARMACEUTICALS INC

      ***      89  
  

IRONWOOD PHARMACEUTICALS INC

      ***      79  
  

J + J SNACK FOODS CORP

      ***      369  
  

JOHN BEAN TECHNOLOGIES CORP

      ***      248  
  

J2 GLOBAL INC

      ***      200  
  

KENNEDY WILSON HOLDINGS INC

      ***      72  
  

LCI INDUSTRIES

      ***      141  
  

LANDSTAR SYSTEM INC

      ***      346  
  

LENNOX INTERNATIONAL INC

      ***      481  
  

LIBERTY EXPEDIA HOLD A

      ***      180  
  

LIGAND PHARMACEUTICALS

      ***      358  
  

LINCOLN ELECTRIC HOLDINGS

      ***      162  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-23


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

LIONS GATE ENTERTAINMENT B

      ***      92  
  

LITTELFUSE INC

      ***      390  
  

LIVE NATION ENTERTAINMENT IN

      ***      489  
  

LOGMEIN INC

      ***      172  
  

LOXO ONCOLOGY INC

      ***      224  
  

LYDALL INC

      ***      109  
  

MGIC INVESTMENT CORP

      ***      172  
  

MKS INSTRUMENTS INC

      ***      331  
  

MSCI INC

      ***      415  
  

MSG NETWORKS INC A

      ***      254  
  

STEVEN MADDEN LTD

      ***      347  
  

MADRIGAL PHARMACEUTICALS INC

      ***      44  
  

MANHATTAN ASSOCIATES INC

      ***      221  
  

MARKETAXESS HOLDINGS INC

      ***      534  
  

MARRIOTT VACATIONS WORLD

      ***      85  
  

MASIMO CORP

      ***      462  
  

MATADOR RESOURCES CO

      ***      244  
  

MATSON INC

      ***      52  
  

MAXLINEAR INC

      ***      247  
  

MAXIMUS INC

      ***      529  
  

MIDDLEBY CORP

      ***      127  
  

MINERALS TECHNOLOGIES INC

      ***      143  
  

MOLINA HEALTHCARE INC

      ***      715  
  

MOOG INC CLASS A

      ***      380  
  

MURPHY USA INC

      ***      294  
  

MYOKARDIA INC

      ***      117  
  

NCR CORPORATION

      ***      158  
  

NANOMETRICS INC

      ***      159  
  

NATUS MEDICAL INC

      ***      95  
  

NEKTAR THERAPEUTICS

      ***      133  
  

NETSCOUT SYSTEMS INC

      ***      93  
  

NEUROCRINE BIOSCIENCES INC

      ***      240  
  

NEWMARKET CORP

      ***      200  
  

NORDSON CORP

      ***      251  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-24


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

NOVANTA INC

      ***      403  
  

NU SKIN ENTERPRISES INC A

      ***      137  
  

NUVASIVE INC

      ***      249  
  

OSI SYSTEMS INC

      ***      230  
  

OCEANEERING INTL INC

      ***      47  
  

OLD DOMINION FREIGHT LINE

      ***      374  
  

OMNICELL INC

      ***      328  
  

ORMAT TECHNOLOGIES INC

      ***      290  
  

PBF ENERGY INC CLASS A

      ***      294  
  

PDC ENERGY INC

      ***      189  
  

PRA HEALTH SCIENCES INC

      ***      531  
  

PRA GROUP INC

      ***      114  
  

PS BUSINESS PARKS INC/CA

      ***      189  
  

PTC INC

      ***      346  
  

PACIRA BIOSCIENCES INC

      ***      88  
  

PAPA JOHN S INTL INC

      ***      205  
  

PATRICK INDUSTRIES INC

      ***      184  
  

PEBBLEBROOK HOTEL TRUST

      ***      52  
  

PEGASYSTEMS INC

      ***      298  
  

PENN NATIONAL GAMING INC

      ***      143  
  

PENUMBRA INC

      ***      281  
  

PERFORMANCE FOOD GROUP CO

      ***      425  
  

PHIBRO ANIMAL HEALTH CORP A

      ***      155  
  

PLANTRONICS INC

      ***      117  
  

POLYONE CORPORATION

      ***      217  
  

POOL CORP

      ***      586  
  

POST HOLDINGS INC

      ***      375  
  

PRESTIGE CONSUMER HEALTHCARE

      ***      250  
  

PRIMERICA INC

      ***      542  
  

PROOFPOINT INC

      ***      308  
  

QUAKER CHEMICAL CORP

      ***      178  
  

QUALYS INC

      ***      366  
  

RPC INC

      ***      75  
  

RADIAN GROUP INC

      ***      150  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-25


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

REALPAGE INC

      ***      367  
  

REPLIGEN CORP

      ***      246  
  

ROLLINS INC

      ***      476  
  

RUTH S HOSPITALITY GROUP INC

      ***      229  
  

SLM CORP

      ***      176  
  

SS+C TECHNOLOGIES HOLDINGS

      ***      441  
  

SVB FINANCIAL GROUP

      ***      165  
  

SAGE THERAPEUTICS INC

      ***      278  
  

JOHN B. SANFILIPPO + SON INC

      ***      112  
  

SAREPTA THERAPEUTICS INC

      ***      458  
  

SCIENCE APPLICATIONS INTE

      ***      328  
  

SCOTTS MIRACLE GRO CO

      ***      184  
  

SEATTLE GENETICS INC

      ***      120  
  

SERVICE CORP INTERNATIONAL

      ***      528  
  

SERVICEMASTER GLOBAL HOLDING

      ***      415  
  

SHUTTERFLY INC

      ***      103  
  

SIGNATURE BANK

      ***      162  
  

SIX FLAGS ENTERTAINMENT CORP

      ***      206  
  

SOTHEBY S

      ***      107  
  

SPARK THERAPEUTICS INC

      ***      96  
  

SPROUTS FARMERS MARKET INC

      ***      308  
  

STAMPS.COM INC

      ***      344  
  

STANDEX INTERNATIONAL CORP

      ***      60  
  

STEPAN CO

      ***      115  
  

STRATEGIC EDUCATION INC

      ***      172  
  

SUPERNUS PHARMACEUTICALS INC

      ***      202  
  

SYNEOS HEALTH INC

      ***      110  
  

TABULA RASA HEALTHCARE INC

      ***      147  
  

TAKE TWO INTERACTIVE SOFTWRE

      ***      565  
  

TECH DATA CORP

      ***      131  
  

TELEDYNE TECHNOLOGIES INC

      ***      788  
  

TERRENO REALTY CORP

      ***      243  
  

TESARO INC

      ***      147  
  

TEXAS ROADHOUSE INC

      ***      442  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-26


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity date

   (d) Cost    (e) Current
Value
 
  

THERAPEUTICSMD INC

      ***      56  
  

TORO CO

      ***      467  
  

TRANSUNION

      ***      404  
  

TREEHOUSE FOODS INC

      ***      179  
  

TYLER TECHNOLOGIES INC

      ***      407  
  

U.S. PHYSICAL THERAPY INC

      ***      304  
  

ULTIMATE SOFTWARE GROUP INC

      ***      347  
  

ULTRAGENYX PHARMACEUTICAL IN

      ***      133  
  

UNIFIRST CORP/MA

      ***      215  
  

UNIVAR INC

      ***      145  
  

UNIVERSAL INSURANCE HOLDINGS

      ***      209  
  

US ECOLOGY INC

      ***      273  
  

VAIL RESORTS INC

      ***      572  
  

VEEVA SYSTEMS INC CLASS A

      ***      276  
  

VERSUM MATERIALS INC

      ***      250  
  

VISTEON CORP

      ***      207  
  

GSTIF 25 BPS

      ***      458  
  

WATSCO INC

      ***      267  
  

WEIGHT WATCHERS INTL INC

      ***      112  
  

WELLCARE HEALTH PLANS INC

      ***      397  
  

WEST PHARMACEUTICAL SERVICES

      ***      395  
  

WEX INC

      ***      419  
  

WOODWARD INC

      ***      273  
  

WORTHINGTON INDUSTRIES

      ***      119  
  

WPX ENERGY INC

      ***      417  
  

XPO LOGISTICS INC

      ***      294  
  

XENCOR INC

      ***      166  
  

ZEBRA TECHNOLOGIES CORP CL A

      ***      531  
  

ALKERMES PLC

      ***      72  
  

ARRIS INTERNATIONAL PLC

      ***      147  
  

CARDTRONICS PLC A

      ***      179  
  

HELEN OF TROY LTD

      ***      482  
  

ICHOR HOLDINGS LTD

      ***      58  
  

JAZZ PHARMACEUTICALS PLC

      ***      92  

 

*

Indicates party-in-interest.

**

These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.

***

Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-27


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date,
rate of interest, collateral, par or maturity date
     (d) Cost      (e) Current
Value
 
  

LIVANOVA PLC

              ***        320  
  

THERAVANCE BIOPHARMA INC

              ***        98  
  

TRAVELPORT WORLDWIDE LTD

              ***        187  
  

CRISPR THERAPEUTICS AG

              ***        54  
  

MELLANOX TECHNOLOGIES LTD

              ***        531  
  

UNIQURE NV

              ***        58  
  

WAVE LIFE SCIENCES LTD

              ***        54  
                 

 

 

 
        Subtotal QM Small Cap Fund      $ 74,289  
                 

 

 

 
                 
                 

 

 

 
        Total All Mutual Funds      $ 869,799  
                 

 

 

 
  

Large Cap Equities

              
  

State Street Bk + Tr Co

              ***        517,220  
                 

 

 

 
        Subtotal State Street      $ 517,220  
                 

 

 

 
  

Separate Account GIC

              
  

New York Life

              ***        96,676  
                 

 

 

 
        Subtotal Separate Account GIC      $ 96,676  
                 

 

 

 
          Interest Rate      Maturity      Par
Value
               
   Shared Holdings (aa) - HIMCO Bond Fund               
  

ABB Finance USA Inc

     3.80      4/3/2028        1,000        ***        1,015  
  

AEP Texas Inc

     2.40      10/1/2022        750        ***        727  
  

AT+T Inc

     3.40      5/15/2025        1,500        ***        1,412  
  

AT+T Inc

     3.95      5/15/2025        225        ***        220  
  

Abbvie Inc

     2.85      5/14/2023        825        ***        795  
  

Chubb Ina Holdings Inc

     2.70      3/13/2023        725        ***        708  
  

American Express Co

     3.00      10/30/2024        1,250        ***        1,196  
  

American Intl Group

     3.75      7/10/2025        1,000        ***        957  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

Anheuser Busch Co

     3.65     2/1/2026        1,000      ***     946  
  

Apple Inc

     2.40     5/3/2023        685      ***     662  
  

Astrazeneca Plc

     3.50     8/17/2023        850      ***     846  
  

Aventura Mall Trust Avmt 2013

     3.74     12/5/2032        400      ***     404  
  

BAT Capital Corp

     3.22     8/15/2024        500      ***     461  
  

BB+T Corporation

     2.45     1/15/2020        600      ***     596  
  

BP Capital Markets Plc

     3.81     2/10/2024        655      ***     661  
  

Burlingtn No

     4.83     1/15/2023        194      ***     198  
  

Bank of America Corp

     3.30     1/11/2023        1,210      ***     1,192  
  

Bank of America Corp

     3.88     1/11/2023        500      ***     495  
  

Bank of NY Mellon Corp

     3.25     9/11/2024        885      ***     874  
  

Bayer US Finance LLC

     3.38     10/8/2024        820      ***     773  
  

Bayer US Finance II LLC

     4.25     12/15/2025        1,000      ***     973  
  

Branch Banking + Trust

     2.85     4/1/2021        510      ***     506  
  

Berkshire Hathaway Inc

     2.20     3/15/2021        500      ***     493  
  

British Columbia Prov Of

     2.65     9/22/2021        330      ***     330  
  

Burlingtn No Sf

     3.40     9/1/2024        480      ***     481  
  

Cigna Holding Co

     4.50     3/15/2021        300      ***     307  
  

Cigna Holding Co

     4.00     3/15/2021        290      ***     293  
  

Comm Mortgage Trust 2016

     3.76     2/10/2049        1,000      ***     1,012  
  

Comm Mortgage Trust 2013

     1.87     2/10/2049        57      ***     55  
  

Comm Mortgage Trust 2014

     3.01     2/10/2049        454      ***     453  
  

CSAIL Commercial Mortgage Trus

     3.81     11/15/2048        1,000      ***     1,013  
  

CVS Health Corp

     3.50     7/20/2022        390      ***     387  
  

CVS Health Corp

     2.13     7/20/2022        500      ***     482  
  

California ST CAS

     2.37     4/1/2022        1,000      ***     985  
  

Canadian Pacific RR

     7.25     5/15/2019        250      ***     254  
  

Capital One Financial Co

     3.75     3/9/2027        1,000      ***     929  
  

Capital One Multi Asset

     1.99     7/17/2023        1,000      ***     984  
  

Caterpillar Finl Service

     3.45     5/15/2023        1,000      ***     1,005  
  

Centerpoint Energey Transition

     2.16     10/15/2021        97      ***     96  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-29


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

Chase Issuance Trust

     1.58     8/15/2021        467      ***     463  
  

Chevron Corp

     2.36     12/5/2022        640      ***     620  
  

Chevron Corp

     2.43     12/5/2022        280      ***     278  
  

CISCO Systems

     2.20     2/28/2021        1,053      ***     1,039  
  

Citigroup Inc

     3.88     10/25/2023        500      ***     501  
  

Citigroup Inc

     2.70     10/25/2023        1,000      ***     985  
  

Citizens Bank

     3.70     3/29/2023        465      ***     467  
  

Comcast Corp

     3.95     10/15/2025        898      ***     909  
  

Commonwealth Edison Co

     2.95     8/15/2027        1,000      ***     962  
  

Cooperat Rabobank Ua/Ny

     2.25     1/14/2019        355      ***     355  
  

Delta Air Lines 2010 2A

     4.95     11/23/2020        55      ***     55  
  

Dell Int Llc / Emc Corp

     5.45     6/15/2023        1,015      ***     1,033  
  

Discover Card Execution Note

     1.88     2/15/2023        1,000      ***     984  
  

Walt Disney Company/The

     2.35     12/1/2022        650      ***     631  
  

Dowdupont Inc

     4.73     11/15/2028        750      ***     774  
  

EMD Finance LLC

     2.95     3/19/2022        840      ***     828  
  

Eversource Energy

     2.75     3/15/2022        500      ***     491  
  

Eversource Energy

     2.90     3/15/2022        500      ***     479  
  

Exxon Mobil Corporation

     2.22     3/1/2021        1,000      ***     986  
  

Fed Hm Ln Pc Pool G01629

     6.00     10/1/2033        9      ***     10  
  

Fed Hm Ln Pc Pool A77952

     5.00     5/1/2038        7      ***     8  
  

Fed Hm Ln Pc Pool G14174

     5.00     3/1/2025        27      ***     27  
  

Fed Hm Ln Pc Pool J00617

     5.50     12/1/2020        8      ***     8  
  

Fed Hm Ln Pc Pool J00921

     5.00     12/1/2020        2      ***     2  
  

Fed Hm Ln Pc Pool J01060

     5.00     1/1/2021        4      ***     4  
  

Fed Hm Ln Pc Pool C03506

     6.00     5/1/2040        118      ***     127  
  

Fed Hm Ln Pc Pool A11544

     5.50     6/1/2033        8      ***     8  
  

Fed Hm Ln Pc Pool A15942

     6.00     11/1/2033        5      ***     5  
  

Fed Hm Ln Pc Pool B19557

     5.50     7/1/2020        20      ***     20  
  

Fed Hm Ln Pc Pool A26586

     6.00     9/1/2034        7      ***     8  
  

Fed Hm Ln Pc Pool J38826

     3.50     5/1/2033        541      ***     548  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-30


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

Fed Hm Ln Pc Pool Q02688

     4.00     8/1/2041        132      ***     136  
  

Fed Hm Ln Pc Pool V82942

     3.00     2/1/2047        2,055      ***     2,005  
  

Fed Hm Ln Pc Pool Q55851

     5.00     5/1/2048        998      ***     1,059  
  

Fed Hm Ln Pc Pool Q59600

     4.50     11/1/2048        2,422      ***     2,514  
  

Fed Hm Ln Pc Pool G60948

     3.00     1/1/2047        1,592      ***     1,552  
  

Fed Hm Ln Pc Pool G11868

     5.50     7/1/2020        11      ***     11  
  

FannieMae ACES FNA

     3.35     3/25/2024        870      ***     887  
  

FNMA Pool 357821

     6.00     5/1/2035        124      ***     135  
  

FHLMC Multifamily Structured

     2.57     9/25/2020        994      ***     989  
  

FNMA Pool 555417

     6.00     5/1/2033        32      ***     35  
  

FNMA Pool 555591

     5.50     7/1/2033        37      ***     40  
  

FNMA Pool AJ5733

     3.50     12/1/2041        1,572      ***     1,584  
  

FNMA Pool AL0194

     4.00     1/1/2041        797      ***     821  
  

FNMA Pool AP0632

     2.50     7/1/2027        383      ***     378  
  

FNMA Pool AR9436

     4.00     8/1/2043        14      ***     14  
  

FNMA Pool AS8764

     2.50     2/1/2032        1,195      ***     1,167  
  

FNMA Pool AV2357

     4.00     1/1/2044        1,268      ***     1,308  
  

FNMA Pool AW1007

     4.00     5/1/2044        1,125      ***     1,156  
  

FNMA Pool AW5067

     4.50     7/1/2044        2,221      ***     2,316  
  

FNMA Pool AY5415

     4.00     3/1/2045        2,157      ***     2,224  
  

FNMA Pool 725704

     6.00     8/1/2034        25      ***     28  
  

FNMA Pool 730716

     6.00     8/1/2033        20      ***     22  
  

FNMA Pool 734059

     5.50     8/1/2033        7      ***     7  
  

FNMA Pool 745932

     6.50     11/1/2036        50      ***     57  
  

FNMA Pool 756154

     6.00     11/1/2033        29      ***     32  
  

FNMA Pool 792191

     5.50     9/1/2034        35      ***     38  
  

FNMA Pool 805176

     5.50     1/1/2020        14      ***     14  
  

FNMA Pool BC1212

     3.00     7/1/2046        3,519      ***     4,005  
  

FNMA Pool BC4750

     4.00     10/1/2046        703      ***     717  
  

FNMA Pool BC6121

     4.00     6/1/2046        628      ***     641  
  

FNMA Pool BC9364

     3.50     6/1/2046        3,411      ***     3,921  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-31


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

FNMA Pool BD3312

     3.00     10/1/2046        496      ***     484  
  

FNMA Pool BJ0852

     4.50     11/1/2047        2,805      ***     2,907  
  

FNMA Pool BJ0687

     5.00     4/1/2048        1,383      ***     1,449  
  

FNMA Pool BJ1991

     4.00     11/1/2047        531      ***     542  
  

FNMA Pool BJ8271

     4.50     2/1/2048        1,153      ***     1,210  
  

FNMA Pool BK1027

     3.50     3/1/2048        638      ***     638  
  

FNMA Pool BK6599

     5.00     8/1/2048        1,153      ***     1,212  
  

FNMA Pool 888341

     5.00     2/1/2037        55      ***     58  
  

FNMA Pool 888022

     5.00     2/1/2036        83      ***     88  
  

FNMA Pool 890528

     5.50     6/1/2039        79      ***     85  
  

FNMA Pool 908560

     5.50     1/1/2022        2      ***     2  
  

FNMA Pool 944026

     6.50     8/1/2037        130      ***     145  
  

FNMA Pool AA4266

     4.50     5/1/2024        12      ***     13  
  

FNMA Pool AB0536

     6.00     2/1/2037        50      ***     55  
  

FNMA Pool Ma1543

     3.50     8/1/2033        1,149      ***     1,170  
  

Fifth Third Bank

     2.88     10/1/2021        635      ***     628  
  

Ford Credit Auto Owner Trust/F

     2.26     11/15/2025        360      ***     359  
  

GNMA II Pool MA2754

     3.50     4/20/2045        1,200      ***     1,210  
  

GNMA II Pool MA2892

     3.50     6/20/2045        520      ***     524  
  

GNMA II Pool MA5190

     3.00     5/20/2048        1,555      ***     1,532  
  

GNMA II Pool MA5191

     3.50     5/20/2048        310      ***     312  
  

GNMA II Pool MA5192

     4.00     5/20/2048        440      ***     451  
  

GNMA II Pool MA5193

     4.50     5/20/2048        381      ***     394  
  

GNMA Pool 569327

     6.50     4/15/2032        88      ***     100  
  

GNMA Pool 580880

     6.50     11/15/2031        19      ***     20  
  

GNMA Pool 003624

     5.50     10/20/2034        36      ***     38  
  

GNMA Pool 004599

     5.00     12/20/2039        125      ***     133  
  

GNMA Pool 434787

     8.00     5/15/2030        10      ***     10  
  

GNMA Pool 485856

     6.50     10/15/2031        8      ***     9  
  

GNMA Pool 726316

     5.00     9/15/2039        136      ***     145  
  

GNMA Pool 737651

     5.00     11/15/2040        65      ***     68  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-32


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

GNMA Pool 510403

     5.00     1/15/2035        11      ***     12  
  

GNMA Pool 510844

     8.00     12/15/2029        1      ***     1  
  

GNMA Pool 533946

     6.50     4/15/2032        4      ***     5  
  

GNMA Pool 550887

     5.00     8/15/2035        16      ***     17  
  

GNMA Pool 551077

     6.50     11/15/2031        6      ***     7  
  

GNMA Pool 551120

     6.50     8/15/2031        23      ***     26  
  

GNMA Pool 552571

     6.50     5/15/2032        6      ***     6  
  

GM Financial

     2.46     7/17/2023        300      ***     296  
  

GNMA Pool 622278

     5.00     4/15/2035        10      ***     11  
  

GNMA Pool 631242

     5.50     6/15/2035        63      ***     69  
  

GNMA Pool 641601

     5.00     3/15/2035        21      ***     22  
  

GNMA Pool 646865

     5.00     8/15/2035        13      ***     14  
  

GE Commerical Mortgage

     0.00     3/10/2044        17,604      ***     0  
  

General Dynamics Corp

     3.50     5/15/2025        1,500      ***     1,494  
  

General Electric Co

     2.70     10/9/2022        875      ***     812  
  

General Electric Co

     3.10     10/9/2022        459      ***     428  
  

General Mills Inc

     4.00     4/17/2025        625      ***     615  
  

Gilead Sciences Inc

     3.25     9/1/2022        950      ***     948  
  

Glaxosmithkline Cap Inc

     3.63     5/15/2025        680      ***     684  
  

Goldman Sachs Group Inc

     4.00     3/3/2024        560      ***     553  
  

Goldman Sachs Group Inc

     2.88     3/3/2024        500      ***     491  
  

Goldman Sachs Group Inc

     2.35     3/3/2024        815      ***     786  
  

Government National Mortgage A

     3.50     7/20/2023        240      ***     244  
  

Government National Mortgage A

     5.00     7/20/2023        51      ***     54  
  

Government National Mortgage A

     2.30     7/20/2023        899      ***     832  
  

Government National Mortgage A

     2.50     7/20/2023        1,125      ***     1,056  
  

HSBC Holdings Plc

     3.95     5/18/2024        2,000      ***     1,989  
  

Welltower Inc

     4.95     1/15/2021        296      ***     303  
  

HP Enterprise

     4.40     10/15/2022        465      ***     472  
  

Home Depot Inc

     2.00     4/1/2021        578      ***     567  
  

Ingersoll Rand GL

     3.75     8/21/2028        750      ***     730  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-33


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

JPMorgan Chase + Co

     2.30     8/15/2021        820      ***     800  
  

JPMorgan Chase + Co

     3.25     8/15/2021        270      ***     268  
  

JPMorgan Chase + Co

     2.70     8/15/2021        250      ***     240  
  

JPMBB Commercial Mortgage Secu

     3.05     4/15/2047        428      ***     427  
  

JPMBB Commercial Mortgage Secu

     3.80     4/15/2047        1,000      ***     1,017  
  

JP Morgan Mortgage Trust

     3.00     10/25/2046        651      ***     641  
  

Johnson + Johnson

     1.65     3/1/2021        1,000      ***     974  
  

Johnson + Johnson

     2.63     3/1/2021        500      ***     482  
  

JP Morgan Chase

     2.97     8/15/2021        480      ***     468  
  

KLA Tencor Corp

     4.65     11/1/2024        700      ***     717  
  

Kaiser Foundation Hospit Company

     3.50     4/1/2022        431      ***     438  
  

Kansas Gas + Electric Co

     6.70     6/15/2019        147      ***     149  
  

Keycorp

     2.90     9/15/2020        750      ***     744  
  

Ladder Captial Commercial Mort LCCM

     3.39     5/15/2031        580      ***     582  
  

Lincoln National Corp

     3.80     3/1/2028        750      ***     727  
  

Lloyds Banking Group Plc

     3.75     1/11/2027        500      ***     459  
  

Lloyds Bank Plc Company

     5.80     1/13/2020        490      ***     502  
  

McDonald S Corp

     3.70     1/30/2026        393      ***     385  
  

McKesson Corp

     2.70     12/15/2022        145      ***     140  
  

McKesson Corp

     3.95     12/15/2022        750      ***     719  
  

Medtronic Inc Company

     3.15     3/15/2022        565      ***     563  
  

Microsoft Corp

     3.30     2/6/2027        1,000      ***     991  
  

Mitsubishi UFJ Fin Grp

     2.95     3/1/2021        239      ***     237  
  

Mitsubishi UFJ Fin Grp

     3.29     3/1/2021        500      ***     478  
  

Morgan Stanley Baml Trust

     2.92     2/15/2047        149      ***     149  
  

Morgan Stanley

     3.88     1/27/2026        1,250      ***     1,219  
  

Morgan Stanley

     5.63     1/27/2026        250      ***     254  
  

Nationwide Financial Ser

     5.38     3/25/2021        329      ***     341  
  

NBCUniversal Media

     4.38     4/1/2021        409      ***     419  
  

Niagara Mohawk Power

     3.51     10/1/2024        735      ***     739  
  

Nordea Bank ABP

     2.50     9/17/2020        830      ***     819  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-34


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

Nordea Bank ABP Subordinated

     4.88     9/17/2020        500      ***     509  
  

Oracle Corp

     3.40     7/8/2024        875      ***     873  
  

PNC Bank

     3.80     7/25/2023        520      ***     522  
  

PNC Bank

     2.20     7/25/2023        635      ***     635  
  

Penske Truck Leasing

     4.20     4/1/2027        250      ***     244  
  

Qualcomm Inc

     2.90     5/20/2024        1,000      ***     952  
  

Province of Quebec

     2.75     8/25/2021        390      ***     390  
  

Shell International Fin Company

     2.25     1/6/2023        950      ***     914  
  

Small Business Administration

     2.86     3/1/2020        76      ***     76  
  

Small Business Administration

     2.87     3/1/2020        74      ***     74  
  

Small Business Administration

     2.44     3/1/2020        163      ***     162  
  

Small Business Administration

     1.97     3/1/2020        121      ***     121  
  

Small Business Administration

     2.21     3/1/2020        449      ***     437  
  

Small Business Administration

     3.11     3/1/2020        626      ***     627  
  

Small Business Administration

     2.87     3/1/2020        417      ***     415  
  

Small Business Administration

     2.88     3/1/2020        388      ***     386  
  

Small Business Administration

     2.72     3/1/2020        322      ***     314  
  

Small Business Administration

     2.77     3/1/2020        426      ***     416  
  

Small Business Administration

     2.88     3/1/2020        856      ***     842  
  

Small Business Administration

     2.82     3/1/2020        559      ***     548  
  

Small Business Administration

     2.82     3/1/2020        561      ***     550  
  

Small Business Administration

     2.70     3/1/2020        734      ***     713  
  

Small Business Administration

     2.27     3/1/2020        835      ***     795  
  

State Street Corp

     3.30     12/16/2024        575      ***     570  
  

Sumitomo Mitsui Finl Grp

     2.63     7/14/2026        500      ***     457  
  

Suntrust Banks Inc

     2.90     3/3/2021        250      ***     248  
  

Svenska Handelsbanken Ab

     2.25     6/17/2019        630      ***     627  
  

Svenska Handelsbanken Ab

     2.45     6/17/2019        500      ***     490  
  

Warner Media LLC

     4.00     1/15/2022        70      ***     71  
  

Warner Media LLC

     3.55     1/15/2022        400      ***     386  
  

Time Warner Cable LLC

     8.25     4/1/2019        283      ***     286  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-35


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

   (c) Description of investment including maturity date, rate
of interest, collateral, par or  maturity date
     (d) Cost   (e) Current
Value
 
  

Toyota Motor Credit Corp

     3.20     1/11/2027        694      ***     674  
  

Toyota Motor Credit Corp

     2.90     1/11/2027        500      ***     487  
  

21st Century Fox America Company

     4.50     2/15/2021        650      ***     667  
  

UBS AG Stamford Ct

     2.38     8/14/2019        1,115      ***     1,110  
  

US Bancorp

     3.15     4/27/2027        1,000      ***     958  
  

US Treasury N/B

     1.50     7/15/2020        7,000      ***     6,890  
  

US Treasury N/B

     1.88     7/15/2020        8,000      ***     7,834  
  

US Treasury N/B

     2.88     7/15/2020        2,500      ***     2,539  
  

US Treasury N/B

     1.63     7/15/2020        5,250      ***     5,198  
  

US Treasury N/B

     1.38     7/15/2020        5,000      ***     4,927  
  

US Treasury N/B

     1.38     7/15/2020        5,000      ***     4,898  
  

US Treasury N/B

     1.63     7/15/2020        4,574      ***     4,282  
  

US Treasury N/B

     1.13     7/15/2020        5,000      ***     4,856  
  

US Treasury N/B

     1.63     7/15/2020        2,000      ***     1,929  
  

US Treasury N/B

     1.63     7/15/2020        2,500      ***     2,335  
  

US Treasury N/B

     1.75     7/15/2020        —        ***     —    
  

US Treasury N/B

     1.13     7/15/2020        8,000      ***     7,730  
  

US Treasury N/B

     1.00     7/15/2020        6,750      ***     6,678  
  

United Technologies Corp

     3.13     5/4/2027        1,000      ***     924  
  

UnitedHealth Group Inc

     2.13     3/15/2021        500      ***     490  
  

UnitedHealth Group Inc

     3.38     3/15/2021        555      ***     543  
  

Univ of California CA Revenues

     3.06     7/1/2025        500      ***     493  
  

Verizon Communications

     4.33     9/21/2028        721      ***     724  
  

Virginia Elec + Power Co

     3.50     3/15/2027        500      ***     492  
  

Vodafone Group

     4.13     5/30/2025        1,000      ***     988  
  

GSTIF 25 Bps

     2.14     12/31/2050        ***      ***     15,866  
  

Walmart Inc

     3.30     4/22/2024        380      ***     381  
  

Wells Fargo + Company

     2.50     3/4/2021        1,000      ***     984  
  

Wells Fargo + Company

     3.30     3/4/2021        1,030      ***     996  
  

Westlake Chemical Corp

     3.60     7/15/2022        576      ***     570  
  

WF RBS Commercial Mortgage Tru

     2.86     3/15/2047        99      ***     99  

 

*

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.

(aa)

Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.

(bb)

Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-36


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, 2018

($ IN THOUSANDS)

 

(a)

  

(b) Identity of issue, borrorwer, lessor,

or similar party

  (c) Description of investment including maturity date, rate of interest, collateral, par or maturity date     (d) Cost     (e) Current
Value
 
  

Xcel Energy Inc

    3.35     12/1/2026       1,000       ***       970  
  

Glencore Finance Canada Company

    4.25     10/25/2022       550       ***       548  
  

Yara International Asa

    7.88     6/11/2019       285       ***       290  
            

 

 

 
      

 

Subtotal HIMCO Bond Fund

 

  $ 220,225  
            

 

 

 
            
            
         Interest Rate     Maturity     Par
Value
             
   Shared Holdings (bb) - BNY Mellon Bond Fund          
  

BlackRock

    BlackRock 1-3 Year Credit Bond Index Fund     ***       38,679  
  

BlackRock

    BlackRock Asset-Backed Securities Index Fund     ***       26,043  
  

BlackRock

    BlackRock Intermediate Term Credit Bond Index Fund       ***       11,541  
  

BlackRock

    BlackRock Mortgage-Backed Securities Index Fund       ***       33,636  
  

BlackRock

    BlackRock Commercial Mortgage-Backed Securities Fund       ***       5,101  
  

BlackRock

    BlackRock Intermediate Government Bond Index Fund       ***