0001144204-13-054430.txt : 20131008 0001144204-13-054430.hdr.sgml : 20131008 20131008154748 ACCESSION NUMBER: 0001144204-13-054430 CONFORMED SUBMISSION TYPE: N-CSRS/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20130430 FILED AS OF DATE: 20131008 DATE AS OF CHANGE: 20131008 EFFECTIVENESS DATE: 20131008 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARTFORD MUTUAL FUNDS INC/CT CENTRAL INDEX KEY: 0001006415 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CSRS/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07589 FILM NUMBER: 131141406 BUSINESS ADDRESS: STREET 1: P O BOX 2999 CITY: HARTFORD STATE: CT ZIP: 06104-2999 BUSINESS PHONE: 860-843-9934 MAIL ADDRESS: STREET 1: P O BOX 2999 CITY: HARTFORD STATE: CT ZIP: 06104-2999 FORMER COMPANY: FORMER CONFORMED NAME: ITT HARTFORD MUTUAL FUNDS INC DATE OF NAME CHANGE: 19960226 FORMER COMPANY: FORMER CONFORMED NAME: HARTFORD MUTUAL FUNDS INC DATE OF NAME CHANGE: 19960126 0001006415 S000003596 THE HARTFORD SHORT DURATION FUND C000010008 Class A HSDAX C000010009 Class B HSDBX C000010010 Class C HSDCX C000010011 Class Y HSDYX C000085295 Class I HSDIX C000105490 Class R3 HSDRX C000105491 Class R4 HSDSX C000105492 Class R5 HSDTX 0001006415 S000017747 THE HARTFORD STRATEGIC INCOME FUND C000048999 Class C HSNCX C000049000 Class I HSNIX C000049001 Class A HSNAX C000049002 Class B HSNBX C000052097 Class Y HSNYX C000105493 Class R3 HSNRX C000105494 Class R4 HSNSX C000105495 Class R5 HSNTX N-CSRS/A 1 v356424_n-csrsa.htm N-CSRS/A

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM N-CSR/A

 

CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES

 

Investment Company Act file number: 811-07589

 

THE HARTFORD MUTUAL FUNDS, INC.
(Exact name of registrant as specified in charter)

 

P.O. Box 2999, Hartford, Connecticut 06104-2999

(Address of Principal Executive Offices)(Zip Code)

 

Edward P. Macdonald, Esquire

Hartford Funds Management Company, LLC

5 Radnor Corporate Center, Suite 300

100 Matsonford Road

Radnor, PA 19087

(Name and Address of Agent for Service)

Registrant’s telephone number, including area code: (860) 843-9934

 

Date of fiscal year end: October 31

 

Date of reporting period: November 1, 2012 - April 30, 2013

 

Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under Rule 30e-1 under the Investment Company Act of 1940 (17 CFR 270.30e-1). The Commission may use the information provided on Form N-CSR in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-CSR, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-CSR unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

Explanatory Note:

 

The Registrant is filing this amendment to its Form N-CSR (the “Amendment”) for the period ended April 30, 2013, originally filed with the U.S. Securities and Exchange Commission on July 3, 2013 (Accession Number 0001144204-13-038036) (“Original Filing”), to amend Item 1, “Reports to Stockholders.” The purpose of the Amendment is to correct certain bank loan rates that were included within the security description for certain investments listed in the Schedule of Investments for The Hartford Short Duration Fund and The Hartford Strategic Income Fund. Other than the aforementioned revision, the Amendment does not reflect events occurring after the Original Filing, or modify or update the disclosures therein in any way.

 

Item 1 (as supplemented further herein) to the Amendment is incorporated by reference to the semi-annual reports for The Hartford Short Duration Fund and The Hartford Strategic Income Fund contained in Item 1 of the Original Filing. Item 2 through Item 5 and Item 7 through Item 12(a)(1) to the Amendment are incorporated by reference to the Original Filing.

 

 
 

 

Item 1. Reports to Stockholders

 

SUPPLEMENT

 

DATED OCTOBER 8, 2013 TO THE FOLLOWING SEMI-ANNUAL REPORTS DATED APRIL 30, 2013:

 

THE HARTFORD SHORT DURATION FUND

THE HARTFORD STRATEGIC INCOME FUND 

(EACH OF THE ABOVE IS A SERIES OF THE HARTFORD MUTUAL FUNDS, INC.)

 

This Supplement revises information contained in the Semi-Annual Reports to shareholders listed above and should be read in conjunction with the Semi-Annual Reports to shareholders.

 

1.The following replaces in its entirety the Schedule of Investments appearing under the heading “Schedule of Investments, April 30, 2013 (Unaudited)” starting on page 5 of the Semi-Annual Report for The Hartford Short Duration Fund.

 

The Hartford Short Duration Fund
Schedule of Investments
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
ASSET & COMMERCIAL MORTGAGE BACKED SECURITIES - 20.4%     
Finance and Insurance - 19.2%     
     Captive Auto Finance - 5.3%     
     Ally Automotive Receivables Trust     
$1,700   0.70%, 12/21/2015  $1,702 
 1,000   2.29%, 11/16/2015 ■   1,017 
 1,500   3.29%, 03/15/2015 ■   1,528 
     Ally Master Owner Trust     
 1,280   1.00%, 02/15/2018   1,284 
 1,975   1.21%, 06/15/2017   1,992 
 2,695   1.54%, 09/15/2019   2,717 
     AmeriCredit Automobile Receivables Trust     
 2,775   0.62%, 06/08/2017   2,777 
     Carmax Automotive Owner Trust     
 395   1.50%, 08/15/2018   396 
     Credit Acceptance Automotive Loan Trust     
 1,115   2.20%, 09/16/2019 ■   1,132 
     Ford Credit Automotive Owner Trust     
 2,500   2.62%, 10/15/2016   2,586 
     Ford Credit Floorplan Master Owner Trust     
 2,300   0.74%, 09/15/2016   2,306 
     Harley-Davidson Motorcycle Trust     
 500   1.99%, 01/15/2016   503 
     Hyundai Automotive Receivables Trust     
 650   1.65%, 02/15/2017   661 
 2,100   2.27%, 02/15/2017 ‡   2,158 
     Mercedes-Benz Master Owner Trust     
 1,560   0.79%, 11/15/2017 ■   1,563 
     Motor plc     
 345   1.29%, 02/25/2020 ■   346 
     Prestige Automotive Receivables Trust     
 876   1.23%, 12/15/2015 ■   879 
     SNAAC Automotive Receivables Trust     
 725   1.14%, 07/16/2018 ■   725 
     Volvo Financial Equipment LLC     
 1,836   0.91%, 08/17/2015 ■   1,842 
     World Omni Automotive Receivables Trust     
 1,500   2.33%, 09/15/2016 ‡   1,530 
         29,644 
     Credit Card Issuing - 0.6%     
     American Express Credit Account Master Trust     
 2,072   0.77%, 05/15/2018   2,078 
     Master Credit Card Trust     
 1,365   0.78%, 04/21/2017 ■   1,370 
         3,448 
     Other Financial Investment Activities - 0.6%     
     Apidos CDO     
 2,250   1.38%, 04/15/2025 ■Δ   2,250 
     Carlyle Global Market Strategies     
 870   1.46%, 04/18/2025 ■Δ   870 
         3,120 
     Real Estate Credit (Mortgage Banking) - 12.7%     
     Atrium CDO Corp.     
 1,860   1.40%, 07/16/2025 ■☼Δ   1,857 
     Avis Budget Rental Car Funding AESOP LLC     
 1,800   1.85%, 11/20/2013 ■   1,811 
     Bayview Commercial Asset Trust     
 6,450   3.00%, 01/25/2037 ■►   229 
 6,736   7.37%, 09/25/2037 ■►   620 
     CBA Commercial Small Balance Commercial Mortgage     
 5,818   8.52%, 01/25/2039 ■►   29 
     CFCRE Commercial Mortgage Trust     
 1,500   3.76%, 04/15/2044 ■   1,604 
     Chesapeake Funding LLC     
 1,185   0.95%, 11/07/2023 ■Δ   1,190 
     CIFC Funding Ltd.     
 2,125   1.44%, 04/16/2025 ■Δ   2,125 
     Citigroup Commercial Mortgage Trust     
 2,115   0.69%, 09/10/2045   2,114 
     Commercial Mortgage Pass-Through Certificates     
 1,120   0.67%, 11/15/2045   1,121 
 1,503   0.70%, 10/15/2045   1,505 
 1,148   0.82%, 08/15/2045   1,152 
 2,454   3.16%, 11/01/2015 ■   2,576 
     DBUBS Mortgage Trust     
 3,056   2.05%, 01/01/2021 ■►   139 
 1,345   3.64%, 08/10/2044   1,455 
 2,500   3.74%, 11/10/2046 ■   2,682 
     Equity One ABS, Inc.     
 20   2.70%, 07/25/2034 Δ    
     GE Dealer Floorplan Master Note Trust     
 2,000   0.64%, 10/20/2017 Δ   2,004 
     GMAC Commercial Mortgage Securities, Inc.     
 519   6.50%, 05/15/2035 ■   518 
     Goldman Sachs Mortgage Securities Corp. II     
 886   5.28%, 08/10/2038   893 
 145   5.48%, 11/10/2039   147 
 1,500   5.55%, 04/10/2038   1,665 
     Goldman Sachs Mortgage Securities Trust     
 1,521   0.66%, 11/10/2045   1,520 
     Hasco HIM Trust     
 46   0.00%, 12/26/2035 ■●    
     HLSS Servicer Advance Receivables Backed Notes     
 695   1.99%, 10/15/2015 ■   708 
 885   2.29%, 01/15/2048 ■   911 
     JP Morgan Chase Commercial Mortgage Securities Corp.     
 902   0.71%, 10/15/2045 Δ   902 
 950   3.36%, 11/13/2044 ■   1,019 
 2,819   3.85%, 06/15/2043 ■   2,978 
 33   4.30%, 01/15/2038   33 
 427   4.93%, 09/12/2037   429 
 51   4.96%, 08/15/2042   51 
 1,442   5.59%, 06/12/2041 Δ   1,510 
     LB-UBS Commercial Mortgage Trust     
 106   5.30%, 02/15/2040   106 
     Long Beach Asset Holdings Corp.     
 180   0.00%, 04/25/2046 ■●    
     Merrill Lynch Mortgage Trust     
 1,000   5.85%, 06/12/2050 Δ   1,055 
     Merrill Lynch/Countrywide Commercial Mortgage Trust     
 129   5.11%, 12/12/2049   129 

 

The accompanying notes are an integral part of these financial statements.

 

5
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
ASSET & COMMERCIAL MORTGAGE BACKED SECURITIES - 20.4% - (continued)     
Finance and Insurance - 19.2% - (continued)     
     Real Estate Credit (Mortgage Banking) - 12.7% - (continued)     
     Morgan Stanley BAML Trust     
$722   0.66%, 11/15/2045  $721 
     Morgan Stanley Capital I     
 1,400   3.22%, 07/15/2049   1,500 
 1,500   3.88%, 09/15/2047 ■   1,613 
 2,500   4.97%, 04/14/2040   2,587 
 2,328   5.11%, 06/15/2040   2,409 
     Morgan Stanley Re-Remic Trust     
 2,513   1.00%, 03/27/2051 ■   2,482 
     National Credit Union Administration     
 724   1.60%, 10/29/2020   736 
     OHA Intrepid Leveraged Loan Fund Ltd.     
 2,000   1.18%, 04/20/2021 ■†Δ   2,000 
     Renaissance Home Equity Loan Trust     
 108   0.00%, 04/25/2037 ■●    
     SBA Tower Trust     
 1,310   2.93%, 12/15/2017 ■   1,357 
     Silverstone Master Issuer plc     
 415   1.83%, 01/21/2055 ■Δ   425 
     Springleaf Mortgage Loan Trust     
 870   1.27%, 06/25/2058 ■   872 
     UBS Commercial Mortgage Trust     
 1,874   1.03%, 05/10/2045 ‡   1,885 
     UBS-Barclays Commercial Mortgage Trust     
 2,472   0.73%, 08/10/2049 ‡   2,476 
     Voyager Countrywide Delaware Trust     
 317   66.14%, 11/26/2035 ■Δ   282 
     Wachovia Bank Commercial Mortgage Trust     
 275   4.50%, 10/15/2041   278 
 2,000   4.80%, 10/15/2041 ‡   2,100 
 1,105   4.94%, 04/15/2042   1,181 
 2,575   5.28%, 12/15/2044 ‡Δ   2,827 
 1,500   5.48%, 04/15/2047 ‡   1,574 
     WF-RBS Commercial Mortgage Trust     
 2,526   0.67%, 11/15/2045 ‡   2,526 
         70,618 
         106,830 
Real Estate, Rental and Leasing - 0.7%     
     Automotive Equipment Rental and Leasing - 0.7%     
     ARI Fleet Lease Trust     
 1,102   0.50%, 01/15/2021 ■Δ   1,099 
     Enterprise Fleet Financing LLC     
 725   0.72%, 04/20/2018 ■   726 
 1,894   1.90%, 10/20/2016 ■   1,912 
         3,737 
Transportation Equipment Manufacturing - 0.5%     
     Railroad Rolling Stock Manufacturing - 0.5%     
     GE Equipment Transportation LLC     
 2,051   0.62%, 07/25/2016   2,051 
 730   0.99%, 11/23/2015   733 
         2,784 
     Total asset & commercial mortgage backed securities     
     (cost $113,220)  $113,351 
           
CORPORATE BONDS - 55.1%     
Arts, Entertainment and Recreation - 1.8%     
     Cable and Other Subscription Programming - 1.3%     
     Comcast Corp.     
$1,000   5.85%, 11/15/2015   $1,128 
     DirecTV Holdings LLC     
 915   1.75%, 01/15/2018    916 
 1,681   2.40%, 03/15/2017    1,740 
 1,100   3.50%, 03/01/2016    1,171 
     Echostar DBS Corp.     
 725   7.13%, 02/01/2016    801 
     Viacom, Inc.     
 1,650   1.25%, 02/27/2015    1,662 
         7,418 
     Data Processing, Hosting and Related Services - 0.5%     
     Fidelity National Information Services, Inc.     
 2,500   7.63%, 07/15/2017    2,672 
           
         10,090 
Beverage and Tobacco Product Manufacturing - 1.6%     
     Beverage Manufacturing - 1.2%     
     Anheuser-Busch InBev Worldwide, Inc.     
 1,730   1.38%, 07/15/2017    1,753 
     Constellation Brands, Inc.     
 1,210   7.25%, 09/01/2016    1,392 
     Diageo Capital plc     
 2,275   1.50%, 05/11/2017    2,319 
     Molson Coors Brewing Co.     
 311   2.00%, 05/01/2017    320 
     Pernod-Ricard S.A.     
 1,000   2.95%, 01/15/2017 ■   1,052 
         6,836 
     Tobacco Manufacturing - 0.4%     
     Altria Group, Inc.     
 500   7.75%, 02/06/2014    527 
     Lorillard Tobacco Co.     
 180   2.30%, 08/21/2017    182 
     Reynolds American, Inc.     
 1,300   1.05%, 10/30/2015    1,302 
         2,011 
         8,847 
Chemical Manufacturing - 0.9%     
     Agricultural Chemical Manufacturing - 0.3%     
     Yara International ASA     
 1,750   5.25%, 12/15/2014 ■   1,862 
           
     Basic Chemical Manufacturing - 0.5%     
     Airgas, Inc.     
 1,000   2.85%, 10/01/2013    1,009 
     PPG Industries, Inc.     
 1,500   1.90%, 01/15/2016    1,540 
         2,549 
     Other Chemical and Preparation Manufacturing - 0.1%     
     Ecolab, Inc.     
 375   1.45%, 12/08/2017    374 
           
         4,785 

 

The accompanying notes are an integral part of these financial statements.

 

6
 

 

 

 

Shares or Principal Amount  Market Value ╪ 
CORPORATE BONDS - 55.1% - (continued)     
Computer and Electronic Product Manufacturing - 0.9%     
     Computer and Peripheral Equipment Manufacturing - 0.9%     
     Hewlett-Packard Co.     
$4,000   2.60%, 09/15/2017  $4,070 
     Seagate Technology plc     
 1,140   10.00%, 05/01/2014 ■   1,197 
         5,267 
Construction - 0.2%     
     Residential Building Construction - 0.2%     
     CRH America, Inc.     
 1,340   5.30%, 10/15/2013   1,366 
           
Finance and Insurance - 34.2%     
     Activities Related To Credit Banking - 0.1%     
     Western Union Co     
 430   2.38%, 12/10/2015   438 
           
     Captive Auto Finance - 2.0%     
     American Honda Finance Corp.     
 675   1.60%, 02/16/2018 ■   683 
     Ford Motor Credit Co. LLC     
 1,500   2.38%, 01/16/2018   1,507 
 1,700   2.75%, 05/15/2015   1,742 
     Harley-Davidson Financial Services, Inc.     
 1,385   1.15%, 09/15/2015 ■   1,391 
 810   3.88%, 03/15/2016 ■   869 
     Hyundai Capital America     
 2,500   2.13%, 10/02/2017 ■   2,506 
     Nissan Motor Co., Ltd.     
 2,695   1.95%, 09/12/2017 ■   2,754 
         11,452 
     Commercial Banking - 5.3%     
     Banco Santander Brasil S.A.     
 980   4.25%, 01/14/2016 ■   1,028 
     Barclays Bank plc     
 2,500   6.05%, 12/04/2017 ■   2,830 
     BNP Paribas     
 1,650   2.38%, 09/14/2017   1,692 
     Commonwealth Bank of Australia     
 1,500   2.13%, 03/17/2014 ■   1,521 
     Credit Suisse New York     
 1,000   1.24%, 01/14/2014 Δ   1,006 
 630   2.20%, 01/14/2014   637 
     DNB ASA     
 2,000   3.20%, 04/03/2017 ■   2,135 
     ING Bank N.V.     
 1,500   2.00%, 09/25/2015 ■   1,525 
     Intesa Sanpaolo     
 1,500   3.13%, 01/15/2016   1,499 
     Key Bank NA     
 1,000   1.65%, 02/01/2018   1,016 
 2,000   4.95%, 09/15/2015   2,174 
     Manufacturers & Traders Trust Co.     
 1,045   5.59%, 12/28/2020   1,051 
     National Australia Bank Ltd.     
 1,000   1.00%, 04/11/2014 ■Δ   1,007 
     Nordea Bank AB     
 833   1.18%, 01/14/2014 ■Δ   838 
 1,420   2.25%, 03/20/2015 ■   1,459 
     State Street Bank & Trust Co.     
 800   0.48%, 12/08/2015 Δ   794 
     Svenska Handelsbanken AB     
 1,000   3.13%, 07/12/2016    1,067 
 1,000   4.88%, 06/10/2014 ■   1,049 
     Swedbank AB     
 1,800   1.75%, 03/12/2018 ■   1,815 
     Union Bank NA     
 2,000   5.95%, 05/11/2016 ‡   2,274 
     Westpac Banking Corp.     
 1,000   1.01%, 03/31/2014 ■Δ   1,006 
         29,423 
     Depository Credit Banking - 7.5%     
     Bank of America Corp.     
 5,000   1.50%, 10/09/2015    5,030 
 3,000   2.00%, 01/11/2018    3,009 
     Bank of Montreal     
 1,500   0.88%, 04/09/2018 Δ   1,504 
     Bank of New York Mellon Corp.     
 1,500   1.97%, 06/20/2017 ‡Δ   1,552 
     Bank of Nova Scotia     
 1,500   1.38%, 12/18/2017    1,509 
     BB&T Corp.     
 815   1.60%, 08/15/2017    826 
     Citigroup, Inc.     
 1,250   1.25%, 01/15/2016    1,254 
 2,479   3.95%, 06/15/2016    2,684 
 2,000   4.59%, 12/15/2015    2,179 
 2,000   5.50%, 02/15/2017    2,243 
     Fifth Third Bancorp     
 636   3.63%, 01/25/2016    680 
 1,000   4.75%, 02/01/2015    1,066 
     HSBC Bank plc     
 950   0.94%, 08/12/2013 ■Δ   952 
     HSBC USA, Inc.     
 3,590   1.63%, 01/16/2018 ‡   3,614 
     PNC Funding Corp.     
 907   2.70%, 09/19/2016    958 
     Santander Holdings USA, Inc.     
 715   3.00%, 09/24/2015    740 
 738   4.63%, 04/19/2016    792 
     SunTrust Banks, Inc.     
 2,500   0.58%, 04/01/2015 Δ   2,474 
     Toronto-Dominion Bank     
 2,000   2.50%, 07/14/2016 ‡   2,103 
     U.S. Bancorp     
 2,250   1.65%, 05/15/2017 ‡   2,304 
     Wells Fargo & Co.     
 2,035   1.50%, 01/16/2018    2,042 
 1,000   2.10%, 05/08/2017    1,037 
     Wells Fargo Bank NA     
 1,000   0.50%, 05/16/2016 Δ   988 
         41,540 
     Insurance Carriers - 4.0%     
     Aetna, Inc.     
 635   1.50%, 11/15/2017    640 
     American International Group, Inc.     
 1,500   3.65%, 01/15/2014    1,532 

 

The accompanying notes are an integral part of these financial statements.

 

7
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
CORPORATE BONDS - 55.1% - (continued) 
Finance and Insurance - 34.2% - (continued)     
     Insurance Carriers - 4.0% - (continued)     
     Cigna Corp.     
$503   2.75%, 11/15/2016  $533 
     CNA Financial Corp.     
 2,000   6.50%, 08/15/2016   2,301 
     ING US, Inc.     
 2,250   2.90%, 02/15/2018 ■   2,303 
     Jackson National Life Global Funding     
 2,500   5.38%, 05/08/2013 ■‡   2,502 
     MetLife Global Funding I     
 1,480   1.50%, 01/10/2018 ■   1,492 
     MetLife Institutional Funding II     
 3,500   1.63%, 04/02/2015 ■   3,561 
     New York Life Global Funding     
 2,000   2.45%, 07/14/2016 ■   2,101 
     Principal Financial Group, Inc.     
 365   1.85%, 11/15/2017   371 
     Principal Life Global Funding II     
 1,390   1.00%, 12/11/2015 ■   1,395 
     Prudential Financial, Inc.     
 2,000   6.20%, 01/15/2015   2,174 
     QBE Insurance Group Ltd.     
 390   2.40%, 05/01/2018 ■☼   392 
     Wellpoint, Inc.     
 1,000   2.38%, 02/15/2017   1,040 
         22,337 
     International Trade Financing (Foreign Banks) - 2.4%     
     Corpoacion Andina De Fomento     
 1,500   3.75%, 01/15/2016   1,593 
 1,000   5.20%, 05/21/2013   1,002 
     Royal Bank of Canada     
 1,500   1.50%, 01/16/2018   1,519 
     Royal Bank of Scotland plc     
 1,260   2.55%, 09/18/2015   1,298 
     Skandinaviska Enskilda Banken AB     
 1,250   1.75%, 03/19/2018 ■   1,262 
     Standard Chartered plc     
 3,570   3.20%, 05/12/2016 ■   3,790 
     TSMC Global LTD     
 2,800   1.63%, 04/03/2018 ■   2,821 
         13,285 
     Monetary Authorities - Central Bank - 1.0%     
     ABN Amro Bank N.V.     
 1,500   1.38%, 01/22/2016 ■   1,503 
 1,429   4.25%, 02/02/2017 ■   1,570 
     Lloyds Banking Group plc     
 1,500   4.38%, 01/12/2015 ■   1,584 
     Lloyds TSB Bank plc     
 820   4.20%, 03/28/2017   907 
         5,564 
     Nondepository Credit Banking - 4.1%     
     American Express Credit Corp.     
 2,000   2.80%, 09/19/2016   2,121 
     Capital One Bank     
 2,441   6.50%, 06/13/2013   2,458 
     Capital One Financial Corp.     
 1,455   2.15%, 03/23/2015   1,486 
 750   6.25%, 11/15/2013   773 
     CIT Group, Inc.     
 1,000   4.75%, 02/15/2015 ■   1,052 
     General Electric Capital Corp.     
 3,000   0.99%, 04/02/2018 Δ   3,007 
 2,000   1.00%, 01/08/2016    2,010 
 1,250   1.60%, 11/20/2017    1,266 
 3,000   2.30%, 04/27/2017    3,121 
     General Motors Financial Co., Inc.     
 1,500   4.75%, 08/15/2017 ■   1,582 
     SLM Corp.     
 750   3.88%, 09/10/2015    779 
 610   6.00%, 01/25/2017    660 
     Toyota Motor Credit Corp.     
 900   1.25%, 10/05/2017    903 
 1,750   1.75%, 05/22/2017    1,799 
         23,017 
     Other Financial Investment Activities - 1.1%     
     BP Capital Markets plc     
 2,250   1.85%, 05/05/2017 ‡   2,319 
     Xstrata Canada Finance Corp.     
 2,000   2.85%, 11/10/2014 ■   2,049 
     Xstrata Finance (Canada) Ltd.     
 2,000   1.80%, 10/23/2015 ■   2,025 
         6,393 
     Real Estate Credit (Mortgage Banking) - 0.2%     
     SBA Tower Trust     
 1,300   2.24%, 04/16/2043 ■   1,300 
           
     Real Estate Investment Trust (REIT) - 1.6%     
     Health Care, Inc.     
 1,010   2.25%, 03/15/2018   1,030 
 688   3.63%, 03/15/2016   732 
     Host Hotels & Resorts L.P.     
 1,250   6.00%, 11/01/2020   1,398 
     Host Marriott L.P.     
 501   6.75%, 06/01/2016   509 
     Simon Property Group, Inc.     
 1,965   1.50%, 02/01/2018 ■   1,972 
     Ventas Realty L.P.     
 3,000   2.00%, 02/15/2018   3,034 
         8,675 
     Sales Financing - 0.4%     
     Imperial Tobacco Finance plc     
 2,000   2.05%, 02/11/2018 ■   2,027 
           
     Securities and Commodity Contracts and Brokerage - 4.5%     
     Goldman Sachs Group, Inc.     
 2,250   1.60%, 11/23/2015 ‡   2,280 
 2,500   2.38%, 01/22/2018 ‡   2,548 
 1,279   3.63%, 02/07/2016   1,362 
     JP Morgan Chase & Co.     
 3,000   0.61%, 06/13/2016 ‡Δ   2,948 
 1,100   1.13%, 02/26/2016   1,105 
 3,000   1.80%, 01/25/2018   3,038 
 1,500   2.00%, 08/15/2017 ‡   1,539 
     Merrill Lynch & Co., Inc.     
 2,000   6.05%, 05/16/2016   2,225 

 

The accompanying notes are an integral part of these financial statements.

 

8
 

 

 

 

Shares or Principal Amount  Market Value ╪ 
CORPORATE BONDS - 55.1% - (continued)     
Finance and Insurance - 34.2% - (continued)     
     Securities and Commodity Contracts and Brokerage - 4.5% - (continued)     
     Morgan Stanley     
$1,000   1.60%, 04/25/2018 Δ  $1,000 
 1,935   1.75%, 02/25/2016    1,949 
 2,000   3.80%, 04/29/2016    2,128 
     UBS AG Stamford CT     
 2,500   5.88%, 07/15/2016    2,807 
         24,929 
         190,380 
Food Manufacturing - 0.3%     
     Animal Slaughtering and Processing - 0.1%     
     ConAgra Foods, Inc.     
 345   1.90%, 01/25/2018    352 
     JBS USA LLC     
 483   11.63%, 05/01/2014    527 
         879 
     Sugar and Confectionery Product Manufacturing - 0.2%     
     Wrigley Jr., William Co.     
 1,000   3.05%, 06/28/2013 ■   1,003 
           
         1,882 
Furniture and Related Product Manufacturing - 0.7%     
     Household, Institution Furniture, Kitchen Cabinet - 0.7%     
     Masco Corp.     
 1,450   4.80%, 06/15/2015    1,524 
     Newell Rubbermaid, Inc.     
 2,000   2.00%, 06/15/2015    2,033 
 355   2.05%, 12/01/2017    358 
         3,915 
Health Care and Social Assistance - 2.5%     
     Drugs and Druggists' Sundries Merchant Wholesalers - 0.1%     
     Cardinal Health Inc.     
 370   1.70%, 03/15/2018    371 
           
     General Medical and Surgical Hospitals - 0.0%     
     Catholic Health Initiatives     
 195   1.60%, 11/01/2017    198 
           
     Medical Equipment and Supplies Manufacturing - 0.3%     
     Covidien International Finance S.A.     
 1,500   1.88%, 06/15/2013    1,503 
           
     Pharmaceutical and Medicine Manufacturing - 1.9%     
     AbbVie, Inc.     
 2,500   1.20%, 11/06/2015 ■   2,520 
     Express Scripts, Inc.     
 4,000   2.10%, 02/12/2015    4,085 
     GlaxoSmithKline Capital, Inc.     
 1,000   1.50%, 05/08/2017    1,020 
     Mylan, Inc.     
 2,000   6.00%, 11/15/2018 ■   2,193 
     Valeant Pharmaceuticals International     
 790   6.50%, 07/15/2016 ■   823 
         10,641 
     Scientific Research and Development Services - 0.2%     
     Laboratory Corp. of America Holdings     
 1,411   2.20%, 08/23/2017    1,431 
           
         14,144 
Information - 2.1%     
     Data Processing Services - 0.2%     
     Affiliated Computer Services, Inc.     
 1,000   5.20%, 06/01/2015    1,071 
           
     Satellite Telecommunications - 0.0%     
     Inmarsat Finance plc     
 210   7.38%, 12/01/2017 ■   223 
           
     Telecommunications - Other - 0.4%     
     Vivendi S.A.     
 2,005   2.40%, 04/10/2015 ■   2,043 
           
     Telecommunications - Wired Carriers - 1.0%     
     AT&T, Inc.     
 1,500   2.40%, 08/15/2016    1,565 
     British Telecommunications plc     
 505   2.00%, 06/22/2015    519 
     Deutsche Telekom International Finance B.V.     
 2,000   3.13%, 04/11/2016 ■   2,120 
     Videotron Ltee     
 1,195   9.13%, 04/15/2018    1,257 
         5,461 
     Telecommunications - Wireless Carriers - 0.2%     
     America Movil S.A.B. de C.V.     
 1,200   2.38%, 09/08/2016    1,247 
           
     Wireless Communications Services - 0.3%     
     Verizon Communications, Inc.     
 1,500   0.89%, 03/28/2014 ‡Δ   1,506 
           
         11,551 
Machinery Manufacturing - 0.8%     
     Agriculture, Construction, Mining and Machinery - 0.5%     
     Case New Holland, Inc.     
 1,240   7.75%, 09/01/2013    1,263 
     Ingersoll-Rand Global Holding Co.     
 1,385   6.00%, 08/15/2013    1,407 
         2,670 
     Commercial and Service Industry Machinery Manufacturing - 0.3%     
     Xerox Corp.     
 1,960   1.68%, 09/13/2013 Δ   1,966 
           
         4,636 
Mining - 1.3%     
     Metal Ore Mining - 1.0%     
     Barrick Gold Corp.     
 835   2.50%, 05/01/2018 ■   839 
     Freeport-McMoRan Copper & Gold, Inc.     
 1,015   2.38%, 03/15/2018 ■   1,022 
     Rio Tinto Finance USA Ltd.     
 2,050   2.00%, 03/22/2017    2,104 

 

The accompanying notes are an integral part of these financial statements.

 

9
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
CORPORATE BONDS - 55.1% - (continued)     
Mining - 1.3% - (continued)     
     Metal Ore Mining - 1.0% - (continued)     
     Teck Resources Ltd.     
$1,500   2.50%, 02/01/2018   $1,524 
         5,489 
     Nonmetallic Mineral Mining and Quarrying - 0.3%     
     Vale Overseas Ltd.     
 1,720   6.25%, 01/23/2017    1,986 
           
         7,475 
Miscellaneous Manufacturing - 0.3%     
     Aerospace Product and Parts Manufacturing - 0.3%     
     Textron, Inc.     
 1,500   4.63%, 09/21/2016    1,638 
           
Motor Vehicle and Parts Manufacturing - 0.7%     
     Motor Vehicle Manufacturing - 0.7%     
     Daimler Finance NA LLC     
 3,800   1.88%, 09/15/2014 - 01/11/2018 ■   3,848 
           
Petroleum and Coal Products Manufacturing - 1.8%     
     Oil and Gas Extraction - 0.9%     
     Chesapeake Energy Corp.     
 660   9.50%, 02/15/2015   746 
     Petrobras International Finance Co.     
 1,100   3.88%, 01/27/2016   1,155 
 1,000   6.13%, 10/06/2016    1,122 
     Total Capital Canada Ltd.     
 685   1.45%, 01/15/2018    694 
     Total Capital International S.A.     
 1,155   1.55%, 06/28/2017    1,178 
         4,895 
     Petroleum and Coal Products Manufacturing - 0.8%     
     Hess Corp.     
 500   7.00%, 02/15/2014    523 
     Schlumberger Norge AS     
 925   1.25%, 08/01/2017 ■   930 
 1,400   1.95%, 09/14/2016 ■   1,451 
     Valero Energy Corp.     
 1,500   4.75%, 06/15/2013    1,508 
         4,412 
     Support Activities For Mining - 0.1%     
     Transocean, Inc.     
 565   2.50%, 10/15/2017    576 
           
         9,883 
Pipeline Transportation - 0.2%     
     Pipeline Transportation of Natural Gas - 0.2%     
     Enterprise Products Operating LLC     
 235   1.25%, 08/13/2015    237 
     Kinder Morgan Energy Partners L.P.     
 790   3.50%, 03/01/2016    844 
         1,081 
Primary Metal Manufacturing - 0.7%     
     Iron and Steel Mills and Ferroalloy Manufacturing - 0.7%     
     ArcelorMittal     
 1,380   4.25%, 02/25/2015 - 03/01/2016    1,429 
 1,228   5.38%, 06/01/2013    1,232 
 1,000   9.50%, 02/15/2015    1,129 
         3,790 
Real Estate, Rental and Leasing - 0.9%     
     Automotive Equipment Rental and Leasing - 0.4%     
     Enterprise Rent-a-Car Finance Corp.     
 1,050   1.40%, 04/15/2016 ■   1,057 
     Ryder System, Inc.     
 1,070   3.15%, 03/02/2015    1,110 
         2,167 
     General Rental Centers - 0.1%     
     ERAC USA Finance Co.     
 564   2.75%, 07/01/2013 ■   566 
           
     Industrial Machinery and Equipment Rental and Leasing - 0.4%     
     International Lease Finance Corp.     
 1,750   6.75%, 09/01/2016 ■   1,990 
           
         4,723 
 Retail Trade - 1.3%     
     Automotive Parts, Accessories and Tire Stores - 0.4%     
     Turlock Corp.     
 2,000   1.50%, 11/02/2017 ■   2,012 
           
     Grocery Stores - 0.3%     
     Kroger (The) Co.     
 1,250   7.00%, 05/01/2018    1,534 
           
     Other General Merchandise Stores - 0.4%     
     Dollar General Corp.     
 2,000   1.88%, 04/15/2018    2,011 
           
     Other Miscellaneous Store Retailers - 0.2%     
     Amazon.com, Inc.     
 1,385   1.20%, 11/29/2017    1,383 
           
         6,940 
 Truck Transportation - 0.4%     
     Specialized Freight Trucking - 0.4%     
     Penske Truck Leasing Co.     
 2,000   2.50%, 03/15/2016 ■   2,070 
 45   2.88%, 07/17/2018 ■   47 
         2,117 
 Utilities - 0.7%     
     Electric Generation, Transmission and Distribution - 0.7%     
     American Electric Power Co., Inc.     
 500   1.65%, 12/15/2017    505 
     Duke Energy Corp.     
 790   1.63%, 08/15/2017    801 
     Pacific Gas & Electric Co.     
 2,295   6.25%, 12/01/2013 ‡   2,371 
         3,677 
 Wholesale Trade - 0.8%     
     Beer, Wine, Distilled Alcoholic Beverage Wholesalers - 0.3%     
     SABMiller Holdings, Inc.     
 1,500   1.85%, 01/15/2015 ■   1,529 
           
     Electrical Goods Wholesalers - 0.1%     
     Arrow Electronics, Inc.     
 630   3.00%, 03/01/2018    645 

 

The accompanying notes are an integral part of these financial statements.

 

10
 

 

 

 

Shares or Principal Amount  Market Value ╪ 
CORPORATE BONDS - 55.1% - (continued) 
Wholesale Trade - 0.8% - (continued) 
     Machinery, Equipment and Supplies Wholesalers - 0.4%     
     Pentair Finance S.A.     
$2,265   1.35%, 12/01/2015   $2,273 
           
         4,447 
     Total corporate bonds     
     (cost $298,862)  $306,482 
           
MUNICIPAL BONDS - 0.9%     
     General Obligations - 0.4%     
     Illinois State GO     
$2,200   4.96%, 03/01/2016   $2,399 
           
     Miscellaneous - 0.5%     
     Florida Hurricane Catastrophe Fund     
 2,775   1.30%, 07/01/2016    2,790 
           
     Total municipal bonds     
     (cost $5,146)  $5,189 
           
SENIOR FLOATING RATE INTERESTS♦ - 18.6%  
Accommodation and Food Services - 0.2%     
     Traveler Accommodation - 0.2%     
     Las Vegas Sands LLC, Extended Delayed Draw Term Loan     
$209   2.70%, 11/23/2016   $209 
     Las Vegas Sands LLC, Extended Term Loan     
 1,041   2.70%, 11/23/2016    1,042 
         1,251 
Administrative Waste Management and Remediation - 0.3%     
     Business Support Services - 0.2%     
     Trans Union LLC     
 1,221   4.25%, 02/08/2019    1,236 
           
     Waste Treatment and Disposal - 0.1%     
     ADS Waste Holdings, Inc.     
 559   4.25%, 10/09/2019    565 
           
         1,801 
Air Transportation - 0.5%     
     Scheduled Air Transportation - 0.5%     
     AWAS Finance Luxembourg S.A.     
 310   3.50%, 06/10/2016    312 
     Delta Air Lines, Inc.     
 289   4.00%, 10/18/2018    292 
     Delta Air Lines, Inc., Term Loan     
 1,538   4.25%, 04/20/2017    1,558 
     United Airlines, Inc.     
 495   4.00%, 04/01/2019    500 
         2,662 
Apparel Manufacturing - 0.1%     
     Apparel Knitting Mills - 0.1%     
     PVH Corp.     
 515   3.25%, 02/13/2020    519 
           
Arts, Entertainment and Recreation - 1.2% 
     Amusement Parks and Arcades - 0.1%     
     Cedar Fair L.P.     
520   3.25%, 03/06/2020   525 
           
     Cable and Other Subscription Programming - 0.0%     
     CSC Holdings, Inc.     
 215   2.70%, 04/15/2020    215 
           
     Gambling Industries - 0.3%     
     Seminole (The) Tribe of Florida, Inc.     
 545   04/11/2020 ◊☼   548 
     Station Casinos LLC     
 940   5.00%, 03/02/2020    951 
         1,499 
     Other Amusement and Recreation Industries - 0.3%     
     ClubCorp Club Operations, Inc.     
 1,871   5.00%, 11/30/2016    1,904 
           
     Radio and Television Broadcasting - 0.4%     
     Cumulus Media, Inc.     
 2,057   4.50%, 09/17/2018    2,092 
     Sinclair Television Group, Inc.     
 185   3.00%, 10/28/2016    186 
         2,278 
     Spectator Sports - 0.1%     
     Penn National Gaming, Inc.     
 375   3.75%, 07/16/2018    379 
           
         6,800 
Beverage and Tobacco Product Manufacturing - 0.1%     
     Beverage Manufacturing - 0.1%     
     Constellation Brands, Inc.     
 470   04/25/2020 ◊☼   470 
           
Chemical Manufacturing - 0.7%
     Basic Chemical Manufacturing - 0.5%     
     Huntsman International LLC, Term Loan C     
 1,769   2.47%, 06/30/2016    1,774 
     Pinnacle Operating Corp.     
 830   04/29/2020 ◊☼   833 
         2,607 
     Other Chemical and Preparations Manufacturing - 0.2%     
     Cytec Industries, Inc.     
 38   09/20/2019 ◊   38 
     DuPont Performance Coatings, Inc.     
 105   4.75%, 02/01/2020    107 
     Ineos US Finance LLC     
 1,087   6.50%, 05/04/2018    1,099 
     Monarch, Inc.     
 72   6.00%, 09/12/2019    73 
         1,317 
         3,924 
Computer and Electronic Product Manufacturing - 0.4%     
     Computer and Peripheral Equipment Manufacturing - 0.1%     
     CDW LLC     
 475   04/30/2020 ◊☼   476 

 

The accompanying notes are an integral part of these financial statements.

 

11
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS♦ - 18.6% - (continued) 
Computer and Electronic Product Manufacturing - 0.4% - (continued) 
     Semiconductor, Electronic Components - 0.3%     
     Freescale Semiconductor, Inc.     
$1,750   5.00%, 03/01/2020   $1,774 
     Spectrum Brands Holdings, Inc.     
 140   4.50%, 12/17/2019    142 
         1,916 
         2,392 
Educational Services - 0.1%     
     Educational Support Services - 0.1%     
     Bright Horizons Family Solutions, Inc.     
 514   4.00%, 01/30/2020    518 
           
Finance and Insurance - 1.2%     
     Captive Auto Finance - 0.4%     
     Chrysler Group LLC     
 2,208   6.00%, 05/24/2017    2,236 
           
     Insurance Carriers - 0.4%     
     Asurion LLC     
 2,105   4.50%, 05/24/2019    2,128 
           
     Other Financial Investment Activities - 0.1%     
     Nuveen Investments, Inc.     
 500   4.20%, 05/13/2017    506 
     Ocwen Financial Corp.     
 350   5.00%, 02/15/2018    355 
         861 
     Securities, Commodities and Brokerage - 0.3%     
     RPI Finance Trust     
 1,582   4.00%, 11/09/2018    1,592 
           
         6,817 
Food Manufacturing - 0.3%     
     Fruits, Vegetable Preserving, Specialty Foods - 0.1%     
     Dole Food Co., Inc.     
 490   04/25/2020 ◊☼   493 
           
     Other Food Manufacturing - 0.2%     
     H. J. Heinz Co.     
 1,380   03/27/2020 ◊☼   1,392 
           
         1,885 
Food Services - 0.4%     
     Full-Service Restaurants - 0.2%     
     ARAMARK Corp.     
 1,000   3.46%, 07/26/2016   1,011 
           
     Limited-Service Eating Places - 0.2%     
     Wendy's International, Inc.     
 871   4.51%, 05/15/2019   875 
           
         1,886 
Health Care and Social Assistance - 2.5%    
     General Medical and Surgical Hospitals - 0.3%     
     HCA, Inc., Tranche B-2 Term Loan     
 1,006   3.53%, 03/31/2017   1,006 
     HCA, Inc., Tranche B-3 Term Loan     
 294   2.95%, 05/01/2018   294 
     Health Management Associates, Inc.     
 194   3.50%, 11/16/2018   196 
         1,496 
     Health Care Services - 0.1%     
     InVentiv Health, Inc., 1st Lien Consolidated Term Loan     
 150   7.50%, 08/04/2016   149 
     InVentiv Health, Inc., Term Loan B2     
 465   7.75%, 05/15/2018   460 
         609 
     Medical and Diagnostic Laboratories - 0.2%     
     American Renal Holdings, Inc.     
 1,280   4.50%, 08/20/2019   1,283 
           
     Medical Equipment and Supplies Manufacturing - 0.4%     
     Bausch & Lomb, Inc.     
 988   5.25%, 05/17/2019   998 
     DJO Finance LLC     
 384   4.75%, 09/15/2017   390 
     Hologic, Inc.     
 610   4.50%, 08/01/2019   619 
         2,007 
     Outpatient Care Centers - 0.0%     
     DaVita, Inc.     
 304   4.00%, 11/01/2019   307 
           
     Pharmaceutical and Medicine Manufacturing - 1.4%     
     Alere, Inc.     
 1,729   4.25%, 06/30/2017   1,752 
     Alkermes, Inc.     
 2,992   3.50%, 09/25/2019   2,996 
     Immucor, Inc.     
 1,622   5.00%, 08/19/2018   1,644 
     NBTY, Inc.     
 974   3.50%, 10/01/2017   984 
     Warner Chilcott Corp., Term Loan B-1     
 218   4.25%, 03/15/2018   221 
     Warner Chilcott Corp., Term Loan B-2     
 77   4.25%, 03/15/2018   78 
     Warner Chilcott Corp., Term Loan B-3     
 171   4.25%, 03/15/2018   174 
     Warner Chilcott plc     
 95   4.25%, 03/15/2018   96 
         7,945 
     Scientific Research and Development Services - 0.1%     
     IMS Health, Inc.     
 242   3.75%, 09/01/2017   244 
     Jazz Pharmaceuticals, Inc.     
 193   5.25%, 06/12/2018   195 
         439 
         14,086 
Information - 4.4%     
     Cable and Other Program Distribution - 1.5%     
     Charter Communications Operating LLC     
 415   04/10/2020 ◊☼   414 
 1,416   4.00%, 05/15/2019   1,419 

 

The accompanying notes are an integral part of these financial statements.

 

12
 

 

 

 

Shares or Principal Amount  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS♦ - 18.6% - (continued) 
Information - 4.4% - (continued) 
     Cable and Other Program Distribution - 1.5% - (continued)     
     Mediacom Broadband LLC, Tranche F Term Loan     
$1,305   4.50%, 10/23/2017  $1,312 
     TWCC Holding, Corp.     
 1,356   3.50%, 02/13/2017   1,375 
     UPC Financing Partnership     
 155   06/10/2021 ◊☼   155 
     Virgin Media Finance plc     
 3,525   02/15/2020 ◊☼   3,527 
         8,202 
     Data Processing Services - 0.1%     
     First Data Corp.     
 515   4.20%, 09/30/2018    513 
           
     Satellite Telecommunications - 0.3%     
     Telesat Canada     
 1,629   3.50%, 03/28/2019    1,641 
           
     Software Publishers - 0.9%     
     Emdeon, Inc.     
 1,587   3.75%, 11/02/2018    1,600 
     Kronos, Inc.     
 1,047   4.50%, 10/30/2019    1,060 
     Lawson Software, Inc.     
 898   5.25%, 04/05/2018    912 
     MISYS plc     
 1,746   7.25%, 12/12/2018    1,775 
         5,347 
     Telecommunications - Other - 0.7%     
     Integra Telecom, Inc.     
 220   6.00%, 02/22/2019    224 
     Intelsat Jackson Holdings S.A.     
 2,208   4.50%, 04/02/2018    2,236 
     Level 3 Financing, Inc.     
 402   4.75%, 08/01/2019    406 
 510   5.25%, 08/01/2019    517 
     Nine Entertainment Group Ltd     
 385   3.50%, 02/05/2020    386 
         3,769 
     Telecommunications - Wireless Carriers - 0.7%     
     Metro PCS Wireless, Inc., Tranche B-2 Term Loan     
 2,180   4.73%, 11/03/2016    2,180 
     Syniverse Holdings, Inc.     
 1,520   5.00%, 04/23/2019    1,531 
         3,711 
     Wireless Communications Services - 0.2%     
     Leap Wireless International, Inc.     
 865   4.75%, 03/01/2020    869 
     Windstream Corp.     
 140   3.50%, 01/23/2020    140 
         1,009 
         24,192 
Media - 0.4%     
     Broadcasting - 0.4%     
     Gray Television, Inc.     
 366   4.75%, 10/12/2019    371 
     Univision Communications, Inc.     
 2,000   4.75%, 03/01/2020    2,019 
         2,390 
Mining - 0.4%     
     Metal Ore Mining - 0.2%     
     Fortescue Metals Group Ltd.     
 1,025   5.25%, 10/18/2017    1,043 
           
     Mining and Quarrying Nonmetallic Mineral - 0.2%     
     Arch Coal, Inc.     
 1,102   5.75%, 05/16/2018    1,116 
           
         2,159 
Miscellaneous Manufacturing - 0.4%    
     Aerospace Product and Parts Manufacturing - 0.3%     
     DigitalGlobe, Inc.     
 1,040   3.75%, 01/31/2020    1,051 
     TransDigm Group, Inc.     
 453   3.75%, 02/28/2020    459 
         1,510 
     Miscellaneous Manufacturing - 0.1%     
     Reynolds Group Holdings, Inc.     
 910   4.75%, 09/28/2018    925 
           
         2,435 
Motor Vehicle and Parts Manufacturing - 0.2%    
     Motor Vehicle Parts Manufacturing - 0.2%     
     Allison Transmission, Inc.     
 289   4.25%, 08/23/2019    292 
     Tomkins LLC     
 995   3.75%, 09/29/2016    1,008 
         1,300 
Other Services - 0.2%    
     Commercial/Industrial Machine and Equipment - 0.2%     
     Rexnord LLC     
 884   3.75%, 04/01/2018    892 
           
Petroleum and Coal Products Manufacturing - 0.5%     
     Oil and Gas Extraction - 0.5%     
     MEG Energy Corp.     
 1,746   3.75%, 03/31/2020    1,763 
     Plains Exploration & Production Co.     
 481   4.00%, 11/30/2019    481 
     Ruby Western Pipeline Holdings LLC     
 275   3.50%, 03/31/2020    278 
     Samson Investment Co.     
 410   6.00%, 09/25/2018    415 
         2,937 
Pipeline Transportation - 0.1%     
     Pipeline Transportation of Natural Gas - 0.1%     
     EP Energy LLC     
 625   5.00%, 05/24/2018    628 
           
Plastics and Rubber Products Manufacturing - 0.8%     
     Plastics Product Manufacturing - 0.6%     
     Berry Plastics Group, Inc.     
 3,150   3.50%, 02/10/2020    3,145 

 

The accompanying notes are an integral part of these financial statements.

 

13
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS♦ - 18.6% - (continued) 
Plastics and Rubber Products Manufacturing - 0.8% - (continued) 
     Rubber Manufacturing - 0.2%     
     Goodyear (The) Tire & Rubber Co.     
$1,000   4.75%, 04/30/2019  $1,007 
           
         4,152 
Primary Metal Manufacturing - 0.5%     
     Alumina and Aluminum Production and Processing - 0.5%     
     Novelis, Inc.     
 2,885   3.75%, 03/10/2017   2,932 
           
Professional, Scientific and Technical Services - 0.2%     
     Professional, Scientific and Technical Service Other - 0.2%     
     Getty Images, Inc.     
 938   4.75%, 10/18/2019   951 
           
Real Estate, Rental and Leasing - 0.1%     
     Activities Related To Real Estate - 0.0%     
     Realogy Corp., Extended 1st Lien Term Loan B     
 170   4.01%, 03/05/2020   172 
           
     Industrial Machinery, Equipment Rental and Leasing - 0.1%     
     Delos Aircraft, Inc.     
 400   4.75%, 04/12/2016   402 
           
         574 
Retail Trade - 1.4%     
     Building Material and Supplies Dealers - 0.1%     
     American Builders & Contractors Supply Co.     
 235   3.50%, 04/05/2020   237 
           
     Department Stores - 0.4%     
     Neiman (The) Marcus Group, Inc.     
 2,425   4.00%, 05/16/2018   2,442 
           
     Grocery Stores - 0.1%     
     Supervalu, Inc.     
 375   6.25%, 03/21/2019   380 
           
     Home Furnishing Stores - 0.3%     
     Armstrong World Industries, Inc.     
 1,450   3.50%, 02/26/2020   1,458 
           
     Other Miscellaneous Store Retailers - 0.3%     
     Aramark Corp.     
 610   4.00%, 08/22/2019   617 
     KAR Auction Services, Inc.     
 303   3.75%, 05/19/2017   307 
     Rite Aid Corp.     
 845   4.00%, 02/21/2020   855 
         1,779 
     Specialty Food Stores - 0.1%     
     Weight Watchers International, Inc.     
 715   3.75%, 04/02/2020   713 
           
     Sporting Goods, Hobby and Musical Instrument Store - 0.1%     
     Michaels Stores, Inc.     
 440   3.75%, 01/28/2020   444 
           
         7,453 
Soap, Cleaning Compound and Toilet Manufacturing - 0.1%     
     Soap, Cleaning Compound and Toilet Manufacturing - 0.1%     
     Yankee (The) Candle Co., Inc.     
 569   5.25%, 04/02/2019   571 
           
Utilities - 0.9%     
     Electric Generation, Transmission and Distribution - 0.9%     
     AES Corp.     
 1,522   3.75%, 06/01/2018   1,545 
     Calpine Corp.     
 1,219   4.00%, 10/09/2019   1,234 
     Energy Transfer Equity L.P.     
 576   3.75%, 03/24/2017   578 
     NRG Energy, Inc.     
 957   3.25%, 07/01/2018   968 
     Star West Generation LLC     
 430   5.00%, 03/13/2020   438 
     TPF Generation Holdings LLC, Letter of Credit     
 174   2.28%, 12/15/2013   174 
         4,937 
     Total senior floating rate interests     
     (cost $102,270)  $103,514 
           
U.S. GOVERNMENT AGENCIES - 11.3%     
     FHLMC - 2.4%     
$7,700   0.50%, 08/28/2015  $7,729 
 14,257   2.23%, 08/25/2018 ►   1,309 
 12,744   2.78%, 07/25/2021 ►   1,422 
 2,914   3.50%, 04/01/2027   3,110 
         13,570 
     FNMA - 8.5%     
 12,600   2.50%, 05/12/2028 ☼   13,175 
 16,000   3.00%, 05/15/2027 ☼   16,897 
 16,486   3.50%, 12/01/2026 - 05/15/2041 ☼   17,539 
         47,611 
     GNMA - 0.4%     
 1,157   5.00%, 08/20/2039   1,278 
 687   6.50%, 05/16/2031╦   788 
         2,066 
     Total U.S. government agencies     
     (cost $62,374)  $63,247 
           
     Total long-term investments     
     (cost $581,872)  $591,783 

 

The accompanying notes are an integral part of these financial statements.

 

14
 

 

 

 

Shares or Principal Amount  Market Value ╪ 
SHORT-TERM INVESTMENTS - 1.6% 
Repurchase Agreements - 1.6%     
     Bank of America Merrill Lynch TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $345,
collateralized by FHLB 1.93%, 2021,
FHLMC 0.38%, 2013, FNMA 3.00%,
2028, value of $351)
   
$344   0.17%, 4/30/2013  $344 
     Bank of Montreal TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $939, collateralized by FHLMC
3.50%, 2042, FNMA 0.80% - 2.13%, 2015
- 2018, U.S. Treasury Bond 11.25%, 2015,
U.S. Treasury Note 0.75%, 2013, value of
$958)
     
 939   0.15%, 4/30/2013   939 
     Barclays Capital TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $1,808, collateralized by U.S.
Treasury Note 0.88% - 3.13%, 2017 - 2021,
value of $1,844)
     
 1,808   0.15%, 4/30/2013   1,808 
     Citigroup Global Markets, Inc. TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $2,511,
collateralized by U.S. Treasury Note 0.75%
- 2.13%, 2015 - 2019, value of $2,561)
     
 2,511   0.14%, 4/30/2013   2,511 
     Deutsche Bank Securities TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $452,
collateralized by FHLMC 3.00% - 5.50%,
2037 - 2043, FNMA 3.00%, 2043, value of
$461)
     
 452   0.17%, 4/30/2013   452 
     RBS Securities, Inc. TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $1,530, collateralized by U.S.
Treasury Note 1.00% - 2.25%, 2016 - 2022,
value of $1,561)
     
 1,530   0.14%, 4/30/2013   1,530 
     TD Securities TriParty Repurchase Agreement
(maturing on 05/01/2013 in the amount of
$1,076, collateralized by U.S. Treasury
Note 0.25% - 1.88%, 2014 - 2019, value of
$1,097)
     
 1,076   0.17%, 4/30/2013   1,076 
     UBS Securities, Inc. Repurchase Agreement
(maturing on 05/01/2013 in the amount of
$19, collateralized by U.S. Treasury Note
3.88%, 2018, value of $20)
     
 19   0.13%, 4/30/2013   19 
         8,679 
     Total short-term investments     
     (cost $8,679)  $8,679 
           
     Total investments     
     (cost $590,551) ▲ 107.9 %  $600,462 
     Other assets and liabilities (7.9 )%   (43,946)
     Total net assets 100.0 %  $556,516 

 

Note:Percentage of investments as shown is the ratio of the total market value to total net assets.

 

At April 30, 2013, the cost of securities for federal income tax purposes was $590,625 and the aggregate gross unrealized appreciation and depreciation based on that cost were:

 

Unrealized Appreciation  $11,363 
Unrealized Depreciation   (1,526)
Net Unrealized Appreciation  $9,837 

 

These securities were valued in good faith at fair value as determined under policies and procedures established by and under the supervision of the Company's Board of Directors.  At April 30, 2013, the aggregate value of these securities was $2,000, which represents 0.4% of total net assets.

 

Non-income producing.  For long-term debt securities, items identified are in default as to payment of interest and/or principal.

 

This security, or a portion of this security, has been segregated to cover funding requirements on investment transactions settling in the future.

 

ΔVariable rate securities; the rate reported is the coupon rate in effect at April 30, 2013.

 

Securities issued within terms of a private placement memorandum, exempt from registration under Rule 144A under the Securities Act of 1933, as amended, and may be sold only to qualified institutional buyers. Unless otherwise indicated, these holdings are determined to be liquid. At April 30, 2013, the aggregate value of these securities was $143,334, which represents 25.8% of total net assets.

 

The accompanying notes are an integral part of these financial statements.

 

15
 

 

The Hartford Short Duration Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Securities disclosed are interest-only strips.  The interest rates represent effective yields based upon estimated future cash flows at April 30, 2013.

 

This security, or a portion of this security, was purchased on a when-issued, delayed-delivery or delayed-draw basis. The cost of these securities was $46,842 at April 30, 2013.

 

All or a portion of this position represents unsettled loan commitment.  The coupon rate will be determined at time of settlement.

 

Senior floating rate interests generally pay interest rates which are periodically adjusted by reference to a base short-term, floating lending rate plus a premium.  These base lending rates are generally (i) the lending rate offered by one or more major European banks, such as the LIBOR, (ii) the prime rate offered by one or more major United States Banks, or (iii) the bank's certificate of deposit rate.  Senior floating rate interests often require prepayments from excess cash flows or permit the borrower to repay at its election.  The rate at which the borrower repays cannot be predicted with accuracy.  As a result, the actual remaining maturity may be substantially less than the stated maturities shown.  Unless otherwise noted, the interest rate disclosed for these securities represents the average coupon as of April 30, 2013.

 

This security, or a portion of this security, has been pledged as collateral in connection with swap contracts.

 

Futures Contracts Outstanding at April 30, 2013

 

Description  Number of
Contracts*
  Expiration
Date
  Notional Amount   Market Value ╪   Unrealized
Appreciation/
(Depreciation)
 
Long position contracts:                     
U.S. Treasury 10-Year Note Future  21  06/19/2013  $2,768   $2,801   $33 
Short position contracts:                     
Euro-BUND Future  37  06/06/2013  $7,011   $7,143   $(132)
U.S. Treasury 5-Year Note Future  208  06/28/2013   25,772    25,925    (153)
                   $(285)
                   $(252)

 

* The number of contracts does not omit 000's.

 

Cash of $198 was pledged as initial margin deposit and collateral for daily variation margin loss on open futures contracts at April 30, 2013. 

 

Foreign Currency Contracts Outstanding at April 30, 2013

 

Currency  Buy / Sell  Delivery Date  Counterparty  Contract Amount   Market Value ╪   Unrealized
Appreciation/
(Depreciation)
 
EUR  Sell  05/01/2013  JPM  $4   $4   $ 

 

Interest Rate Swap Contracts Outstanding at April 30, 2013

 

Counterparty  Payments made by Fund  Payments received by Fund 

Notional
Amount *

   Expiration
Date
 

Upfront
Premiums
Paid/
(Received)

  

Market
Value ╪

  

Unrealized
Appreciation/
(Depreciation)

 
BOA  3M CAD BA CDOR  1.58% Fixed  CAD  6,000    04/29/18  $   $   $ 
JPM  0.90% Fixed  6M LIBOR GBP  GBP  4,000    04/29/18            
                 $   $   $ 

 

* Notional shown in U.S. dollars unless otherwise noted.

 

See Significant Accounting Policies of accompanying Notes to Financial Statements regarding valuation of securities.

 

The accompanying notes are an integral part of these financial statements.

 

16
 

 

 

 

GLOSSARY: (abbreviations used in preceding Schedule of Investments)

 

Counterparty Abbreviations:
BOA Banc of America Securities LLC  
JPM JP Morgan Chase & Co.  

 

Currency Abbreviations:
CAD Canadian Dollar  
EUR EURO  
GBP British Pound  

 

Municipal Bond Abbreviations:
GO General Obligation  

 

Other Abbreviations:
CAD BA CDOR Canadian Bankers Acceptance Dealer Offered Rate
FHLB Federal Home Loan Bank  
FHLMC Federal Home Loan Mortgage Corp.
FNMA Federal National Mortgage Association
GNMA Government National Mortgage Association
LIBOR London Interbank Offered Rate

 

The accompanying notes are an integral part of these financial statements.

 

17
 

 

2.The following replaces in its entirety the Schedule of Investments appearing under the heading “Schedule of Investments, April 30, 2013 (Unaudited)” starting on page 6 of the Semi-Annual Report for The Hartford Strategic Income Fund.

 

The Hartford Strategic Income Fund
Schedule of Investments
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
ASSET & COMMERCIAL MORTGAGE BACKED SECURITIES - 19.0%     
     Finance and Insurance - 19.0%     
     Asset Backed Funding Certificates     
$1,353   0.42%, 01/25/2037 Δ  $781 
     Banc of America Commercial Mortgage, Inc.     
 1,885   5.17%, 11/10/2042 Δ   2,013 
 945   5.19%, 09/10/2047 ‡Δ   1,037 
 830   5.63%, 07/10/2046 Δ   933 
     Banc of America Mortgage Securities     
 550   3.13%, 09/25/2035 Δ   510 
     BB-UBS Trust     
 430   3.43%, 11/05/2036 ■   441 
     BCAP LLC Trust     
 970   0.37%, 01/25/2037 Δ   738 
 933   0.38%, 03/25/2037 Δ   781 
     Bear Stearns Adjustable Rate Mortgage Trust     
 1,248   2.47%, 10/25/2035 Δ   1,212 
     Bear Stearns Alt-A Trust     
 464   0.58%, 05/25/2036 Δ   295 
     Bear Stearns Commercial Mortgage Securities, Inc.     
 174   4.93%, 02/13/2042   186 
 1,085   5.15%, 10/12/2042 ‡Δ   1,187 
 345   5.41%, 12/11/2040   380 
 286   5.54%, 10/12/2041 ‡   323 
 825   5.58%, 04/12/2038 ‡Δ   920 
     Citigroup Commercial Mortgage Trust, Inc.     
 1,467   0.55%, 03/25/2037 Δ   786 
     Citigroup/Deutsche Bank Commercial Mortgage Trust     
 1,650   5.32%, 12/11/2049 ‡   1,879 
 545   5.89%, 11/15/2044 ‡   637 
     Commercial Mortgage Loan Trust     
 1,320   6.00%, 12/10/2049 Δ   1,557 
     Commercial Mortgage Pass-Through Certificates     
 430   2.77%, 12/10/2045 ‡   439 
 900   3.15%, 08/15/2045   950 
 3,320   4.34%, 12/10/2045 ■‡Δ   2,511 
 570   4.75%, 11/15/2045 ■   475 
 1,480   4.77%, 11/15/2045 ■‡Δ   1,478 
 125   5.02%, 08/15/2022 ■   128 
 300   5.94%, 06/10/2046 Δ   339 
     Commercial Mortgage Trust     
 705   3.21%, 04/10/2023 ‡   740 
 475   3.42%, 03/10/2031 ■   499 
     Countrywide Alternative Loan Trust     
 850   0.52%, 11/25/2035 Δ   664 
     Countrywide Home Loans, Inc.     
 1,549   3.08%, 09/25/2047 Δ   1,295 
     CS First Boston Mortgage Securities Corp.     
 2,225   4.83%, 04/15/2037 ‡   2,359 
     CW Capital Cobalt Ltd.     
 1,065   5.22%, 08/15/2048   1,188 
     First Franklin Mortgage Loan Trust     
 1,805   0.44%, 04/25/2036 Δ   1,095 
     First Horizon Alternative Mortgage Securities     
 2,502   2.33%, 04/25/2036 Δ   2,035 
 2,542   2.36%, 09/25/2035 Δ   2,259 
     First Horizon Mortgage Pass-through Trust     
 201   2.52%, 08/25/2037 Δ   168 
     GE Commercial Mortgage Corp. Trust     
 1,100   5.47%, 03/10/2044 Δ   1,217 
     GMAC Commercial Mortgage Securities, Inc.     
 220   5.24%, 11/10/2045 Δ   238 
     GMAC Mortgage Corp. Loan Trust     
 1,435   3.70%, 09/19/2035 Δ   1,385 
 181   3.87%, 04/19/2036 Δ   158 
     Goldman Sachs Mortgage Securities Corp. II     
 570   2.95%, 11/05/2034 ■╦   580 
 255   3.38%, 05/10/2045   274 
 195   4.75%, 07/10/2039   207 
     Goldman Sachs Mortgage Securities Trust     
 765   2.77%, 11/10/2045 ╦   778 
 650   3.55%, 04/10/2034 ■   697 
 2,520   4.86%, 11/10/2045 ■Δ   2,544 
 1,765   5.00%, 05/10/2045 ■Δ   1,487 
     Greenwich Capital Commercial Funding Corp.     
 1,750   5.44%, 03/10/2039 Δ   2,000 
 1,175   5.74%, 12/10/2049   1,369 
 1,550   6.06%, 07/10/2038 Δ   1,755 
     GSAA Home Equity Trust     
 2,141   0.27%, 12/25/2046 - 03/25/2047 Δ   1,248 
 4,262   0.28%, 02/25/2037 Δ   2,344 
 670   0.29%, 12/25/2036 Δ   371 
 1,203   0.30%, 03/25/2037 Δ   642 
 533   0.36%, 07/25/2036 Δ   285 
 1,203   0.37%, 03/25/2047 Δ   622 
 348   0.43%, 04/25/2047 Δ   220 
     GSAMP Trust     
 2,638   0.29%, 01/25/2037 Δ   1,484 
 404   0.30%, 12/25/2046 Δ   220 
 717   0.40%, 11/25/2036 Δ   409 
 1,308   0.43%, 12/25/2046 Δ   728 
     GSR Mortgage Loan Trust     
 1,724   2.78%, 01/25/2036 Δ   1,479 
 1,613   2.82%, 04/25/2035 Δ   1,508 
 197   2.95%, 10/25/2035 Δ   175 
     Harborview Mortgage Loan Trust     
 1,399   0.39%, 01/19/2038 Δ   1,151 
 1,782   0.42%, 05/19/2047 Δ   882 
 1,043   0.56%, 09/19/2035 Δ   834 
     Home Equity Loan Trust     
 781   2.87%, 11/25/2035 Δ   702 
     Impac Commercial Mortgage Backed Trust     
 141   1.70%, 02/25/2036 Δ   132 
     Impac Secured Assets Trust     
 2,568   0.48%, 08/25/2036 Δ   1,755 
     IndyMac Index Mortgage Loan Trust     
 407   0.49%, 01/25/2036 Δ   265 
 2,018   0.60%, 07/25/2046 Δ   1,031 
 1,078   2.68%, 03/25/2036 Δ   809 
 160   2.91%, 12/25/2036 Δ   135 
     JP Morgan Chase Commercial Mortgage Securities Corp.     
 471   2.75%, 10/15/2045 ■   307 

 

The accompanying notes are an integral part of these financial statements.

 

6
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
ASSET & COMMERCIAL MORTGAGE BACKED SECURITIES - 19.0% - (continued)
     Finance and Insurance - 19.0% - (continued)     
     JP Morgan Chase Commercial Mortgage Securities Corp. - (continued)     
$1,400   2.83%, 10/15/2045  $1,429 
 1,430   2.84%, 12/15/2047 ╦   1,459 
 450   3.91%, 05/05/2030 ■Δ   489 
 1,810   4.67%, 10/15/2045 ■Δ   1,783 
 1,325   5.20%, 12/15/2044 ╦Δ   1,453 
 932   5.30%, 01/12/2043 Δ   1,023 
 300   5.31%, 08/15/2046 ■Δ   322 
 1,755   5.34%, 08/12/2037   1,881 
 810   5.71%, 02/12/2049 Δ   937 
 1,060   6.07%, 02/12/2051   1,176 
     JP Morgan Mortgage Trust     
 648   3.02%, 08/25/2036 Δ   549 
 530   3.10%, 09/25/2035 Δ   512 
 2,451   4.13%, 05/25/2036 Δ   2,232 
     LB-UBS Commercial Mortgage Trust     
 970   4.74%, 07/15/2030 Δ   1,035 
 1,075   4.95%, 09/15/2030   1,158 
 945   5.20%, 11/15/2030 Δ   1,027 
 1,085   5.43%, 02/15/2040   1,234 
 1,107   5.87%, 09/15/2045 ☼   1,278 
 200   5.87%, 06/15/2038 Δ   227 
 1,200   6.15%, 04/15/2041 Δ   1,445 
     Lehman XS Trust     
 682   0.41%, 07/25/2046 Δ   513 
     Merrill Lynch Mortgage Investors Trust     
 508   2.88%, 07/25/2035 Δ   428 
 290   4.75%, 06/12/2043   309 
 98   5.29%, 01/12/2044 Δ   107 
     Morgan Stanley ABS Capital I     
 2,194   0.26%, 12/25/2036 Δ   1,207 
     Morgan Stanley Capital I     
 1,150   4.99%, 08/13/2042   1,239 
 470   5.68%, 10/15/2042 Δ   522 
 900   5.69%, 04/15/2049 ╦Δ   1,035 
     Morgan Stanley Capital I Trust     
 610   5.16%, 10/12/2052 Δ   667 
     Morgan Stanley Mortgage Loan Trust     
 2,047   0.37%, 05/25/2036 - 11/25/2036 Δ   1,035 
     Option One Mortgage Loan Trust     
 216   0.45%, 03/25/2037 Δ   109 
     Residential Accredit Loans, Inc.     
 1,684   2.99%, 11/25/2037 Δ   940 
 2,268   4.24%, 04/25/2035 Δ   1,981 
     Residential Asset Securitization Trust     
 1,067   0.65%, 03/25/2035 Δ   820 
     RFMSI Trust     
 168   3.22%, 04/25/2037 Δ   145 
     Sequoia Mortgage Trust     
 329   0.47%, 01/20/2035 Δ   307 
 90   2.60%, 07/20/2037 Δ   74 
     Soundview Home Equity Loan Trust, Inc.     
 3,766   0.44%, 07/25/2036 Δ   2,117 
 2,480   1.30%, 09/25/2037 Δ   1,596 
     Structured Adjustable Rate Mortgage Loan Trust     
 2,680   2.53%, 02/25/2036 Δ   2,154 
     Structured Asset Mortgage Investments Trust     
 788   0.42%, 05/25/2046 Δ   457 
     UBS-Barclays Commercial Mortgage Trust     
 810   2.97%, 02/10/2023   818 
 1,425   3.18%, 03/10/2046 Δ   1,492 
 1,015   3.53%, 05/10/2063   1,093 
     Wachovia Bank Commercial Mortgage Trust     
 525   4.94%, 04/15/2042   561 
 809   5.24%, 10/15/2044 ‡Δ   882 
 209   5.42%, 01/15/2045 Δ   229 
     Wells Fargo Alternative Loan Trust     
 350   6.25%, 11/25/2037   337 
     Wells Fargo Commercial Mortgage Trust     
 1,374   2.92%, 10/15/2045 ‡   1,411 
 270   4.78%, 10/15/2045 ■Δ   269 
     Wells Fargo Mortgage Backed Securities Trust     
 1,880   2.72%, 04/25/2036 Δ   1,771 
 610   3.04%, 09/25/2036 Δ   538 
 230   5.15%, 10/25/2035 Δ   228 
     WF-RBS Commercial Mortgage Trust     
 8,569   2.67%, 11/15/2044 ■►   1,011 
 795   2.88%, 12/15/2045 ‡   814 
 1,700   3.07%, 03/15/2045   1,765 
 535   3.20%, 03/15/2048   561 
 550   4.19%, 03/15/2045 ■Δ   433 
 2,661   4.46%, 12/15/2045 ■Δ   2,123 
 3,565   4.80%, 11/15/2045 ■Δ   3,287 
 290   4.87%, 02/15/2044 ■‡   341 
 445   4.90%, 06/15/2044 ■‡   525 
 635   5.00%, 06/15/2044 ■   552 
 710   5.56%, 04/15/2045 ■Δ   762 
         131,859 
           
     Total asset & commercial mortgage backed securities     
     (cost $123,544)  $131,859 
           
CORPORATE BONDS - 19.0%
     Accommodation and Food Services - 0.4%     
     Caesars Operating Escrow     
$500   9.00%, 02/15/2020 ■  $492 
     Choice Hotels International, Inc.     
 621   5.75%, 07/01/2022   696 
     Wynn Las Vegas LLC     
 1,135   7.75%, 08/15/2020   1,300 
         2,488 
     Administrative Waste Management and Remediation - 0.2%     
     Casella Waste Systems, Inc.     
 140   7.75%, 02/15/2019   135 
     Clean Harbors, Inc.     
 60   5.13%, 06/01/2021 ■   63 
 191   5.25%, 08/01/2020   202 
     Equinix, Inc.     
 50   4.88%, 04/01/2020   52 
 305   5.38%, 04/01/2023   320 

 

The accompanying notes are an integral part of these financial statements.

 

7
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
CORPORATE BONDS - 19.0% - (continued)
     Administrative Waste Management and Remediation - 0.2% - (continued)     
     Iron Mountain, Inc.     
$140   5.75%, 08/15/2024  $144 
 240   7.75%, 10/01/2019   271 
         1,187 
     Agriculture, Forestry, Fishing and Hunting - 0.0%     
     Ainsworth Lumber Ltd.     
 90   7.50%, 12/15/2017 ■   98 
           
     Apparel Manufacturing - 0.1%     
     Hanesbrands, Inc.     
 480   6.38%, 12/15/2020   531 
     Phillips Van-Heusen Corp.     
 270   7.38%, 05/15/2020   303 
     PVH Corp.     
 160   4.50%, 12/15/2022   165 
         999 
     Arts, Entertainment and Recreation - 1.3%     
     AMC Entertainment, Inc.     
 131   8.75%, 06/01/2019   144 
 195   9.75%, 12/01/2020   227 
     Carlson Wagonlit B.V.     
 200   6.88%, 06/15/2019 ■   212 
     CCO Holdings LLC     
 2,505   5.25%, 09/30/2022 ‡   2,552 
 270   5.75%, 01/15/2024 ☼   281 
     Cedar Fair L.P.     
 150   5.25%, 03/15/2021 ■   153 
     Cinemark USA, Inc.     
 30   5.13%, 12/15/2022 ■   31 
     Emdeon, Inc.     
 355   11.00%, 12/31/2019   414 
     Fidelity National Information Services, Inc.     
 750   5.00%, 03/15/2022   827 
     Great Canadian Gaming Co.     
CAD120   6.63%, 07/25/2022 ■   125 
     Greektown Superholdings, Inc.     
 380   13.00%, 07/01/2015   408 
     Isle of Capri Casinos, Inc.     
 361   8.88%, 06/15/2020   397 
     Liberty Media Corp.     
 650   8.50%, 07/15/2029   734 
     NAI Entertainment Holdings LLC     
 267   8.25%, 12/15/2017 ■   290 
     National CineMedia LLC     
 75   6.00%, 04/15/2022   82 
     NBC Universal Enterprise     
 440   5.25%, 12/19/2049 ■   444 
     NCR Corp.     
 565   4.63%, 02/15/2021 ■   565 
 60   5.00%, 07/15/2022 ■   61 
     Regal Entertainment Group     
 72   5.75%, 02/01/2025   73 
     Sirius XM Radio, Inc.     
 115   5.25%, 08/15/2022 ■   119 
     Starz Financial Corp     
 120   5.00%, 09/15/2019   125 
     Univision Communications, Inc.     
 310   6.75%, 09/15/2022 ■   344 
     Videotron Ltee     
 557   5.00%, 07/15/2022   574 
         9,182 
     Beverage and Tobacco Product Manufacturing - 0.2%     
     Constellation Brands, Inc.     
 120   4.25%, 05/01/2023 ☼   120 
 740   6.00%, 05/01/2022   854 
 415   7.25%, 05/15/2017   483 
         1,457 
     Chemical Manufacturing - 0.3%     
     Ashland, Inc.     
 235   4.75%, 08/15/2022 ■   246 
     Ferro Corp.     
 180   7.88%, 08/15/2018   189 
     Hexion Specialty Chemicals     
 265   8.88%, 02/01/2018   281 
     Hexion U.S. Finance Corp.     
 125   6.63%, 04/15/2020   130 
     Ineos Group Holdings plc     
 505   8.50%, 02/15/2016 ■   513 
     LyondellBasell Industries N.V.     
 300   6.00%, 11/15/2021   364 
         1,723 
     Computer and Electronic Product Manufacturing - 0.5%     
     CDW Escrow Corp.     
 800   8.50%, 04/01/2019   897 
     Esterline Technologies Corp.     
 530   7.00%, 08/01/2020   586 
     Freescale Semiconductor, Inc.     
 135   8.05%, 02/01/2020   145 
     Jabil Circuit, Inc.     
 180   4.70%, 09/15/2022   183 
     Micron Technology, Inc.     
 100   1.63%, 02/15/2033 ۞■   113 
 83   2.13%, 02/15/2033 ۞■   93 
     ON Semiconductor Corp.     
 87   2.63%, 12/15/2026 ۞   99 
     Seagate HDD Cayman     
 725   6.88%, 05/01/2020   787 
 490   7.00%, 11/01/2021   540 
         3,443 
     Construction - 0.3%     
     K Hovnanian Enterprises, Inc.     
 486   9.13%, 11/15/2020 ■   552 
     KB Home     
 181   1.38%, 02/01/2019 ۞   210 
 371   7.50%, 09/15/2022   423 
     Lennar Corp.     
 475   4.75%, 12/15/2017   503 
 200   4.75%, 11/15/2022 ■   201 
     Pulte Homes, Inc.     
 90   6.38%, 05/15/2033   91 
     Ryland Group, Inc.     
 255   5.38%, 10/01/2022   265 
         2,245 

 

The accompanying notes are an integral part of these financial statements.

 

8
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
CORPORATE BONDS - 19.0% - (continued)
     Fabricated Metal Product Manufacturing - 0.3%     
     Anixter International, Inc.     
$105   5.63%, 05/01/2019  $112 
     Ball Corp.     
 230   5.00%, 03/15/2022   244 
 640   6.75%, 09/15/2020   706 
     Crown Americas, Inc.     
 175   4.50%, 01/15/2023 ■   179 
     Masco Corp.     
 520   5.95%, 03/15/2022   589 
     Ply Gem Industries, Inc.     
 130   9.38%, 04/15/2017   144 
         1,974 
     Finance and Insurance - 3.3%     
     Ally Financial, Inc.     
 495   5.50%, 02/15/2017   540 
     CIT Group, Inc.     
 1,222   5.50%, 02/15/2019 ■‡   1,378 
     Community Choice Financial, Inc.     
 300   10.75%, 05/01/2019   292 
     Credit Acceptance Corp.     
 471   9.13%, 02/01/2017   513 
     DuPont Fabros Technology L.P.     
 260   8.50%, 12/15/2017   280 
     Felcor Lodging L.P.     
 130   5.63%, 03/01/2023 ■   135 
     Fibria Overseas Finance Ltd.     
 830   6.75%, 03/03/2021 ■   927 
     Host Hotels & Resorts L.P.     
 700   6.00%, 11/01/2020   783 
     Ineos Finance plc     
 481   8.38%, 02/15/2019 ■   542 
 300   9.00%, 05/15/2015 ■   314 
     ING US, Inc.     
 591   5.50%, 07/15/2022 ■   672 
     Ladder Capital Finance Holdings LLC     
 836   7.38%, 10/01/2017 ■   868 
     Lloyds Banking Group plc     
 520   6.50%, 09/14/2020 ■   594 
 1,000   7.88%, 11/01/2020 ■   1,092 
     Mapfre S.A.     
EUR1,450   5.92%, 07/24/2037   1,783 
     Minerva Luxembourg S.A.     
 560   7.75%, 01/31/2023 ■   598 
     National Money Mart Co.     
 230   10.38%, 12/15/2016   248 
     Nationstar Mortgage LLC     
 310   7.88%, 10/01/2020 ■   347 
     Natixis     
 4,900   0.53%, 01/15/2019 Δ   4,729 
     Nuveen Investments, Inc.     
 160   9.13%, 10/15/2017 ■   171 
 351   9.50%, 10/15/2020 ■   378 
     Provident Funding Associates L.P.     
 571   10.25%, 04/15/2017 ■   638 
     Royal Bank of Scotland plc     
 1,480   6.13%, 12/15/2022   1,592 
     SLM Corp.     
 100   6.00%, 01/25/2017   108 
 545   6.25%, 01/25/2016   593 
 840   8.45%, 06/15/2018   986 
     Softbank Corp.     
 605   4.50%, 04/15/2020 ■   627 
     TitleMax, Inc.     
 460   13.25%, 07/15/2015   501 
     UBS AG Stamford CT     
 515   7.63%, 08/17/2022   597 
         22,826 
     Food Manufacturing - 0.0%     
     Pinnacle Foods Finance LLC     
 250   4.88%, 05/01/2021 ■   257 
           
     Food Services - 0.1%     
     ARAMARK Corp.     
 335   5.75%, 03/15/2020 ■   351 
           
     Furniture and Related Product Manufacturing - 0.0%     
     Tempur-Pedic International, Inc.     
 40   6.88%, 12/15/2020 ■   44 
           
     Health Care and Social Assistance - 1.3%     
     Alere, Inc.     
 485   9.00%, 05/15/2016   509 
     Biomet, Inc.     
 425   6.50%, 08/01/2020 - 10/01/2020 ■   450 
     BioScrip, Inc.     
 305   10.25%, 10/01/2015   322 
     Community Health Systems, Inc.     
 1,371   5.13%, 08/15/2018 ‡   1,467 
 265   7.13%, 07/15/2020   296 
     Exelixis, Inc.     
 110   4.25%, 08/15/2019 ۞   115 
     Fresenius Medical Care U.S. Finance II, Inc.     
 340   5.63%, 07/31/2019 ■   380 
 250   9.00%, 07/15/2015 ■   288 
     HCA, Inc.     
 360   4.75%, 05/01/2023   375 
 260   5.88%, 05/01/2023   283 
 340   6.25%, 02/15/2021   372 
 800   6.50%, 02/15/2020   924 
 905   7.50%, 11/15/2095 ‡   840 
 1,225   8.50%, 04/15/2019   1,351 
     Health Management Associates, Inc.     
 155   7.38%, 01/15/2020   172 
     Hologic, Inc.     
 275   2.00%, 03/01/2042 ۞   280 
 65   6.25%, 08/01/2020   70 
     Radiation Therapy Services, Inc.     
 86   8.88%, 01/15/2017   82 
     Savient Pharmaceuticals, Inc.     
 350   4.75%, 02/01/2018 ۞   84 
     Tenet Healthcare Corp.     
 85   4.50%, 04/01/2021 ■   87 
         8,747 

 

The accompanying notes are an integral part of these financial statements.

 

9
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
CORPORATE BONDS - 19.0% - (continued)
     Information - 3.1%     
     Altice Financing S.A.     
$330   7.88%, 12/15/2019 ■  $365 
     Audatex North America, Inc.     
 605   6.75%, 06/15/2018 ■   651 
     Brocade Communications Systems, Inc.     
 475   4.63%, 01/15/2023 ■   467 
     CSC Holdings LLC     
 305   7.63%, 07/15/2018   358 
     DISH DBS Corp.     
 140   5.00%, 03/15/2023 ■   136 
 2,250   5.88%, 07/15/2022 ‡   2,295 
 835   6.75%, 06/01/2021   902 
 425   7.88%, 09/01/2019   484 
     First Data Corp.     
 410   6.75%, 11/01/2020 ■   440 
 595   8.25%, 01/15/2021 ■   632 
     Harron Communications L.P.     
 185   9.13%, 04/01/2020 ■   210 
     Hughes Satellite Systems Corp.     
 630   6.50%, 06/15/2019   701 
     Intelsat Jackson Holdings S.A.     
 280   6.63%, 12/15/2022 ■   303 
 250   7.50%, 04/01/2021   282 
     Intelsat Luxembourg S.A.     
 60   6.75%, 06/01/2018 ■   63 
 560   7.75%, 06/01/2021 ■   591 
     InterActiveCorp     
 130   4.75%, 12/15/2022 ■   131 
     Lawson Software, Inc.     
 147   9.38%, 04/01/2019   168 
     Level 3 Communications, Inc.     
 105   8.88%, 06/01/2019 ■   116 
     Level 3 Escrow, Inc.     
 75   8.13%, 07/01/2019   83 
     Level 3 Financing, Inc.     
 527   10.00%, 02/01/2018   580 
     MetroPCS Wireless, Inc.     
 640   7.88%, 09/01/2018   705 
     Netflix, Inc.     
 255   5.38%, 02/01/2021 ■   263 
     NII Capital Corp.     
 240   7.63%, 04/01/2021   212 
     NII International Telecom Sarl     
 55   11.38%, 08/15/2019 ■   63 
     SBA Communications Corp.     
 265   5.63%, 10/01/2019 ■   279 
     SBA Telecommunications, Inc.     
 180   5.75%, 07/15/2020 ■   192 
     SBA Tower Trust     
 1,355   3.60%, 04/16/2043 ■   1,355 
     Softbrands, Inc.     
 103   11.50%, 07/15/2018   121 
     Sprint Nextel Corp.     
 799   7.00%, 03/01/2020 ■   909 
 451   9.00%, 11/15/2018 ■   555 
     Syniverse Holdings, Inc.     
 480   9.13%, 01/15/2019   532 
     TW Telecom Holdings, Inc.     
 130   5.38%, 10/01/2022   136 
     Unitymedia Hessen GmbH & Co.     
 330   5.50%, 01/15/2023 ■   341 
 490   7.50%, 03/15/2019 ■   538 
     UPCB Finance III Ltd.     
 1,125   6.63%, 07/01/2020 ■   1,223 
     Vimpelcom Holdings     
 1,285   5.95%, 02/13/2023 ■   1,304 
     Wind Acquisition Finance S.A.     
 720   7.25%, 02/15/2018 ■   757 
     Windstream Corp.     
 125   6.38%, 08/01/2023   129 
 1,515   7.75%, 10/15/2020   1,663 
 225   7.88%, 11/01/2017   263 
     Zayo Group LLC     
 10   8.13%, 01/01/2020   11 
 5   10.13%, 07/01/2020   6 
         21,515 
     Machinery Manufacturing - 0.3%     
     Case New Holland, Inc.     
 1,700   7.88%, 12/01/2017 ‡   2,023 
     Gibraltar Industries, Inc.     
 65   6.25%, 02/01/2021 ■   70 
     Weekley Homes LLC     
 35   6.00%, 02/01/2023 ■   36 
         2,129 
     Media - 0.1%     
     Gray Television, Inc.     
 425   7.50%, 10/01/2020   461 
           
     Mining - 0.6%     
     American Rock Salt Co. LLC     
 81   8.25%, 05/01/2018 ■   78 
     Consol Energy, Inc.     
 130   8.00%, 04/01/2017   141 
     FMG Resources Pty Ltd.     
 980   6.00%, 04/01/2017 ■   1,019 
     Peabody Energy Corp.     
 575   6.25%, 11/15/2021   613 
 855   6.50%, 09/15/2020   932 
 900   7.38%, 11/01/2016   1,031 
     Vulcan Materials Co.     
 60   7.15%, 11/30/2037   62 
 100   7.50%, 06/15/2021   118 
         3,994 
     Miscellaneous Manufacturing - 0.4%     
     BE Aerospace, Inc.     
 1,525   5.25%, 04/01/2022   1,624 
     Bombardier, Inc.     
 300   7.75%, 03/15/2020 ■   355 
     DigitalGlobe, Inc.     
 250   5.25%, 02/01/2021 ■   253 
     Owens-Brockway Glass Container, Inc.     
 35   7.38%, 05/15/2016   40 

 

The accompanying notes are an integral part of these financial statements.

 

10
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
CORPORATE BONDS - 19.0% - (continued)
     Miscellaneous Manufacturing - 0.4% - (continued)     
     TransDigm Group, Inc.     
$490   7.75%, 12/15/2018  $543 
         2,815 
     Motor Vehicle and Parts Manufacturing - 0.3%     
     Meritor, Inc.     
 350   10.63%, 03/15/2018   386 
     Tenneco, Inc.     
 645   6.88%, 12/15/2020   712 
     TRW Automotive, Inc.     
 950   7.25%, 03/15/2017 ■   1,098 
         2,196 
     Nonmetallic Mineral Product Manufacturing - 0.4%     
     Ardagh Packaging Finance plc     
 275   7.38%, 10/15/2017 ■   303 
 200   9.13%, 10/15/2020 ■   226 
     Cemex S.A.B. de C.V.     
 105   3.75%, 03/15/2018   138 
     Grupo Cementos Chihuahua     
 1,180   8.13%, 02/08/2020 ■   1,254 
     Silgan Holdings, Inc.     
 730   5.00%, 04/01/2020   759 
         2,680 
     Other Services - 0.1%     
     Service Corp. International     
 530   4.50%, 11/15/2020   541 
           
     Paper Manufacturing - 0.3%     
     Boise Cascade LLC     
 90   6.38%, 11/01/2020 ■   96 
     Cascades, Inc.     
 275   7.88%, 01/15/2020   297 
     Clearwater Paper Corp.     
 120   4.50%, 02/01/2023 ■   120 
     P.H. Glatfelter Co.     
 420   5.38%, 10/15/2020   443 
     Rock-Tenn Co.     
 40   3.50%, 03/01/2020   42 
 300   4.00%, 03/01/2023   312 
     Smurfit Kappa Acquisitions     
 410   4.88%, 09/15/2018 ■   425 
         1,735 
     Petroleum and Coal Products Manufacturing - 1.1%     
     Antero Resources Finance Corp.     
 320   7.25%, 08/01/2019   347 
     Chesapeake Energy Corp.     
 521   2.50%, 05/15/2037 ۞   503 
     Continental Resources, Inc.     
 360   5.00%, 09/15/2022   392 
     Denbury Resources, Inc.     
 435   4.63%, 07/15/2023   439 
     EDC Finance Ltd.     
 1,115   4.88%, 04/17/2020 ■   1,125 
     Endeavour International Corp.     
 300   12.00%, 03/01/2018   284 
     EPE Holding/EP Energy Bond     
 120   8.13%, 12/15/2017 ■Þ   124 
     Everest Acquisition LLC     
 165   6.88%, 05/01/2019   181 
 373   9.38%, 05/01/2020   435 
     Ferrellgas Partners L.P.     
 90   6.50%, 05/01/2021   95 
     Harvest Operations Corp.     
 81   6.88%, 10/01/2017   91 
     Hornbeck Offshore Services, Inc.     
 75   5.88%, 04/01/2020   79 
     MEG Energy Corp.     
 305   6.38%, 01/30/2023 ■   322 
     Newfield Exploration Co.     
 625   5.75%, 01/30/2022   691 
 600   6.88%, 02/01/2020   654 
     Range Resources Corp.     
 250   5.75%, 06/01/2021   273 
 550   6.75%, 08/01/2020   610 
     Rosetta Resources, Inc.     
 160   5.63%, 05/01/2021 ☼   167 
 305   9.50%, 04/15/2018   338 
     Seadrill Ltd.     
 640   5.63%, 09/15/2017 ■   654 
         7,804 
     Pipeline Transportation - 0.7%     
     El Paso Corp.     
 520   7.00%, 06/15/2017   598 
 630   7.80%, 08/01/2031   713 
     Energy Transfer Equity L.P.     
 1,250   7.50%, 10/15/2020   1,463 
     Kinder Morgan Finance Co.     
 1,615   6.00%, 01/15/2018 ■╦   1,794 
     MarkWest Energy Partners L.P.     
 170   5.50%, 02/15/2023   187 
 182   6.25%, 06/15/2022   202 
         4,957 
     Plastics and Rubber Products Manufacturing - 0.1%     
     Associated Materials LLC     
 10   9.13%, 11/01/2017   11 
 75   9.13%, 11/01/2017 ■☼   81 
     Continental Rubber of America Corp.     
 445   4.50%, 09/15/2019 ■   462 
     Nortek, Inc.     
 125   8.50%, 04/15/2021   140 
 110   8.50%, 04/15/2021 ■   122 
         816 
     Printing and Related Support Activities - 0.2%     
     Deluxe Corp.     
 185   6.00%, 11/15/2020 ■   192 
 465   7.00%, 03/15/2019   509 
     Quebecor Media, Inc.     
 60   5.75%, 01/15/2023 ■   63 
     Valassis Communications, Inc.     
 690   6.63%, 02/01/2021   732 
         1,496 
     Professional, Scientific and Technical Services - 0.2%     
     Flextronics International Ltd.     
 115   4.63%, 02/15/2020 ■   118 
 170   5.00%, 02/15/2023 ■   173 
     Lamar Media Corp.     
 405   5.88%, 02/01/2022   443 

 

The accompanying notes are an integral part of these financial statements.

 

11
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
CORPORATE BONDS - 19.0% - (continued)
     Professional, Scientific and Technical Services - 0.2% - (continued)     
     Lender Processing Services, Inc.     
$205   5.75%, 04/15/2023  $219 
     SunGard Data Systems, Inc.     
 475   7.38%, 11/15/2018   513 
 155   7.63%, 11/15/2020   171 
         1,637 
     Real Estate, Rental and Leasing - 1.0%     
     Air Lease Corp.     
 395   4.50%, 01/15/2016   411 
 755   6.13%, 04/01/2017   827 
     CBRE Services, Inc.     
 575   5.00%, 03/15/2023   589 
     Hertz Global Holdings, Inc.     
 135   5.88%, 10/15/2020   147 
 85   6.25%, 10/15/2022   95 
     International Lease Finance Corp.     
 500   5.65%, 06/01/2014   522 
 375   5.75%, 05/15/2016   408 
 1,960   5.88%, 04/01/2019 ╦   2,151 
 100   6.25%, 05/15/2019   112 
 760   6.75%, 09/01/2016 ■   864 
     United Rentals North America, Inc.     
 575   5.75%, 07/15/2018   627 
         6,753 
     Retail Trade - 1.0%     
     99 Cents Only Stores     
 360   11.00%, 12/15/2019   416 
     AmeriGas Finance LLC     
 715   7.00%, 05/20/2022   799 
     Arcelik AS     
 995   5.00%, 04/03/2023 ■   1,022 
     AutoNation, Inc.     
 325   5.50%, 02/01/2020   357 
     Building Materials Corp.     
 644   6.75%, 05/01/2021 ■   713 
 141   7.50%, 03/15/2020 ■   156 
     GRD Holding III Corp.     
 250   10.75%, 06/01/2019 ■   268 
     JC Penney Corp., Inc.     
 105   5.65%, 06/01/2020   90 
 85   6.38%, 10/15/2036   68 
 170   7.40%, 04/01/2037   143 
 20   7.95%, 04/01/2017   20 
     Ltd. Brands, Inc.     
 1,145   5.63%, 02/15/2022   1,235 
 95   6.95%, 03/01/2033   100 
     Michaels Stores, Inc.     
 445   7.75%, 11/01/2018   489 
     PC Merger Sub, Inc.     
 395   8.88%, 08/01/2020 ■   446 
     Sally Holdings LLC     
 530   5.75%, 06/01/2022   571 
     Sotheby's     
 365   5.25%, 10/01/2022 ■   374 
         7,267 
     Soap, Cleaning Compound and Toilet Manufacturing - 0.0%     
     Avon Products, Inc.     
 50   4.60%, 03/15/2020   53 
 190   5.00%, 03/15/2023   207 
         260 
     Transportation Equipment Manufacturing - 0.1%     
     Huntington Ingalls Industries, Inc.     
 150   6.88%, 03/15/2018   166 
 575   7.13%, 03/15/2021   640 
         806 
     Utilities - 0.7%     
     AES (The) Corp.     
 1,100   8.00%, 06/01/2020   1,334 
     Calpine Corp.     
 1,404   7.50%, 02/15/2021 ■   1,587 
     Dolphin Subsidiary II, Inc.     
 1,005   7.25%, 10/15/2021   1,070 
     EDP Finance B.V.     
 645   4.90%, 10/01/2019 ■   655 
     Texas Competitive Electric Co.     
 410   11.50%, 10/01/2020 ■   323 
         4,969 
     Water Transportation - 0.0%     
     Royal Caribbean Cruises Ltd.     
 100   5.25%, 11/15/2022   103 
           
     Total corporate bonds     
     (cost $126,098)  $131,955 
           
FOREIGN GOVERNMENT OBLIGATIONS - 32.4%
     Argentina - 0.9%     
     Argentina (Republic of)     
$4,225   7.00%, 04/17/2017  $3,443 
 4,643   8.28%, 12/31/2033   2,673 
         6,116 
     Austria - 0.3%     
     Austria (Republic of)     
EUR 630   3.50%, 09/15/2021 ■  $976 
EUR860   4.65%, 01/15/2018 ■   1,349 
         2,325 
     Belgium - 0.6%     
     Belgium (Kingdom of)     
EUR430   3.75%, 09/28/2020   663 
EUR525   4.00%, 03/28/2022   824 
EUR1,180   4.00%, 03/28/2017 ■   1,761 
EUR480   4.25%, 09/28/2014   669 
         3,917 
     Brazil - 2.4%     
     Brazil (Republic of)     
 1,750   5.63%, 01/07/2041 ‡   2,194 
 3,500   5.88%, 01/15/2019 ‡   4,280 
 895   7.88%, 03/07/2015 ‡   1,008 
 3,450   8.25%, 01/20/2034 ‡   5,534 
 2,075   11.00%, 08/17/2040 ‡   2,540 
 715   12.25%, 03/06/2030 ‡   1,426 
         16,982 

 

The accompanying notes are an integral part of these financial statements.

 

12
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
FOREIGN GOVERNMENT OBLIGATIONS - 32.4% - (continued)
     Bulgaria - 0.1%     
     Bulgaria (Republic of)     
$400   8.25%, 01/15/2015 §  $449 
           
     Colombia - 1.1%     
     Colombia (Republic of)     
 1,800   7.38%, 09/18/2037 ‡   2,725 
 700   8.13%, 05/21/2024 ‡   1,032 
COP56,000   9.85%, 06/28/2027   48 
 2,430   11.75%, 02/25/2020 ‡   3,869 
COP 103,000   12.00%, 10/22/2015   67 
         7,741 
     Croatia - 0.3%     
     Croatia (Republic of)     
 1,940   6.38%, 03/24/2021 §   2,192 
           
     Denmark - 0.1%     
     Denmark (Kingdom of)     
DKK 3,915   4.00%, 11/15/2019   842 
           
     Ecuador - 0.0%     
     Ecuador (Republic of)     
 220   9.38%, 12/15/2015 §   231 
           
     Finland - 0.1%     
     Finland (Republic of)     
EUR 350   3.38%, 04/15/2020   537 
EUR 200   3.88%, 09/15/2017   303 
         840 
     France - 1.2%     
     France (Government of)     
EUR 1,040   3.00%, 07/12/2014   1,417 
EUR 4,445   3.75%, 04/25/2017   6,608 
EUR 40   4.50%, 04/25/2041   70 
         8,095 
     Hungary - 0.5%     
     Hungary (Republic of)     
 330   4.75%, 02/03/2015   339 
 1,284   5.38%, 02/21/2023   1,324 
 580   6.25%, 01/29/2020   644 
HUF 123,980   6.75%, 02/24/2017   581 
HUF21,650   7.50%, 11/12/2020   108 
 700   7.63%, 03/29/2041   822 
         3,818 
     Indonesia - 1.3%     
     Indonesia (Republic of)     
 750   6.75%, 03/10/2014 §   784 
 3,515   6.88%, 01/17/2018 §   4,240 
 2,590   7.75%, 01/17/2038 §   3,846 
 275   8.50%, 10/12/2035 §   427 
         9,297 
     Ireland - 0.2%     
     Ireland (Republic of)     
EUR 775   4.50%, 10/18/2018 - 04/18/2020   1,113 
         1,113 
     Italy - 1.3%     
     Italy (Republic of)     
EUR 1,975   4.25%, 08/01/2014   2,705 
EUR 530   5.00%, 03/01/2022   768 
     Italy Buoni Poliennali del Tesoro     
EUR 4,150   3.50%, 11/01/2017   5,667 
         9,140 
     Japan - 3.0%     
     Japan (Government of)     
JPY 141,750   0.30%, 03/20/2017   1,458 
JPY701,150   0.40%, 09/20/2016   7,243 
JPY458,250   0.50%, 03/20/2016   4,746 
JPY140,000   0.60%, 03/20/2016 - 03/20/2023 ☼   1,451 
JPY 75,000   0.80%, 12/20/2022   785 
JPY277,300   1.10%, 03/20/2021   2,982 
JPY85,850   1.30%, 12/20/2018   930 
JPY92,350   1.40%, 09/20/2019   1,010 
         20,605 
     Malaysia - 0.4%     
     Malaysia (Government of)     
MYR 3,060   4.26%, 09/15/2016   1,046 
MYR3,065   4.38%, 11/29/2019   1,070 
MYR1,020   5.09%, 04/30/2014   342 
         2,458 
     Mexico - 3.4%     
     Mexican Bonos De Desarrollo     
MXN 7,236   6.50%, 06/10/2021 - 06/09/2022   681 
MXN 13,313   7.25%, 12/15/2016   1,213 
MXN 14,971   10.00%, 12/05/2024   1,837 
     United Mexican States     
 7,322   3.63%, 03/15/2022   7,981 
 6,998   4.75%, 03/08/2044   7,743 
 2,226   5.75%, 10/12/2110   2,622 
 476   5.88%, 02/17/2014   494 
MXN2,125   7.75%, 12/14/2017   202 
MXN 6,916   9.50%, 12/18/2014   619 
         23,392 
     Netherlands - 0.5%     
     Netherlands (Kingdom of)     
EUR 655   2.25%, 07/15/2022   927 
EUR1,180   4.00%, 07/15/2018   1,820 
EUR500   4.50%, 07/15/2017   770 
         3,517 
     Norway - 0.0%     
     Norway (Kingdom of)     
NOK 1,545   3.75%, 05/25/2021   306 
           
     Panama - 0.7%     
     Panama (Republic of)     
 875   7.25%, 03/15/2015 ╦   974 
 1,770   8.88%, 09/30/2027 ╦   2,829 
 440   9.38%, 04/01/2029   747 
         4,550 
     Peru - 0.9%     
     Peru (Republic of)     
PEN 650   7.84%, 08/12/2020   308 
 2,800   8.75%, 11/21/2033 ╦   4,788 
 900   9.88%, 02/06/2015 ╦   1,040 
         6,136 

 

The accompanying notes are an integral part of these financial statements.

 

13
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
FOREIGN GOVERNMENT OBLIGATIONS - 32.4% - (continued)
     Philippines - 1.9%     
     Philippines (Republic of)     
$1,760   6.38%, 01/15/2032 ╦  $2,381 
 6,315   10.63%, 03/16/2025 ╦   10,822 
         13,203 
     Poland - 0.5%     
     Poland (Republic of)     
PLN 3,445   4.66%, 01/25/2014 ○   1,068 
PLN6,005   5.25%, 10/25/2017 - 10/25/2020   2,127 
PLN1,555   5.75%, 10/25/2021   587 
         3,782 
     Russia - 2.4%     
     Russia (Federation of)     
 1,400   3.25%, 04/04/2017 §   1,480 
 3,400   3.63%, 04/29/2015 §   3,562 
 3,100   5.00%, 04/29/2020 §   3,577 
 2,861   7.50%, 03/31/2030 §   3,599 
     Russian Federation     
 2,360   12.75%, 06/24/2028 §   4,625 
         16,843 
     Singapore - 0.1%     
     Singapore (Republic of)     
SGD 940   3.75%, 09/01/2016   852 
           
     South Africa - 0.9%     
     South Africa (Republic of)     
 205   6.50%, 06/02/2014   217 
 2,855   6.88%, 05/27/2019 ╦   3,562 
ZAR 1,000   7.00%, 02/28/2031   108 
ZAR 7,230   8.00%, 12/21/2018   890 
ZAR1,730   8.25%, 09/15/2017   212 
ZAR 6,160   10.50%, 12/21/2026   913 
         5,902 
     Spain - 0.9%     
     Spain (Kingdom of)     
EUR 1,025   3.30%, 10/31/2014   1,388 
EUR280   3.80%, 01/31/2017   384 
EUR2,000   4.50%, 01/31/2018   2,815 
EUR1,340   5.50%, 04/30/2021   1,977 
         6,564 
     Sweden - 0.3%     
     Sweden (Kingdom of)     
SEK 3,940   1.50%, 11/13/2023   602 
SEK6,690   3.75%, 08/12/2017   1,149 
SEK2,810   4.25%, 03/12/2019   508 
         2,259 
     Switzerland - 0.1%     
     Switzerland (Republic of)     
CHF 160   2.00%, 05/25/2022   195 
CHF270   3.00%, 01/08/2018   330 
         525 
     Turkey - 3.0%     
     Turkey (Republic of)     
 5,225   5.13%, 03/25/2022   5,970 
 530   5.63%, 03/30/2021   621 
 4,260   6.00%, 01/14/2041   5,123 
 3,140   7.25%, 03/15/2015   3,462 
 3,440   7.50%, 07/14/2017   4,149 
TRY 1,000   10.00%, 06/17/2015   610 
TRY785   10.50%, 01/15/2020   544 
         20,479 
     Ukraine - 0.3%     
     Ukraine (Government of)     
 1,990   6.25%, 06/17/2016 §   1,945 
           
     United Kingdom - 0.4%     
     United Kingdom (Government of)     
GBP 580   1.00%, 09/07/2017   916 
GBP115   1.75%, 09/07/2022   180 
GBP1,005   2.00%, 01/22/2016   1,632 
         2,728 
     Venezuela - 2.3%     
     Venezuela (Republic of)     
 5,170   7.00%, 12/01/2018 §   4,808 
 2,380   8.25%, 10/13/2024 §   2,146 
 4,320   11.95%, 08/05/2031 §   4,758 
 3,615   12.75%, 08/23/2022 §   4,127 
         15,839 
     Total foreign government obligations     
     (cost $217,206)  $224,983 
           
SENIOR FLOATING RATE INTERESTS ♦ - 19.3%
     Accommodation and Food Services - 0.5%     
     Caesars Entertainment Operating Co., Inc.     
$1,397   4.45%, 01/28/2018  $1,248 
 1,935   9.50%, 10/31/2016   1,962 
         3,210 
     Administrative Waste Management and Remediation - 0.5%     
     Acosta, Inc.     
 1,107   5.00%, 03/02/2018   1,123 
     ADS Waste Holdings, Inc.     
 434   4.25%, 10/09/2019   439 
     Affinia Group, Inc.     
 115   04/11/2016 ◊☼   116 
     Audio Visual Services Group, Inc.     
 1,264   6.75%, 11/09/2018   1,283 
     Brickman Group Holdings, Inc.     
 698   5.50%, 10/14/2016   707 
         3,668 
     Agriculture, Construction, Mining and Machinery - 0.1%     
     Pro Mach, Inc.     
 410   5.00%, 07/06/2017   412 
           
     Air Transportation - 0.3%     
     AWAS Finance Luxembourg S.aár.l.     
 565   4.75%, 07/16/2018   568 
     Delta Air Lines, Inc.     
 613   4.00%, 10/18/2018   620 

 

The accompanying notes are an integral part of these financial statements.

 

14
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS ♦ - 19.3% - (continued)
     Air Transportation - 0.3% - (continued)     
     Delta Air Lines, Inc., Term Loan     
$990   4.25%, 04/20/2017  $1,003 
         2,191 
     Apparel Manufacturing - 0.1%     
     J. Crew Group, Inc.     
 990   4.00%, 03/07/2018   1,000 
           
     Arts, Entertainment and Recreation - 1.2%     
     Affinity Gaming LLC     
 564   5.50%, 11/09/2017   573 
     Formula One Holdings     
 921   6.00%, 04/30/2019   935 
     FoxCo Acquisition LLC     
 264   5.50%, 07/14/2017   268 
     Golden Nugget, Inc.     
 289   3.20%, 06/22/2014 Þ   279 
     Golden Nugget, Inc., Delayed Draw     
 161   3.20%, 06/22/2014 Þ   156 
     Kabel Deutschland Holding AG     
 1,550   3.25%, 02/01/2019   1,557 
     MGM Resorts International     
 918   4.25%, 12/20/2019   931 
     Penn National Gaming, Inc.     
 414   3.75%, 07/16/2018   418 
     ROC Finance LLC     
 422   8.28%, 08/19/2017 Б   433 
     Rock Ohio Caesars LLC     
 96   8.28%, 08/19/2017 ☼   98 
     Salem Communications Corp.     
 165   4.50%, 03/13/2020   167 
     Seminole (The) Tribe of Florida, Inc.     
 310   04/11/2020 ◊☼   312 
     Town Sports International LLC     
 1,214   5.75%, 04/27/2018   1,234 
     Tribune Co.     
 978   4.00%, 12/31/2019   989 
         8,350 
     Chemical Manufacturing - 0.6%     
     Chemtura Corp.     
 184   5.50%, 08/29/2016   186 
     Cytec Industries, Inc.     
 34   09/20/2019 ◊   35 
     DuPont Performance Coatings, Inc.     
 165   4.75%, 02/01/2020   167 
     Ineos US Finance LLC     
 1,014   6.50%, 05/04/2018   1,025 
     Monarch, Inc.     
 191   8.25%, 09/12/2019 - 03/12/2020   195 
     Pinnacle Operating Corp.     
 510   04/29/2020 ◊☼   511 
 905   6.75%, 11/15/2018   917 
     PQ Corp.     
 1,027   4.50%, 08/07/2017   1,038 
         4,074 
     Computer and Electronic Product Manufacturing - 0.9%     
     Aeroflex, Inc.     
 462   5.75%, 05/09/2018   466 
     CDW LLC     
 110   04/30/2020 ◊☼   111 
 1,940   4.00%, 07/15/2017 ☼   1,941 
     Ceridian Corp.     
 986   5.95%, 05/09/2017   1,003 
     Freescale Semiconductor, Inc.     
 1,500   5.00%, 03/01/2020   1,521 
     NXP Semiconductors N.V.     
 1,017   4.75%, 01/10/2020   1,040 
         6,082 
     Construction - 0.1%     
     Aluma Systems, Inc.     
 189   10/23/2018 ◊   191 
     Brand Energy & Infrastructure Services, Inc.     
 786   6.25%, 10/23/2018   796 
         987 
     Educational Services - 0.0%     
     Bright Horizons Family Solutions, Inc.     
 175   4.00%, 01/30/2020   176 
           
     Electrical Equipment, Appliance Manufacturing - 0.3%     
     WESCO Distribution, Inc.     
 1,995   4.50%, 12/12/2019   2,015 
           
     Finance and Insurance - 1.3%     
     Asurion LLC     
 844   4.50%, 05/24/2019   853 
     Chrysler Group LLC     
 1,292   6.00%, 05/24/2017   1,308 
     Cooper Gay Swett & Crawford Ltd.     
 340   04/05/2020 ◊☼   343 
     Evertec LLC     
 405   04/11/2020 ◊☼   404 
     Macquarie Aircraft Leasing Finance S.A., Second Lien Term Loan     
 1,528   4.20%, 11/29/2013   1,498 
     Nuveen Investments, Inc.     
 2,041   4.20%, 05/13/2017   2,064 
     Ocwen Financial Corp.     
 350   5.00%, 02/15/2018   355 
     USI Insurance Services LLC     
 419   5.25%, 12/27/2019   424 
     Walter Investment Management     
 1,412   5.75%, 11/28/2017   1,435 
         8,684 
     Food Manufacturing - 0.3%     
     Advance Pierre Foods, Inc.     
 400   5.75%, 07/10/2017   406 
     Dole Food Co., Inc.     
 360   04/25/2020 ◊☼   362 
 250   12/07/2018 ◊   252 
     H. J. Heinz Co.     
 610   03/27/2020 ◊☼   615 
     Hostess Brands, Inc.     
 185   6.75%, 03/21/2020   189 
     U.S. Foodservice, Inc.     
 268   5.75%, 03/31/2017   271 
         2,095 

 

The accompanying notes are an integral part of these financial statements.

 

15
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS ♦ - 19.3% - (continued)     
     Food Services - 0.5%     
     Dunkin' Brands, Inc.     
$735   3.75%, 02/14/2020  $742 
     Landry's, Inc.     
 713   4.75%, 04/24/2018   723 
     OSI Restaurant Partners, Inc.     
 1,297   3.50%, 10/23/2019   1,304 
     Wendy's International, Inc.     
 746   4.51%, 05/15/2019   750 
         3,519 
     Furniture and Related Product Manufacturing - 0.3%     
     AOT Bedding Super Holdings LLC     
 519   5.00%, 10/01/2019   525 
     Tempur-Pedic International, Inc.     
 968   5.00%, 03/18/2020   983 
     Wilsonart International Holding LLC     
 808   4.00%, 10/31/2019 ☼    811 
         2,319 
     Health Care and Social Assistance - 1.9%     
     Alkermes, Inc.     
 443   3.50%, 09/25/2019   443 
     American Renal Holdings, Inc.     
 520   8.50%, 02/14/2020   524 
     Aptalis Pharma, Inc.     
 2,228   5.50%, 02/10/2017   2,248 
     Bausch & Lomb, Inc.     
 908   5.25%, 05/17/2019   918 
     Catalent Pharma Solutions, Inc.     
 260   12/31/2017 ◊☼    263 
 302   4.25%, 09/15/2017   305 
     Convatec, Inc.     
 180   5.00%, 12/22/2016   183 
     DaVita, Inc.     
 434   4.00%, 11/01/2019   438 
     HCA, Inc., Tranche B-3 Term Loan     
 1,000   2.95%, 05/01/2018   1,000 
     Health Management Associates, Inc.     
 975   3.50%, 11/16/2018   983 
     Hologic, Inc.     
 243   4.50%, 08/01/2019   246 
     IMS Health, Inc.     
 390   3.75%, 09/01/2017   394 
     Jazz Pharmaceuticals, Inc.     
 284   5.25%, 06/12/2018   288 
     Kinetic Concepts, Inc.     
 483   5.50%, 05/04/2018   490 
     MultiPlan, Inc.     
 863   4.00%, 08/26/2017   871 
     Par Pharmeceutical Cos., Inc.     
 423   4.25%, 09/30/2019   427 
     Sheridan Healthcare, Inc.     
 591   4.50%, 06/29/2018   598 
     Sheridan Holdings, Inc.     
 286   9.00%, 07/01/2019   291 
     Truven Health Analytics, Inc.     
 278   4.50%, 06/06/2019   281 
     US Renal Care, Inc.     
 918   6.25%, 07/03/2019   932 
 616   10.25%, 01/03/2020   628 
     Warner Chilcott Corp., Term Loan B-1     
 159   4.25%, 03/15/2018   161 
     Warner Chilcott Corp., Term Loan B-2     
 56   4.25%, 03/15/2018   57 
     Warner Chilcott Corp., Term Loan B-3     
 125   4.25%, 03/15/2018   127 
     Warner Chilcott plc     
 69   4.25%, 03/15/2018   70 
         13,166 
     Information - 4.1%     
     Alcatel-Lucent     
 100   6.25%, 06/29/2016   101 
 100   7.25%, 01/30/2019   102 
     Charter Communications Operating LLC     
 510   04/10/2020 ◊☼    509 
 941   4.00%, 05/15/2019   944 
     Crown Castle International Corp.     
 445   3.25%, 01/31/2019   448 
     Decision Insight Information Group I, Inc.     
 1,718   7.00%, 01/04/2017   1,736 
     Emdeon, Inc.     
 115   3.75%, 11/02/2018 ☼    116 
 247   3.75%, 11/02/2018   250 
     Epicor Software Corp.     
 742   4.50%, 05/16/2018   754 
     First Data Corp.     
 623   4.20%, 03/24/2017 - 09/30/2018   621 
     First Data Corp., Extended 1st Lien Term Loan     
 2,000   4.20%, 03/23/2018   1,992 
     Integra Telecom, Inc.     
 245   6.00%, 02/22/2019   250 
     Intelsat Jackson Holdings S.A.     
 1,241   4.50%, 04/02/2018   1,256 
     Kronos, Inc.     
 2,374   4.50%, 10/30/2019   2,403 
 670   9.75%, 04/30/2020   707 
     Lawson Software, Inc.     
 993   5.25%, 04/05/2018   1,008 
     Leap Wireless International, Inc.     
 515   4.75%, 03/01/2020   517 
     Level 3 Financing, Inc.     
 960   5.25%, 08/01/2019   972 
     MetroPCS Wireless, Inc., Term Loan B3     
 792   4.88%, 03/17/2018   792 
     MISYS plc     
 896   7.25%, 12/12/2018   910 
     MModal, Inc.     
 746   6.75%, 08/16/2019   729 
     Nine Entertainment Group Ltd     
 410   3.50%, 02/05/2020   411 
     Northland Cable Television, Inc.     
 1,913   7.75%, 12/30/2016   1,865 
     Novell, Inc.     
 555   7.25%, 11/22/2017   561 
     RedPrairie Corp.     
 324   6.75%, 12/21/2018   331 

 

The accompanying notes are an integral part of these financial statements.

 

16
 

 

 

 

Shares or Principal Amount ╬  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS ♦ - 19.3% - (continued)     
     Information - 4.1% - (continued)     
     Sorenson Communications, Inc.     
$1,010   9.50%, 10/31/2014  $1,026 
     Syniverse Holdings, Inc.     
 913   5.00%, 04/23/2019   920 
     UPC Financing Partnership     
 355   4.00%, 01/31/2021   359 
     Virgin Media Finance plc     
 3,275   02/15/2020 ◊☼    3,276 
     Warner Music Group Corp.     
 514   5.25%, 11/01/2018   520 
     Web.com Group, Inc.     
 1,226   4.50%, 10/27/2017   1,236 
     West Corp.     
 853   4.25%, 06/30/2018   866 
     WideOpenWest Finance LLC     
 263   4.75%, 03/26/2019   266 
         28,754 
     Media - 0.4%     
     Gray Television, Inc.     
 323   4.75%, 10/12/2019   328 
     Primedia, Inc.     
 1,965   7.50%, 01/13/2018   1,955 
     Univision Communications, Inc.     
 640   4.75%, 03/01/2020   645 
         2,928 
     Mining - 0.6%     
     American Rock Salt Co. LLC     
 545   5.50%, 04/25/2017   546 
     Arch Coal, Inc.     
 2,027   5.75%, 05/16/2018   2,053 
     Fortescue Metals Group Ltd.     
 1,547   5.25%, 10/18/2017   1,574 
         4,173 
     Miscellaneous Manufacturing - 0.6%     
     DigitalGlobe, Inc.     
 340   3.75%, 01/31/2020   343 
     Hamilton Sundstrand Corp.     
 499   4.00%, 12/13/2019   502 
     Reynolds Group Holdings, Inc.     
 1,692   4.75%, 09/28/2018   1,718 
     Sequa Automotive Group     
 499   6.25%, 11/15/2018   504 
     Sequa Corp.     
 261   5.25%, 06/19/2017   265 
     TransDigm Group, Inc.     
 495   3.75%, 02/28/2020   502 
         3,834 
     Motor Vehicle and Parts Manufacturing - 0.3%     
     Allison Transmission, Inc.     
 541   4.25%, 08/23/2019   548 
     Federal Mogul Corp., Tranche B Term Loan     
 459   2.14%, 12/29/2014   435 
     Federal Mogul Corp., Tranche C Term Loan     
 234   2.14%, 12/28/2015   222 
     Navistar, Inc.     
 206   5.75%, 08/17/2017   210 
     SRAM LLC     
 671   4.00%, 06/07/2018   676 
     Tower International, Inc.     
 190   04/16/2020 ◊☼    192 
         2,283 
     Other Services - 0.1%     
     Alliance Laundry Systems LLC     
 517   4.50%, 12/10/2018   522 
           
     Petroleum and Coal Products Manufacturing - 0.2%     
     Dynegy Midwest Generation LLC     
 106   08/05/2016 ◊    106 
     Dynegy Power LLC     
 212   04/16/2020 ◊☼    212 
     Dynegy, Inc.     
 133   04/15/2020 ◊☼    133 
     Plains Exploration & Production Co.     
 375   4.00%, 11/30/2019   375 
     Samson Investment Co.     
 410   6.00%, 09/25/2018   415 
         1,241 
     Pipeline Transportation - 0.3%     
     EP Energy LLC     
 1,135   4.50%, 04/30/2019   1,148 
 670   5.00%, 05/24/2018   673 
     NGPL Pipeco LLC     
 583   6.75%, 09/15/2017   591 
         2,412 
     Plastics and Rubber Products Manufacturing - 0.4%     
     Berry Plastics Holding Corp.     
 495   2.20%, 04/03/2015   497 
     Consolidated Container Co.     
 960   5.00%, 07/03/2019   973 
     Goodyear (The) Tire & Rubber Co.     
 900   4.75%, 04/30/2019   907 
     Tricorbraun, Inc.     
 382   5.50%, 05/03/2018   383 
         2,760 
     Primary Metal Manufacturing - 0.3%     
     Novelis, Inc.     
 1,194   3.75%, 03/10/2017   1,213 
     WireCo WorldGroup, Inc.     
 567   6.00%, 02/15/2017   574 
         1,787 
     Professional, Scientific and Technical Services - 0.6%     
     Advantage Sales & Marketing, Inc.     
 1,226   8.25%, 06/17/2018   1,229 
     AlixPartners LLP     
 591   4.50%, 06/30/2019   597 
 236   10.75%, 12/27/2019   242 
     Getty Images, Inc.     
 539   4.75%, 10/18/2019   546 
     Paradigm Ltd., Term Loan B1     
 647   4.75%, 07/30/2019   653 
     Paradigm Ltd., Term Loan B2     
 270   10.50%, 07/30/2020   274 
     SunGard Data Systems, Inc.     
 160   4.50%, 01/31/2020   161 

 

The accompanying notes are an integral part of these financial statements.

 

17
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬  Market Value ╪ 
SENIOR FLOATING RATE INTERESTS ♦ - 19.3% - (continued)     
     Professional, Scientific and Technical Services - 0.6% - (continued)     
     Visant Corp.     
$486   5.25%, 12/22/2016  $472 
         4,174 
     Real Estate, Rental and Leasing - 0.4%     
     Avis Budget Car Rental LLC     
 499   3.75%, 03/15/2019   505 
     Delos Aircraft, Inc.     
 240   4.75%, 04/12/2016   241 
     Fly Leasing Ltd.     
 858   5.75%, 08/08/2018   869 
     Realogy Corp.     
 156   3.20%, 10/05/2013   156 
     Realogy Corp., Extended 1st Lien Term Loan B     
 742   4.01%, 03/05/2020   750 
     Realogy Corp., Extended Credit Linked Deposit     
 48   4.49%, 10/10/2016   49 
         2,570 
     Retail Trade - 1.5%     
     American Builders & Contractors Supply Co.     
 180   3.50%, 04/05/2020   181 
     August LUXUK Holding Co.     
 129   6.25%, 04/27/2018   130 
 113   10.50%, 04/26/2019   114 
     August U.S. Holding Co., Inc.     
 100   6.25%, 04/27/2018   100 
 87   10.50%, 04/26/2019   88 
     BJ's Wholesale Club, Inc.     
 648   4.25%, 09/26/2019   653 
     EB Sports Corp.     
 3,845   11.50%, 12/31/2015 Þ    3,806 
     FleetPride, Inc.     
 798   5.25%, 11/19/2019   794 
     Michaels Stores, Inc.     
 525   3.75%, 01/28/2020   530 
     Neiman (The) Marcus Group, Inc.     
 1,065   4.00%, 05/16/2018   1,073 
     Party City Holdings, Inc.     
 547   4.25%, 07/27/2019   551 
     Rite Aid Corp.     
 290   4.00%, 02/21/2020   293 
 325   5.75%, 08/21/2020   337 
     Sports (The) Authority, Inc.     
 825   7.50%, 11/16/2017   829 
     Sprouts Farmers Markets Holdings LLC     
 315   04/12/2020 ◊☼    316 
     Supervalu, Inc.     
 435   6.25%, 03/21/2019   442 
         10,237 
     Truck Transportation - 0.2%     
     Nexeo Solutions LLC     
 1,060   5.00%, 09/09/2017   1,065 
     Swift Transportation Co., Inc.     
 637   4.00%, 12/21/2017   647 
         1,712 
     Utilities - 0.4%     
     Calpine Corp.     
 608   4.00%, 10/09/2019   615 
     Energy Transfer Equity L.P.     
 450   3.75%, 03/24/2017   452 
     LSP Madison Funding LLC     
 335   5.50%, 06/28/2019   339 
     Star West Generation LLC     
 540   5.00%, 03/13/2020   550 
     Texas Competitive Electric Holdings Co. LLC     
 900   4.73%, 10/10/2017   662 
     TPF Generation Holdings LLC, Second Lien Term Loan     
 146   4.45%, 12/21/2014   146 
         2,764 
     Total senior floating rate interests     
     (cost $131,809)   $134,099 
           
U.S. GOVERNMENT AGENCIES - 13.4%     
     FHLMC - 3.8%     
$9,004   2.23%, 08/25/2018 ►   $827 
 2,051   2.50%, 08/25/2020 ►    165 
 6,334   2.53%, 10/25/2020 ►    123 
 5,000   3.50%, 05/15/2043 ☼    5,315 
 7,900   4.00%, 05/15/2043 ☼    8,434 
 3,500   4.50%, 05/15/2043 ☼    3,748 
 2,401   4.77%, 05/15/2037 ►    416 
 2,200   5.00%, 05/15/2043 ☼    2,361 
 4,152   5.50%, 10/01/2036 - 12/01/2038 ╦    4,484 
 1,613   7.23%, 12/15/2036 ►    255 
         26,128 
     FNMA - 2.7%     
 765   2.14%, 11/01/2022 ╦    771 
 545   2.15%, 10/01/2022 ╦    551 
 268   2.20%, 12/01/2022   271 
 154   2.28%, 11/01/2022 ‡    157 
 129   2.34%, 11/01/2022   132 
 116   2.40%, 10/01/2022 ╦    119 
 104   2.42%, 11/01/2022   107 
 104   2.47%, 11/01/2022 ‡    108 
 2,000   2.50%, 05/12/2028 ☼    2,091 
 747   2.72%, 06/25/2042 ►    123 
 2,300   3.50%, 05/15/2028 - 05/15/2043 ☼    2,447 
 2,635   4.00%, 05/15/2028 - 01/01/2042 ╦☼    2,817 
 3,013   5.00%, 08/01/2037 ╦    3,280 
 3,357   5.50%, 04/01/2038 - 05/15/2043 ╦    3,688 
 2,483   5.69%, 09/25/2040 ►    419 
 1,247   6.00%, 09/01/2039 - 05/15/2043 ╦☼    1,363 
 2,368   9.81%, 10/25/2036 ►    416 
         18,860 
     GNMA - 6.9%     
 8,500   3.00%, 05/15/2043 ☼    9,045 
 16,200   3.50%, 05/15/2043 ☼    17,636 
 3,032   4.00%, 10/20/2040 - 05/15/2043 ☼    3,323 
 8,569   4.50%, 09/15/2033 - 05/15/2043 ☼    9,450 
 2,500   5.00%, 05/15/2043 ☼    2,732 

 

The accompanying notes are an integral part of these financial statements.

 

18
 

 

 

 

Shares or Principal Amount ╬

   

Market Value ╪

 
U.S. GOVERNMENT AGENCIES - 13.4% - (continued)     
     GNMA - 6.9% - (continued)     
$5,193   6.00%, 03/15/2032 - 04/15/2043  $5,882 
         48,068 
     Total U.S. government agencies     
     (cost $92,535)  $93,056 
           
U.S. GOVERNMENT SECURITIES - 4.1%     
U.S. Treasury Securities - 4.1% 
     U.S. Treasury Bonds - 0.5%     
$170    3.13%, 02/15/2043 ‡   $178 
 2,295    5.38%, 02/15/2031 ‡    3,280 
         3,458 
     U.S. Treasury Notes - 3.6%     
 650    0.38%, 04/15/2015 □    652 
 13,949    0.88%, 12/31/2016 - 01/31/2018 □‡Θ    14,129 
 760    1.00%, 08/31/2016 ‡    776 
 7,715    1.88%, 09/30/2017 ‡    8,158 
 1,010    2.13%, 08/15/2021 □    1,069 
         24,784 
         28,242 
     Total U.S. government securities     
     (cost $27,867)   $28,242 

 

Contracts  Market Value ╪ 
CALL OPTIONS PURCHASED - 0.0%     
Foreign Exchange Contracts - 0.0%  
     USD Call/CNY Put     
 1,452   Expiration: 06/26/2013  $ 
           
Interest Rate Contracts - 0.0%  
     U.S. Treasury 30-Year Bond Future Option     
    Expiration: 05/28/2013, Exercise Price: $150.00   8 
           
     Total call options purchased     
     (cost $19)   $8 

 

Contracts  Market Value ╪ 
PUT OPTIONS PURCHASED - 0.0%     
Foreign Exchange Contracts - 0.0%  
     AUD Put/USD Call     
AUD 427   Expiration: 05/09/2013   $ 
     EUR Put/USD Call     
EUR 242   Expiration: 08/01/2013    5 
     GBP Put/USD Call     
GBP 11   Expiration: 09/17/2013æ    1 
GBP11   Expiration: 09/24/2013Ð    1 
         7 
     Total put options purchased     
     (cost $13)   $7 
           
COMMON STOCKS - 0.0%     
     Energy - 0.0%     
 83,644   KCA Deutag ⌂●†   $395 
           
     Materials - 0.0%     
    LyondellBasell Industries Class A  2 
           
     Total common stocks     
     (cost $1,135)   $397 
           
PREFERRED STOCKS - 0.2%     
     Diversified Financials - 0.2%     
 12   Citigroup Capital XIII  $330 
 10   GMAC Capital Trust I ۞    274 
         604 
     Telecommunication Services - 0.0%     
 3   Intelsat S.A., 5.75%  ۞    148 
           
     Total preferred stocks     
     (cost $710)  $752 
           
     Total long-term investments     
     (cost $720,936)  $745,358 

 

Shares or Principal Amount ╬   Market Value ╪ 
SHORT-TERM INVESTMENTS - 2.3%     
Repurchase Agreements - 2.3%  
     Bank of America Merrill Lynch TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $628,
collateralized by FHLB 1.93%, 2021,
FHLMC 0.38%, 2013, FNMA 3.00%,
2028, value of $641)
     
$628    0.17%, 4/30/2013  $628 
     Bank of Montreal TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $1,713, collateralized by
FHLMC 3.50%, 2042, FNMA 0.80% -
2.13%, 2015 - 2018, U.S. Treasury Bond
11.25%, 2015, U.S. Treasury Note 0.75%,
2013, value of $1,747)
     
 1,713    0.15%, 4/30/2013   1,713 
     Barclays Capital TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $3,298, collateralized by U.S.
Treasury Note 0.88% - 3.13%, 2017 -
2021, value of $3,364)
     
 3,298    0.15%, 4/30/2013   3,298 
     Citigroup Global Markets, Inc. TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $4,581,
collateralized by U.S. Treasury Note
0.75% - 2.13%, 2015 - 2019, value of
$4,673)
     
 4,581    0.14%, 4/30/2013   4,581 
     Deutsche Bank Securities TriParty
Repurchase Agreement (maturing on
05/01/2013 in the amount of $824,
collateralized by FHLMC 3.00% - 5.50%,
2037 - 2043, FNMA 3.00%, 2043, value of
$840)
     
 824    0.17%, 4/30/2013   824 

 

The accompanying notes are an integral part of these financial statements.

 

19
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Shares or Principal Amount ╬          Market Value ╪ 
SHORT-TERM INVESTMENTS - 2.3% - (continued)             
Repurchase Agreements - 2.3% - (continued)         
     RBS Securities, Inc. TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $2,791, collateralized by U.S.
Treasury Note 1.00% - 2.25%, 2016 -
2022, value of $2,847)
            
$2,791   0.14%, 4/30/2013          $2,791 
     TD Securities TriParty Repurchase
Agreement (maturing on 05/01/2013 in the
amount of $1,963, collateralized by U.S.
Treasury Note 0.25% - 1.88%, 2014 -
2019, value of $2,002)
            
 1,963   0.17%, 4/30/2013           1,963 
     UBS Securities, Inc. Repurchase Agreement
(maturing on 05/01/2013 in the amount of
$35, collateralized by U.S. Treasury Note
3.88%, 2018, value of $36)
            
 35   0.13%, 4/30/2013           35 
                 15,833 
     Total short-term investments             
     (cost $15,833)          $15,833 
                   
     Total investments             
     (cost $736,769) ▲     109.7 %  $761,191 
     Other assets and liabilities     (9.7 )%   (67,341)
     Total net assets     100.0 %  $693,850 

 

Note:Percentage of investments as shown is the ratio of the total market value to total net assets.

 

At April 30, 2013, the cost of securities for federal income tax purposes was $737,674 and the aggregate gross unrealized appreciation and depreciation based on that cost were:    

 

Unrealized Appreciation  $30,284 
Unrealized Depreciation   (6,767)
Net Unrealized Appreciation  $23,517 

 

These securities are valued in good faith at fair value as determined under policies and procedures established by and under the supervision of the Company's Board of Directors.  At April 30, 2013, the aggregate value of these securities was $395, which represents 0.1% of total net assets.

 

Non-income producing.

 

This security, or a portion of this security, has been segregated to cover funding requirements on investment transactions settling in the future.

 

This security, or a portion of this security, has been pledged as collateral in connection with swap contracts.  The Fund has also pledged $3,405 of cash as collateral in connection with swap contracts.  In addition, cash of $9,240 was received from broker(s) as collateral in connection with swap contracts.  Securities valued at $8,201, held on behalf of the Fund at the custody bank, were designated by broker(s) as collateral in connection with swap contracts.

 

ΔVariable rate securities; the rate reported is the coupon rate in effect at April 30, 2013.

 

ÞThis security may pay interest in additional principal instead of cash.

 

Securities issued within terms of a private placement memorandum, exempt from registration under Rule 144A under the Securities Act of 1933, as amended, and may be sold only to qualified institutional buyers. Unless otherwise indicated, these holdings are determined to be liquid. At April 30, 2013, the aggregate value of these securities was $72,017, which represents 10.4% of total net assets.

 

The accompanying notes are an integral part of these financial statements.

 

20
 

 

 

 

§These securities were sold to the Fund under Regulation S, rules governing offers and sales made outside the United States without registration under the Securities Act of 1933.  The Fund may only be able to resell these securities in the United States if an exemption from registration under the federal and state securities laws is available, or the Fund may only be able to sell these securities outside of the United States (such as on a foreign exchange) to a non-U.S. person. Unless otherwise indicated, these holdings are determined to be liquid.  At April 30, 2013, the aggregate value of these securities was $46,796, which represents 6.7% of total net assets.

 

The following securities are considered illiquid.  Illiquid securities are often purchased in private placement transactions, are often not registered under the Securities Act of 1933 and may have contractual restrictions on resale.  A security may also be considered illiquid if the security lacks a readily available market or if its valuation has not changed for a certain period of time.  

 

Period Acquired  Shares/ Par   Security  Cost Basis 
03/2011   83,644   KCA Deutag  $1,134 

 

At April 30, 2013, the aggregate value of these securities was $395, which represents 0.1% of total net assets.

 

۞Convertible security.

 

Securities disclosed are interest-only strips.  The interest rates represent effective yields based upon estimated future cash flows at April 30, 2013.

 

The interest rate disclosed for these securities represents the effective yield on the date of the acquisition.

 

This security, or a portion of this security, was purchased on a when-issued, delayed-delivery or delayed-draw basis. The cost of these securities was $69,661 at April 30, 2013.

 

БThis security, or a portion of this security, has unfunded loan commitments.  As of April 30, 2013, the aggregate value of the unfunded commitment was $3,852 , which represents 0.6% of total net assets.

 

All or a portion of this position represents unsettled loan commitment.  The coupon rate will be determined at time of settlement.

 

æThis security has limitations.  If the U.S. Dollar per British Pound exchange rate is less than or equal to the barrier level of 1.39 at any point during the contract period, the counterparty will be required to pay the Fund the equivalent of par on the number of contracts traded.

 

ÐThis security has limitations.  If the U.S. Dollar per British Pound exchange rate is less than or equal to the barrier level of 1.41 at any point during the contract period, the counterparty will be required to pay the Fund the equivalent of par on the number of contracts traded.

 

Senior floating rate interests generally pay interest rates which are periodically adjusted by reference to a base short-term, floating lending rate plus a premium.  These base lending rates are generally (i) the lending rate offered by one or more major European banks, such as the LIBOR, (ii) the prime rate offered by one or more major United States Banks, or (iii) the bank's certificate of deposit rate.  Senior floating rate interests often require prepayments from excess cash flows or permit the borrower to repay at its election.  The rate at which the borrower repays cannot be predicted with accuracy.  As a result, the actual remaining maturity may be substantially less than the stated maturities shown.  Unless otherwise noted, the interest rate disclosed for these securities represents the average coupon as of April 30, 2013.

 

All principal or contract amounts are in U.S. dollars unless otherwise indicated.

 

The accompanying notes are an integral part of these financial statements.

 

21
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

This security, or a portion of this security, is pledged as initial margin deposit and collateral for daily variation margin loss on open futures contracts held at April 30, 2013 as listed in the table below:

 

Description  Number of
Contracts*
   Expiration
Date
  Notional Amount   Market Value ╪   Unrealized
Appreciation/
(Depreciation)
 
Long position contracts:                       
Australian 10-Year Bond Future   23   06/17/2013  $2,928   $2,979   $51 
Australian 3-Year Bond Future   25   06/17/2013   2,822    2,848    26 
Canadian Government 10-Year Bond Future   14   06/19/2013   1,842    1,900    58 
Euro-BOBL Future   4   06/06/2013   668    668     
Euro-BTP Future   18   06/06/2013   2,610    2,749    139 
Euro-BUND Future   3   06/06/2013   579    579     
Euro-OAT Future   14   06/06/2013   2,544    2,577    33 
Euro-Schatz Future   26   06/06/2013   3,791    3,792    1 
U.S. Treasury 2-Year Note Future   202   06/28/2013   44,529    44,566    37 
U.S. Treasury 30-Year Bond Future   136   06/19/2013   20,059    20,179    120 
U.S. Treasury 5-Year Note Future   751   06/28/2013   93,149    93,605    456 
U.S. Treasury CME Ultra Long Term Bond Future   37   06/19/2013   6,083    6,081    (2)
                     $919 
Short position contracts:                       
Euro BUXL 30-Year Bond Future   7   06/06/2013  $1,260   $1,278   $(18)
Japan 10-Year Bond Future   21   06/11/2013   31,172    31,134    38 
Japan 10-Year Mini Bond Future   2   06/10/2013   297    297     
Long Gilt Future   7   06/26/2013   1,302    1,305    (3)
U.S. Treasury 10-Year Note Future   711   06/19/2013   94,849    94,818    31 
                     $48 
                     $967 

 

* The number of contracts does not omit 000's.

 

ΘAt April 30, 2013, this security, or a portion of this security, is designated to cover written call options in the table below:

 

Description (Counterparty)  Option Type  Exercise
Price/ Rate
   Expiration
Date
  Number of
Contracts*
   Market
Value ╪
   Premiums
Received
   Unrealized
Appreciation
(Depreciation)
 
USD Call/CNY Put (SCB)  Foreign Exchange   6.78 CNY   06/26/2013  CNY 1,452,000   $   $5   $5 

 

* The number of contracts does not omit 000's.  Number of contracts shown in  U.S. dollars unless otherwise noted.

 

Securities Sold Short Outstanding at April 30, 2013

 

Description  Principal
Amount
   Maturity Date  Market Value ╪   Unrealized
Appreciation/
Depreciation
 
FHLMC TBA, 5.50%  $2,800   05/15/2043  $3,023   $12 
FNMA TBA, 3.00%   29,000   05/15/2043   30,332    (152)
FNMA TBA, 4.00%   24,300   05/15/2043   26,008    (21)
FNMA TBA, 5.50%   2,300   05/15/2043   2,501    5 
GNMA TBA, 3.00%   4,400   05/15/2042   4,676    (46)
           $66,540   $(202)

 

At April 30, 2013, the aggregate value of these securities represents 9.6% of total net assets.

 

The accompanying notes are an integral part of these financial statements.

 

22
 

 

 

 

Credit Default Swap Contracts Outstanding at April 30, 2013

 

Reference Entity  Counterparty  Notional
Amount (a)
   (Pay)/Receive
Fixed Rate /
Implied Credit
Spread (b)
   Expiration
Date
  Upfront
Premiums
Paid/
(Received)
   Market
Value ╪
   Unrealized
Appreciation/
(Depreciation)
 
Credit default swaps on traded indices:
Buy protection:                               
ABX.HE.AA.06  BCLY  $430    (0.32)%  07/25/45  $243   $112   $(131)
ABX.HE.AAA.06  BCLY   2,199    (0.18)%  07/25/45   223    35    (188)
ABX.HE.AAA.06  GSC   5,845    (0.18)%  07/25/45   524    94    (430)
ABX.HE.AAA.06  MSC   2,509    (0.18)%  07/25/45   262    40    (222)
ABX.HE.AAA.06-1  MSC   1,261    (0.18)%  07/25/45   25    20    (5)
ABX.HE.PENAAA.06  BOA   348    (0.11)%  05/25/46   79    59    (20)
ABX.HE.PENAAA.06  CSI   1,738    (0.11)%  05/25/46   523    293    (230)
ABX.HE.PENAAA.06  JPM   17    (0.11)%  05/25/46   5    3    (2)
ABX.HE.PENAAA.06-2  JPM   313    (0.11)%  05/25/46   56    53    (3)
ABX.HE.PENAAA.07  BCLY   1,594    (0.09)%  08/25/37   669    524    (145)
ABX.HE.PENAAA.07-1  JPM   398    (0.09)%  08/25/37   138    131    (7)
CDX.NA.HY.20  BCLY   4,265    (5.00)%  06/20/18   (200)   (262)   (62)
CDX.NA.HY.20  GSC   3,405    (5.00)%  06/20/18   (145)   (210)   (65)
CDX.NA.HY.20  JPM   6,205    (5.00)%  06/20/18   (270)   (381)   (111)
CDX.NA.HY.20  MSC   7,300    (5.00)%  06/20/18   (302)   (449)   (147)
CMBX.NA.A.1  DEUT   1,230    (0.35)%  10/12/52   562    467    (95)
CMBX.NA.A.1  GSC   435    (0.35)%  10/12/52   197    166    (31)
CMBX.NA.A.1  MSC   1,470    (0.35)%  10/12/52   608    559    (49)
CMBX.NA.AA.1  CSI   1,165    (0.25)%  10/12/52   266    207    (59)
CMBX.NA.AA.1  DEUT   1,400    (0.25)%  10/12/52   296    249    (47)
CMBX.NA.AA.1  JPM   2,465    (0.25)%  10/12/52   488    439    (49)
CMBX.NA.AA.1  UBS   3,190    (0.25)%  10/12/52   689    567    (122)
CMBX.NA.AA.2  BOA   1,665    (0.15)%  03/15/49   632    554    (78)
CMBX.NA.AA.2  JPM   1,470    (0.15)%  03/15/49   554    490    (64)
CMBX.NA.AJ.1  DEUT   300    (0.84)%  10/12/52   21    17    (4)
CMBX.NA.AJ.1  JPM   735    (0.84)%  10/12/52   52    41    (11)
CMBX.NA.AJ.1  MSC   535    (0.84)%  10/12/52   37    30    (7)
CMBX.NA.AJ.4  MSC   1,470    (0.96)%  02/17/51   528    392    (136)
CMBX.NA.AM.2  CSI   1,665    (0.50)%  03/15/49   102    65    (37)
CMBX.NA.AM.2  DEUT   1,665    (0.50)%  03/15/49   96    65    (31)
CMBX.NA.AM.2  MSC   2,945    (0.50)%  03/15/49   145    115    (30)
CMBX.NA.AM.3  CSI   1,560    (0.50)%  12/13/49   156    112    (44)
CMBX.NA.AM.3  MSC   1,380    (0.50)%  12/13/49   125    99    (26)
CMBX.NA.AM.4  BCLY   275    (0.50)%  02/17/51   45    23    (22)
CMBX.NA.AM.4  MSC   2,670    (0.50)%  02/17/51   428    221    (207)
ITRX.EUR.19  GSC  EUR 28,040    (1.00)%  06/20/23   1,849    1,349    (500)
ITRX.XOV.19  DEUT  EUR815    (5.00)%  06/20/18   (28)   (48)   (20)
ITRX.XOV.19  GSC  EUR1,950    (5.00)%  06/20/18   (10)   (115)   (105)
ITRX.XOV.19  MSC  EUR9,390    (5.00)%  06/20/18   (219)   (554)   (335)
Total                  $9,449   $5,572   $(3,877)
Sell protection:                               
ABX.HE.AAA.06  CSI  $472    0.11%  05/25/46  $(154)  $(124)  $30 
ABX.HE.AAA.06  JPM   472    0.11%  05/25/46   (153)   (124)   29 
ABX.HE.AAA.06-2  JPM   838    0.11%  05/25/46   (245)   (220)   25 
CDX.EM.19  DEUT   10,200    5.00%  06/20/18   1,301    1,307    6 
CDX.EM.19  DEUT   22,625    5.00%  06/20/18   2,973    2,900    (73)
CDX.EM.19  GSC   3,875    5.00%  06/20/18   515    496    (19)
CDX.NA.HY.20  GSC   20,830    1.00%  06/20/18   115    254    139 
CDX.NA.IG.19  GSC   27,380    1.00%  12/20/17   14    423    409 
CMBX.NA.AA.4  CSI   415    1.65%  02/17/51   (265)   (252)   13 
CMBX.NA.AA.4  MSC   4,020    1.65%  02/17/51   (2,507)   (2,441)   66 
CMBX.NA.AAA.3  JPM   2,545    0.08%  12/13/49   (111)   (52)   59 
CMBX.NA.AAA.5  MSC   2,500    0.35%  02/15/51   (134)   (62)   72 
CMBX.NA.AAA.6  BOA   865    0.50%  05/11/63   (30)   (22)   8 

 

The accompanying notes are an integral part of these financial statements.

 

23
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Credit Default Swap Contracts Outstanding at April 30, 2013 - (continued)

 

Reference Entity  Counterparty  Notional
Amount (a)
   (Pay)/Receive
Fixed Rate /
Implied Credit
Spread (b)
   Expiration
Date
  Upfront
Premiums
Paid/
(Received)
   Market
Value ╪
   Unrealized
Appreciation/
(Depreciation)
 
Credit default swaps on traded indices: - (continued)                        
Sell protection: - (continued)                        
CMBX.NA.AAA.6  CSI  $635    0.50%      05/11/63  $(22)  $(16)  $6 
CMBX.NA.AAA.6  JPM   4,995    0.50%      05/11/63   (165)   (124)   41 
CMBX.NA.AAA.6  UBS   3,305    0.50%      05/11/63   (88)   (82)   6 
CMBX.NA.AAA.6  UBS   2,355    0.50%      05/11/63   (53)   (58)   (5)
CMBX.NA.AJ.3  BCLY   210    1.47%      12/13/49   (76)   (54)   22 
CMBX.NA.AJ.3  CSI   1,295    1.47%      12/13/49   (407)   (333)   74 
CMBX.NA.AJ.3  MSC   2,695    1.47%      12/13/49   (788)   (692)   96 
CMBX.NA.AJ.3  UBS   975    1.47%      12/13/49   (383)   (250)   133 
CMBX.NA.BB.6  CSI   200    5.00%      05/11/63   (10)   (4)   6 
CMBX.NA.BB.6  CSI   1,285    5.00%      05/11/63   (4)   (28)   (24)
CMBX.NA.BB.6  GSC   350    5.00%      05/11/63   (17)   (8)   9 
CMBX.NA.BB.6  JPM   65    5.00%      05/11/63   2    (1)   (3)
CMBX.NA.BB.6  MSC   3,530    5.00%      05/11/63   (225)   (77)   148 
CMBX.NA.BB.6  MSC   310    5.00%      05/11/63   8    (6)   (14)
CMBX.NA.BB.6  UBS   320    5.00%      05/11/63   (16)   (7)   9 
CMBX.NA.BB.6  UBS   1,065    5.00%      05/11/63   13    (23)   (36)
CMBX.NA.BBB-.6  CSI   440    3.00%      05/11/63   (25)   (7)   18 
CMBX.NA.BBB-.6  MSC   315    3.00%      05/11/63   (18)   (5)   13 
ITRX.EUR.19  GSC  EUR 28,305    1.00%      06/20/18   (262)   29    291 
PrimeX.ARM.1  CSI   113    4.42%      06/25/36   10    12    2 
PrimeX.ARM.1  MSC   914    4.42%      06/25/36   55    98    43 
PrimeX.ARM.2  BCLY   346    4.58%      12/25/37   (2)   12    14 
PrimeX.ARM.2  MSC   1,607    4.58%      06/25/36   (118)   56    174 
PrimeX.ARM.2  MSC   1,721    4.58%      12/25/37   57    60    3 
Total                  $(1,215)  $575   $1,790 
Total traded indices                  $8,234   $6,147   $(2,087)
Credit default swaps on single-name issues:                            
Sell protection:                               
Bank of America Corp.  CSI  $5,180    1.00% / 1.08%    12/20/17  $(110)  $(19)  $91 
Bank of America Corp.  GSC   9,200    1.00% / 1.03%    09/20/17   (639)   (10)   629 
Citigroup, Inc.  GSC   9,850    1.00% / 0.88%    09/20/17   (642)   52    694 
Citigroup, Inc.  GSC   4,450    1.00% / 0.93%    12/20/17   (80)   14    94 
Goldman Sachs Group, Inc.  CSI   2,665    1.00% / 1.10%    12/20/17   (82)   (13)   69 
Goldman Sachs Group, Inc.  UBS   4,600    1.00% / 1.04%    09/20/17   (339)   (8)   331 
Morgan Stanley  BCLY   4,600    1.00% / 1.21%    09/20/17   (516)   (41)   475 
Morgan Stanley  GSC   2,810    1.00% / 1.27%    12/20/17   (143)   (34)   109 
Total                  $(2,551)  $(59)  $2,492 
                   $5,683   $6,088   $405 

 

(a)The maximum potential amount the Fund could be required to pay as a seller of credit protection or receive as a buyer of credit protection if a credit event occurs as defined under the terms of that particular swap agreement.  Notional shown in U.S. dollars unless otherwise noted.

 

(b)Implied credit spreads, represented in absolute terms, utilized in determining the market value of credit default swap agreements on corporate issues, U.S. municipal issues or sovereign government issues as of period end serve as an indicator of the current status of the payment/performance risk and represent the likelihood of risk of default for the credit derivative.  The implied credit spread of a particular entity reflects the cost of buying/selling protection and may include upfront payments required to be made to enter into the agreement.  Wider credit spreads represent a deterioration of the reference entity's credit soundness and a greater likelihood or risk of default or other credit event occurring as defined under the terms of the agreement.  The percentage shown is the implied credit spread on April 30, 2013.  For credit default swap agreements on indices, the quoted market prices and resulting values serve as the indicator of the current status of the payment/performance risk.

 

The accompanying notes are an integral part of these financial statements.

 

24
 

 

 

 

Interest Rate Swap Contracts Outstanding at April 30, 2013

 

Counterparty  Payments made by Fund  Payments received by Fund  Notional
Amount *
   Expiration
Date
  Upfront
Premiums
Paid/
(Received)
   Market
Value ╪
   Unrealized
Appreciation/
(Depreciation)
 
BCLY  1.77% Fixed  6M EURIBOR  EUR 7,650   01/22/23  $   $(300)  $(300)
BCLY  1.88% Fixed  6M GBP LIBOR  GBP 125   11/08/22       (2)   (2)
BCLY  3M STIBOR  2.25% Fixed  SEK 64,800   01/22/23       179    179 
BOA  2.65% Fixed  6M JPY LIBOR  JPY 14,465    03/08/43       (3)   (3)
BOA  3M CAD BA CDOR  1.59% Fixed  CAD 7,750   04/29/18       8    8 
CSI  0.82% Fixed  6M JPY LIBOR  JPY 16,740   02/18/23   1    (1)   (2)
DEUT  0.40% Fixed  3M USD LIBOR   1,715   03/20/15       (2)   (2)
DEUT  0.51% Fixed  3M USD LIBOR   3,270   02/05/15       (5)   (5)
DEUT  0.82% Fixed  6M JPY LIBOR  JPY 16,735   02/18/23       (1)   (1)
GSC  0.54% Fixed  3M USD LIBOR   1,570   02/05/15       (3)   (3)
GSC  0.91% Fixed  6M LIBOR GBP  GBP 5,150   04/29/18       4    4 
GSC  2.75% Fixed  6M WIBOR PLN  PLN 550   06/19/15            
GSC  3.00% Fixed  3M LIBOR   175   06/19/43   1    (7)   (8)
GSC  3.15% Fixed  6M WIBOR PLN  PLN 575   06/19/15       (2)   (2)
GSC  6M EURIBOR  0.39% Fixed  EUR 130   06/19/15            
JPM  0.40% Fixed  3M USD LIBOR   1,780   03/20/15       (2)   (2)
JPM  0.54% Fixed  3M USD LIBOR   1,705   02/05/15       (3)   (3)
JPM  2.00% Fixed  3M LIBOR   2,000   03/20/23   (12)   (32)   (20)
JPM  3.16% Fixed  6M WIBOR PLN  PLN 1,150   06/19/15       (4)   (4)
JPM  6M EURIBOR  0.48% Fixed  EUR 270   06/19/15            
JPM  6M EURIBOR  0.51% Fixed  EUR 135   06/19/15       1    1 
MSC  2.59% Fixed  6M JPY LIBOR  JPY 18,190   03/22/43       (2)   (2)
                 $(10)  $(177)  $(167)

 

* Notional shown in U.S. dollars unless otherwise noted.

 

Spreadlock Swap Contracts Outstanding at April 30, 2013

 

Counterparty  Strike   Notional
Amount
   Determination
Date
  Upfront
Premiums
Paid/
(Received)
   Market
Value ╪
   Unrealized
Appreciation/
(Depreciation)
 
JPM   0.80%*      20,000   09/20/13  $   $(4)  $(4)

 

*This is a spreadlock swap between the 10-Year interest rate swap curve and the yield to maturity on a 30-Year FNMA.  If the yield to maturity on the 30-Year FNMA minus the 10-Year CMS (constant maturity swap curve) rate is greater than 0.80%, the Fund will receive money from the counterparty based on this differential.  If the yield to maturity on the 30-Year FNMA minus the 10-Year CMS rate is less than 0.80%, the Fund will pay the counterparty.

 

The accompanying notes are an integral part of these financial statements.

 

25
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

Foreign Currency Contracts Outstanding at April 30, 2013

 

Currency  Buy / Sell  Delivery Date  Counterparty  Contract Amount   Market Value ╪   Unrealized
Appreciation/
(Depreciation)
 
AUD  Buy  05/31/2013  UBS  $191   $191   $ 
AUD  Buy  05/31/2013  WEST   2,556    2,585    29 
AUD  Sell  05/31/2013  CBA   33    34    (1)
AUD  Sell  05/31/2013  CBK   140    140     
AUD  Sell  05/01/2013  JPM   4    4     
AUD  Sell  05/31/2013  NAB   33    33     
AUD  Sell  05/31/2013  WEST   260    263    (3)
BRL  Buy  08/02/2013  GSC   853    852    (1)
CAD  Buy  05/31/2013  BCLY   3,973    4,047    74 
CAD  Buy  05/31/2013  UBS   172    172     
CAD  Sell  05/22/2013  BCLY   117    119    (2)
CAD  Sell  05/31/2013  BCLY   341    347    (6)
CAD  Sell  05/01/2013  JPM   1    1     
CHF  Buy  05/31/2013  CSFB   19    19     
CHF  Buy  05/31/2013  DEUT   102    102     
CHF  Sell  05/31/2013  CSFB   69    70    (1)
CHF  Sell  05/31/2013  JPM   75    75     
CZK  Buy  05/31/2013  JPM   5    5     
CZK  Buy  05/31/2013  RBS   64    65    1 
CZK  Sell  05/31/2013  JPM   10    10     
DKK  Buy  05/31/2013  RBC   206    208    2 
EUR  Buy  05/31/2013  BCLY   25,848    26,205    357 
EUR  Buy  05/31/2013  BNP   1,653    1,673    20 
EUR  Buy  05/31/2013  CBK   186    187    1 
EUR  Buy  05/31/2013  DEUT   123    123     
EUR  Buy  05/31/2013  DEUT   171    171     
EUR  Buy  05/31/2013  GSC   171    171     
EUR  Buy  05/31/2013  JPM   72    72     
EUR  Sell  05/31/2013  BCLY   138    140    (2)
EUR  Sell  05/31/2013  CBK   33    33     
EUR  Sell  05/31/2013  DEUT   68    69    (1)
EUR  Sell  05/01/2013  JPM   8    8     
EUR  Sell  05/31/2013  JPM   5    5     
EUR  Sell  06/19/2013  JPM   1,728    1,756    (28)
EUR  Sell  05/31/2013  RBS   66    67    (1)
EUR  Sell  05/31/2013  UBS   442    447    (5)
GBP  Buy  05/31/2013  CBK   171    172    1 
GBP  Buy  05/31/2013  UBS   5,876    5,984    108 
GBP  Buy  05/31/2013  UBS   211    210    (1)
GBP  Sell  05/31/2013  CBK   323    325    (2)
GBP  Sell  05/01/2013  JPM            
GBP  Sell  05/31/2013  UBS   453    461    (8)
HUF  Buy  05/31/2013  CBK   35    35     
HUF  Sell  05/31/2013  BNP   66    67    (1)
INR  Buy  05/31/2013  JPM   68    69    1 
JPY  Buy  05/07/2013  BCLY   256    256     
JPY  Buy  05/31/2013  BNP   1,251    1,276    25 
JPY  Buy  05/31/2013  CBK   140    140     
JPY  Buy  05/31/2013  NAB   29,352    29,934    582 
JPY  Sell  05/31/2013  BCLY   257    257     
JPY  Sell  05/31/2013  CBK   68    68     
JPY  Sell  05/31/2013  DEUT   197    197     
JPY  Sell  05/01/2013  JPM   26    26     
JPY  Sell  05/31/2013  JPM   34    34     
KRW  Buy  05/31/2013  JPM   175    175     
KRW  Sell  05/31/2013  BCLY   291    296    (5)

 

The accompanying notes are an integral part of these financial statements.

 

26
 

 

 

 

Foreign Currency Contracts Outstanding at April 30, 2013 - (continued)

 

Currency  Buy / Sell  Delivery Date  Counterparty  Contract Amount   Market Value ╪   Unrealized
Appreciation/
(Depreciation)
 
MXN  Buy  05/31/2013  DEUT  $117   $117   $ 
MXN  Buy  05/31/2013  RBC   275    279    4 
MXN  Sell  05/31/2013  RBC   204    207    (3)
MYR  Buy  05/31/2013  UBS   102    102     
MYR  Sell  05/31/2013  JPM   136    136     
NGN  Buy  11/25/2013  CBK   6,348    6,633    285 
NOK  Buy  05/31/2013  DEUT   99    99     
NOK  Buy  05/31/2013  MSC   8,181    8,368    187 
PLN  Buy  05/31/2013  BNP   371    371     
PLN  Sell  05/31/2013  DEUT   112    112     
PLN  Sell  05/31/2013  UBS   340    343    (3)
SEK  Buy  05/31/2013  CSFB   71    72    1 
SEK  Buy  05/31/2013  DEUT   65    66    1 
SEK  Sell  05/02/2013  CSFB   71    72    (1)
SEK  Sell  05/31/2013  UBS   9,826    10,021    (195)
SGD  Sell  05/31/2013  JPM   397    400    (3)
ZAR  Buy  05/31/2013  CSFB   480    497    17 
ZAR  Sell  05/31/2013  CBK   70    70     
                      $1,423 

 

See Significant Accounting Policies of accompanying Notes to Financial Statements regarding valuation of securities.

 

The accompanying notes are an integral part of these financial statements.

 

27
 

 

The Hartford Strategic Income Fund
Schedule of Investments – (continued)
April 30, 2013 (Unaudited)
(000’s Omitted)

 

GLOSSARY: (abbreviations used in preceding Schedule of Investments)
 
Counterparty Abbreviations:
BCLY Barclays  
BNP BNP Paribas Securities  
BOA Banc of America Securities LLC  
CBA Commonwealth Bank of Australia
CBK Citibank NA  
CSFB Credit Suisse First Boston Corp.
CSI Credit Suisse International  
DEUT Deutsche Bank Securities, Inc.  
GSC Goldman Sachs & Co.
JPM JP Morgan Chase & Co.  
MSC Morgan Stanley  
NAB National Australia Bank
RBC RBC Dominion Securities  
RBS RBS Greenwich Capital
SCB Standard Chartered Bank  
UBS UBS AG  
WEST Westpac International  
 
Currency Abbreviations:
AUD Australian Dollar  
BRL Brazilian Real  
CAD Canadian Dollar  
CHF Swiss Franc  
CNY Chinese Yuan Renminbi  
COP Colombian Peso  
CZK Czech Koruna  
DKK Danish Krone  
EUR EURO  
GBP British Pound  
HUF Hungarian Forint  
INR Indian Rupee  
JPY Japanese Yen  
KRW South Korean Won  
MXN Mexican New Peso  
MYR Malaysian Ringgit  
NGN Nigerian Naira  
NOK Norwegian Krone  
PEN Peruvian New Sol  
PLN Polish New Zloty  
SEK Swedish Krona  
SGD Singapore Dollar  
TRY Turkish New Lira  
USD U.S. Dollar  
ZAR South African Rand  
 
Index Abbreviations:
ABX.HE Markit Asset Backed Security Home Equity
ABX.HE.PEN Markit Asset Backed Security Home Equity Penultimate
CDX.EM Credit Derivatives Emerging Markets
CDX.NA.HY Credit Derivatives North American High Yield
CDX.NA.IG Credit Derivatives North American Investment Grade
CMBX.NA Markit Commercial Mortgage Backed North American
ITRX.EUR Markit iTraxx - Europe
ITRX.XOV Markit iTraxx Index - Europe Crossover
PrimeX.ARM Markit PrimeX Mortgage Backed Security

 

Other Abbreviations:
CAD BA CDOR Canadian Bankers Acceptance Dealer Offered Rate
EURIBOR Euro Interbank Offered Rate
FHLB Federal Home Loan Bank  
FHLMC Federal Home Loan Mortgage Corp.
FNMA Federal National Mortgage Association
GNMA Government National Mortgage Association
LIBOR London Interbank Offered Rate
STIBOR Stockholm Interbank Offer Rate
WIBOR Warsaw Interbank Offered Rate

 

The accompanying notes are an integral part of these financial statements.

 

28
 

 

Item 6. Investments.

 

(a) The Schedule of Investments is included as part of the supplement to the report to shareholders filed under Item 1 of this Form.

(b) Not applicable.

 

Item 12. Exhibits.

 

(a)(2) Section 302 certifications of the principal executive officer and principal financial officer of Registrant.

(a)(3) Not applicable.

(b) Section 906 certification.

 

 
 

  

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

  THE HARTFORD MUTUAL FUNDS, INC.
     
     
Date: October 7, 2013 By: /s/ James E. Davey
    James E. Davey
    President

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

Date: October 7, 2013 By: /s/ James E. Davey
    James E. Davey
    President
     
     
Date: October 7, 2013 By: /s/ Mark A. Annoni
    Mark A. Annoni
    Vice President, Controller and Treasurer

 

 

EX-99.CERT 2 v356424_ex99-cert.htm EX-99.CERT

 

CERTIFICATION

 

 

I, James E. Davey, certify that:

 

1.I have reviewed this report on Form N-CSR of The Hartford Mutual Funds, Inc. (File Number 811-07589, CIK Number 0001006415);

 

2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4.The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d)Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date: October 7, 2013

 

/s/ James E. Davey                                                    

James E. Davey

President

 

 
 

 

CERTIFICATION

 

 

I, Mark A. Annoni, certify that:

 

1.I have reviewed this report on Form N-CSR of The Hartford Mutual Funds, Inc. (File Number 811-07589, CIK Number 0001006415);

 

2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4.The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d)Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date: October 7, 2013

 

 

/s/ Mark A. Annoni                                                     

Mark A. Annoni
Vice President, Controller and Treasurer

 

 

 

 

EX-99.906CERT 3 v356424_ex99-906cert.htm EX-99.906CERT

 

CERTIFICATION

 

Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code), each of the undersigned officers of The Hartford Mutual Funds, Inc. (the “Registrant”) does hereby certify, to such officer’s knowledge, that:

 

The semi-annual report on Form N-CSR of the Registrant for the period ended April 30, 2013 (the “Form N-CSR”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 and information contained in the Form N-CSR fairly presents, in all material respects, the financial condition and results of operations of the Registrant.

 

   
Date: October 7, 2013 By: /s/ James E. Davey__________________
  James E. Davey
  President
   
   
Date: October 7, 2013 By: /s/ Mark A. Annoni__________________
  Mark A. Annoni
  Vice President, Controller and Treasurer

 

 

A signed original of this written statement required by Section 906 has been provided to the Registrant and will be retained by the Registrant and furnished to the Securities and Exchange Commission or its staff upon request.