11-K 1 d366323d11k.htm FORM 11-K Form 11-K
Table of Contents

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 11-K

 

 

(Mark One)

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

For the fiscal year ended December 31, 2016

OR

 

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

For the transition period from                      to                     

Commission file number 001-13958

 

 

 

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

THE HARTFORD INVESTMENT AND SAVINGS PLAN

 

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

THE HARTFORD FINANCIAL SERVICES GROUP, INC.

One Hartford Plaza, Hartford, Connecticut 06155

 

 

 

Table of Contents

The Hartford Investment and Savings Plan

TABLE OF CONTENTS

December 31, 2016 and 2015

 

     Page No(s).  

Report of Independent Registered Public Accounting Firm

      F-1  

Financial Statements:

   

Statements of Net Assets Available for Benefits as of December  31, 2016 and 2015

      F-2  

Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2016

      F-3  

Notes to Financial Statements as of December  31, 2016 and 2015 and for the year ended December 31, 2016

      F-4 - F-13  

Supplemental Schedule:

   

Form 5500, Schedule H, Part IV, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2016

      F-14 – F-48  

Signature

      F-49  

Exhibit Index

 

Exhibit

Number

    Exhibit Name
23.1    Consent of Independent Registered Public Accounting Firm

All other schedules required by Section 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable.

Table of Contents

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Plan Administrator and Members of

The Hartford Investment and Savings Plan

Hartford, Connecticut

We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the “Plan”) as of December 31, 2016 and 2015, and the related statement of changes in net assets available for benefits for the year ended December 31, 2016. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits.

We conducted our audits in accordance with standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. Our audits included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.

In our opinion, such financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2016 and 2015, and the changes in net assets available for benefits for the year ended December 31, 2016, in conformity with accounting principles generally accepted in the United States of America.

The supplemental schedule of assets (held at end of year) as of December 31, 2016, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.

/s/ DELOITTE & TOUCHE LLP

Hartford, Connecticut

June 27, 2017

 

F-1

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EIN# 06-0383750

Plan# 100

 

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS

AS OF DECEMBER 31, 2016 AND 2015

($ IN THOUSANDS)

 

     2016      2015  

Assets

      

Investments:

      

Investments, at fair value (Note 4)

    $ 3,034,782      $ 2,794,579  

Investments, at contract value (Note 3)

      742,213        701,223  
  

 

 

     

 

 

  

Total investments

      3,776,995        3,495,802  

Receivables:

      

Notes receivable from Members

      61,140        59,699  

Dividends and interest receivable

      3,150        4,835  
  

 

 

     

 

 

  

Total receivables

      64,290        64,534  
  

 

 

     

 

 

  

Total assets

      3,841,285        3,560,336  

Liabilities

      

Investment management expenses payable

      472        613  

Administrative expenses payable

      40        40  
  

 

 

     

 

 

  

Total liabilities

      512        653  

Net assets available for benefits

    $ 3,840,773      $ 3,559,683  
  

 

 

     

 

 

  

See Notes to Financial Statements.

 

F-2

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EIN# 06-0383750

Plan# 100

 

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS

FOR THE YEAR ENDED DECEMBER 31, 2016

($ IN THOUSANDS)

 

     2016  

Additions to net assets attributed to:

   

Investment gain:

   

Net appreciation in fair value of investments

    $ 263,740  

Dividends

      7,707  
  

 

 

  

Total investment gain

      271,447  
  

 

 

  

Interest income on notes receivable from Members

      2,600  
  

 

 

  

Contributions:

   

Employee contributions

      135,578  

Employer contributions

      112,220  

Rollover contributions

      21,245  
  

 

 

  

Total contributions

      269,043  
  

 

 

  

Total additions

      543,090  
  

 

 

  

Deductions from net assets attributed to:

   

Benefits paid to Members

      258,381  

Investment management fees

      3,368  

Administrative expenses

      251  
  

 

 

  

Total deductions

      262,000  
  

 

 

  

Net increase in net assets

      281,090  

Net assets available for benefits:

   

Beginning of year

      3,559,683  
  

 

 

  

End of year

    $ 3,840,773  
  

 

 

  

See Notes to Financial Statements.

 

 

F-3

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THE HARTFORD INVESTMENT AND SAVINGS PLAN

NOTES TO FINANCIAL STATEMENTS

AS OF DECEMBER 31, 2016 AND 2015

AND FOR THE YEAR ENDED DECEMBER 31, 2016

($ IN THOUSANDS)

Note 1. Description of the Plan

The following description of The Hartford Investment and Savings Plan (the “Plan” or “ISP”) as of December 31, 2016 is provided for general information purposes only. Members should refer to the Plan document for more complete information. “Members” refers to eligible participants of the Plan.

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

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

Plan Changes

See Note 9 for a general description of amendments made to the Plan Document during 2016. There were no amendments during 2015.

General

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

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

Contributions

Members may elect to save a percentage of their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their savings as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, savings may be elected based on 1% to 30% of eligible compensation. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the “IRC”). If Members do not elect otherwise, they will be automatically enrolled to make before-tax contributions equal to 6% (3% prior to January 1, 2016) of eligible compensation.

The Company’s contributions include a non-elective contribution of 2% of eligible compensation and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (“Matching Company contributions”).

Members’ savings in excess of 6% of the applicable compensation are Supplemental Savings that are not matched by the Company.

 

F-4

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Note 1. Description of the Plan (continued)

 

Administrative Costs

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

Member Accounts

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

Vesting

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

Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions (0.5% of highly compensated eligible employees’ base salary and 1.5% of all other eligible employees’ base salary) made prior to January 1, 2013.

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

Investment Options

Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. As of December 31, 2016, Member contributions and Matching Company contributions may be invested in any of the twenty-three investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (“Member directed investments”).

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

Notes Receivable from Members

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

Payment of Benefits

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

 

F-5

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Note 1. Description of the Plan (continued)

 

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

Forfeitures

When a Member terminates employment before he or she has vested in his or her Matching Company and Non-Elective Company contributions, the non-vested portion of the Member’s account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future employer contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2016 and 2015, forfeited non-vested account balances totaled $71 and $748, respectively.

These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2016, Matching Company contributions were reduced by $2,975 from forfeitures.

Note 2. Accounting Policies

Basis of Accounting

The accompanying financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America (“U.S. GAAP”) and the Department of Labor’s Rules and Regulations for Reporting and Disclosure under ERISA.

Use of Estimates

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

Risks and Uncertainties

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

Investment Valuation and Income Recognition

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

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

Investment expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment return for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan. As of December 31, 2016 and 2015 there were no unfunded commitments or redemption restrictions on collective investment trusts and mutual funds.

Payment of Benefits

Benefits paid to Members are recorded when distributed.

 

F-6

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Note 2. Accounting Policies (continued)

 

Contributions

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

Excess Contribution Payable

The Plan is required to return contributions received during the Plan year in excess of the IRC limits.

Notes Receivable from Members

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

Administrative Expenses

Certain administrative expenses of the Plan are paid by the Plan Sponsor as provided in the plan document. Recordkeeping fees of the Plan are paid by the Plan. All investment management and transaction fees directly related to the Plan investments are paid by the Plan. Management fees and operating expenses charged to the Plan for investments are deducted from income earned on a daily basis and are not separately reflected. Consequently, investment management fees and operating expenses are reflected as a reduction of investment return for such investments.

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

The Plan’s Stable Value Fund is comprised primarily of synthetic GICs, which are fully benefit responsive contracts. Fully benefit-responsive contracts provide for a stated return on principal invested over a specified period and permit withdrawals at contract value for benefit payments, loans, or transfers. The synthetic GIC contracts are included in the financial statements at contract value (see Note 2). Contract value represents contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. A synthetic GIC is an investment contract issued by an insurance company or other financial institution where the contract issuer is contractually obligated to provide a specified interest rate return. The GICs are backed by a portfolio of financial instruments which are held in a trust that is owned by the Plan. The interest rate return is provided under benefit responsive wrap contracts (or “wrapper”). Standish Mellon Asset Management Company LLC, a wholly owned subsidiary of The Bank of New York Mellon Corporation, provides investment management services to the Stable Value Fund. The fair value of the benefit-responsive wrapper contracts was ($28) at December 31, 2016 and $51 at December 31, 2015. The wrap contract provides that Members execute Plan transactions at contract value. Certain events, such as a Plan termination, divestiture or reduction in force may limit the ability of the Plan to transact at contract value or may allow for the termination of the wrapper contract at less than contract value.

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

The relationship of future crediting rates and the contract values reported on the Statements of Net Assets Available for Benefits are provided through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses. Gains and losses are defined as the difference between the market value of the underlying securities and contract value of the synthetic GIC. Key factors that could influence future crediting rates include, but are not limited to, Plan cash flows, changes in interest rates, total return performance of the fair market value of the underlying securities within each synthetic GIC, default or credit failures of any of the securities, investment contracts, or other investments held in a trust that is owned by the Plan and the initiation of an extended termination of one or more synthetic GICs by the manager or the contract issuer. The rate of return earned on a synthetic GIC, or the crediting rate, is generally reset quarterly by the issuer but the rate cannot be less than zero.

The contract issuer is not allowed to terminate any of the synthetic GICs and settle at an amount different from contract value unless there is a breach of the contract which is not corrected within the applicable cure period. Actions that will result in a breach include, but are not limited to, material misrepresentation, failure to pay synthetic GIC fees, or any other payment due under the contract, and failure to adhere to investment guidelines. The Plan did not breach any terms of the synthetic GICs in 2016 or 2015.

 

F-7

Table of Contents

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

During 2016, there were no changes in contracts within the Stable Value Fund.

 

Average yields:

    2016     2015  

Based on annualized earnings (1)

      2.30 %      2.36 % 

Based on interest rate credited to participants (2)

      2.35 %      2.44 % 

 

(1) Calculated based on actual investment income from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2016 and 2015, respectively.
(2) Calculated based on the interest rate credited to participants from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2016 and 2015, respectively.

The following table represents the contract value for each of the contracts as of December 31, 2016:

 

Contract Issuer

    Contract
Number		   

Major
Credit
Ratings

    Investments
at Contract
Value		  

Transamerica Premier Life

    MDA01097TR    AA- / Aa2    $ 230,226  

American General Life

    1646368    AA / Aa2      99,884  

American General Life

    1635582    AA+ / Aaa      77,396  

RGA

    RGA00058    AA / Aa2      41,550  

New York Life

    GA29021    AA+ / Aaa      93,047  

Prudential

    GA62433    AA / Aa1      167,989  
        

 

 

  

Total

          $ 710,092  
        

 

 

  

The Stable Value Fund also held cash and cash equivalents totaling $32,121 as of December 31, 2016.

The following table represents the contract value for each of the contracts as of December 31, 2015:

 

Contract Issuer

    Contract
Number		   

Major
Credit
Ratings

    Investments
at Contract
Value		  

Transamerica Premier Life

    MDA01097TR    AA- / Aa2    $ 223,638  

American General Life

    1646368    AA / Aa2      98,118  

American General Life

    1635582    AA+ / Aaa      64,412  

RGA

    RGA00058    AA / Aa2      40,495  

New York Life

    GA29021    AA+ / Aaa      90,857  

Prudential

    GA62433    AA / Aa1      163,827  
        

 

 

  

Total

          $ 681,347  
        

 

 

  

The Stable Value Fund also held cash and cash equivalents totaling $19,876 as of December 31, 2015.

Note 4. Fair Value Measurements

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

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

 

•   Level 1 - Unadjusted quoted market prices for identical assets or liabilities in active markets that the Plan has the ability to access.

 

•   Level 2 - Quoted prices for similar assets or liabilities in active markets; quoted prices for identical or similar assets or liabilities in inactive markets; or valuations based on models where the significant inputs are observable (e.g., interest rates, yield curves, prepayment speeds, default rates, loss severities, etc.) or can be corroborated by observable market data.

 

•   Level 3 - Valuations based on models where significant inputs are not observable. The unobservable inputs reflect the Plan’s own assumptions about the inputs that market participants would use in a current market exchange absent actual market exchanges.

 

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Table of Contents

Note 4. Fair Value Measurements (continued)

 

Asset Valuation Techniques — Valuation techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2016 and 2015.

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

Debt Securities:

For most of the Plan’s debt securities, the following inputs are typically used in the Plan’s pricing methods: reported trades, benchmark yields, bids and/or estimated cash flows. For securities except U.S. Treasuries, inputs also include issuer spreads, which may consider credit default swaps.

A description of additional inputs used for Debt Securities is listed below:

Asset-Backed Securities (“ABS”), Commercial Mortgage-Backed Securities (“CMBS”) and Residential Mortgage-Backed Securities (“RMBS”) — Primary inputs also include monthly payment information, and collateral performance, which varies by vintage year and includes delinquency rates, collateral valuation loss severity rates, collateral refinancing assumptions and, for ABS and RMBS, estimated prepayment rates.

Corporates — Valued using pricing models maximizing the use of observable inputs for similar securities. Inputs also include observations of credit default swap curves related to the issuer. This includes basing value on yields currently available on comparable securities of issuers with similar credit ratings. When quoted prices are not available for identical or similar bonds, the bond is valued using discounted cash flows that maximizes observable inputs, such as current yields of similar instruments, but includes adjustments for certain risks that may not be observable, such as credit and liquidity risks or a broker quote, if available.

Municipals — Primary inputs also include Municipal Securities Rulemaking Board reported trades and material event notices, and issuer financial statements.

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

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

Collective Investment Trusts — Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner.

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

 

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Table of Contents

Note 4. Fair Value Measurements (continued)

 

The following tables set forth by level within the fair value hierarchy a summary of the Plan’s investments measured at fair value on a recurring basis at December 31, 2016 and 2015.

 

     Investment Assets at Fair Value December 31, 2016  
     Active                       
     Markets for      Other      Significant         
     Identical      Observable      Unobservable         
     Assets (Level 1)      Inputs (Level 2)      Inputs (Level 3)      Total  

Invested Assets

            

Short Term Investments

    $ —        $ 5,007      $ —        $ 5,007  

Debt Securities

      —          —          —          —    

Mutual Funds

      825,115        —          —          825,115  

Equity Securities

      1,095,069        —          —          1,095,069  
  

 

 

     

 

 

     

 

 

     

 

 

  

Total investments at fair value [1]

    $ 1,920,184      $ 5,007      $ —        $ 1,925,191  
  

 

 

     

 

 

     

 

 

     

 

 

  

Investments at net asset value:

            

Collective investment trusts

               1,109,591  
           

 

 

  

Total investments

             $ 3,034,782  
           

 

 

  

 

[1] Excludes $1,383 of dividend receivable, $1,463 of interest receivable and $304 of other receivables recorded at fair value.

 

     Investment Assets at Fair Value December 31, 2015  
     Active                       
     Markets for      Other      Significant         
     Identical      Observable      Unobservable         
     Assets (Level 1)      Inputs (Level 2)      Inputs (Level 3)      Total  

Invested Assets

            

Short Term Investments

    $ —        $ 5,864      $ —        $ 5,864  

Debt Securities

      5        55,778        982        56,765  

Mutual Funds

      876,691        —          —          876,691  

Equity Securities

      951,777        —          —          951,777  
  

 

 

     

 

 

     

 

 

     

 

 

  

Total investments at fair value [2]

    $ 1,828,473      $ 61,642      $ 982      $ 1,891,097  
  

 

 

     

 

 

     

 

 

     

 

 

  

Investments at net asset value:

            

Collective investment trusts

               903,482  
           

 

 

  

Total investments

             $ 2,794,579  
           

 

 

  

 

[2] Excludes $1,423 of dividend receivable, $2,567 of interest receivable and $845 of other receivables recorded at fair value.

 

F-10

Table of Contents

Note 4. Fair Value Measurements (continued)

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

We evaluate the significance of transfers between levels based upon the nature of the financial instrument and size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 2016 and 2015 there were no transfers between levels beyond those mentioned below.

Rollforward of Fair Value Measurements Using Significant Unobservable Inputs (Level 3)

The tables below set forth a summary of changes in the fair value of the Plan’s Level 3 investments using significant unobservable inputs for the years ended December 31, 2016 and 2015.

 

     Level 3
Investment Assts and Investment Liabilities		  
     Year Ended December 31, 2016  
     Bond  
     Investments  

Balance, beginning of year

    $ 982  

Realized gains/(losses), net

      (25 ) 

Change in unrealized gains/(losses), net

      65  

Purchases

      143  

Issuances

      —    

Settlements

      —    

Sales

      (1,165 ) 

Transfers in to Level 3

      —    

Transfers out of Level 3

      —    
  

 

 

  

Balance, end of year

    $ —    
  

 

 

  
    

Level 3

Investment Assts and Investment Liabilities

  
     Year Ended December 31, 2015  
     Bond  
     Investments  

Balance, beginning of year

    $ 1,212  

Realized gains/(losses), net

      (16 ) 

Change in unrealized gains/(losses), net

      (35 ) 

Purchases

      887  

Issuances

      —    

Settlements

      —    

Sales

      (274 ) 

Transfers in to Level 3

      —    

Transfers out of Level 3

      (792 ) 
  

 

 

  

Balance, end of year

    $ 982  
  

 

 

  

The change in unrealized gains/(losses) included in the Statement of Changes in Net Assets Available for Benefits related to Level 3 assets still held at the reporting date totaled $0 and $161 as of December 31, 2016 and 2015, respectively.

Hartford’s Investment and Savings Plan Investment Committee (the “Committee”), which oversees the Plan’s menu of investments, works with an unaffiliated investment consultant to monitor the performance of Plan investments, periodically review the Plan’s menu of investments and, when appropriate, make changes.

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

 

F-11

Table of Contents

Note 4. Fair Value Measurements (continued)

 

During the year ended December 31, 2015, transfers out of Level 3 are primarily attributable to the appearance of market observable information and the re-evaluation of the observability of pricing inputs. There were no transfers out of Level 3 during the year ended December 31, 2016.

Note 5. Federal Income Tax Status

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

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

The Plan is subject to audit by the IRS; however there are currently no audits for any tax periods in progress. The Plan Administrator believes it is no longer subject to income tax examinations for years prior to 2013.

Note 6. Plan Termination

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

Note 7. Reconciliation of Financial Statements to Form 5500

The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts reflected in Form 5500 as of December 31, 2016 and 2015:

 

     2016      2015  

Net assets available for benefits per accompanying financial statements

    $ 3,840,773      $ 3,559,683  

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

      6,675        11,783  
  

 

 

     

 

 

  

Net assets per Form 5500

    $ 3,847,448      $ 3,571,466  
  

 

 

     

 

 

  

The following is a reconciliation of total investment gain and contributions on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2016:

 

Total investment gain and contributions per accompanying financial statements

    $ 543,090  

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

      (11,783 ) 

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

      6,675  
  

 

 

  

Total income per Form 5500

    $ 537,982  
  

 

 

  

The following is a reconciliation of benefits paid to Members between the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2016:

 

Benefits paid to Members per accompanying financial statements

    $ 258,381  

Deduct corrective distributions

      16  

Deduct amounts allocated to deemed loan distributions

      70  
  

 

 

  

Benefits paid to Members per Form 5500

    $ 258,295  
  

 

 

  

 

F-12

Table of Contents

Note 8. Exempt Party-in-Interest Transactions

Certain plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services amounted to $56 for the year ended December 31, 2016. Fees paid by the Plan to a subsidiary of the Company pursuant to a group annuity contract issued by a subsidiary, for The Hartford Index Fund, amounted to $94 for the year ended December 31, 2016. In addition, certain Plan investments are shares of mutual funds that are sponsored by The Hartford and shares of Hartford Stock. At December 31, 2016 and 2015, the Plan held 4,594,172 shares and 5,026,863 shares of Hartford Stock with a cost basis of $153,113 and $167,805, respectively. The shares had a fair value of $218,047 and $219,848 at December 31, 2016 and 2015, respectively. During the year ended December 31, 2016, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of $7,580.

Note 9. Plan Amendments and Other Changes

Effective January 1, 2016, the Plan was amended to change the vesting period for Members hired on or after January 1, 2016, Members will become 100% vested in Matching Company and non-elective Company contributions made after January 1, 2016 after three years of service.

Effective July 26, 2016, the Plan was amended to allow new Members into the Plan and to allow employees to have their previous service with Northern Homelands Company and its subsidiaries and Lattice Strategies LLC be applied to their years of service with the Company and used in determining the employees’ vesting in Plan contributions. Further, if the new Members do not elect otherwise, they will be automatically enrolled to make before-tax contributions equal to 6% (3% for salary prior to January 1, 2016) of eligible compensation.

Note 10. Subsequent Events

For the year ended December 31, 2016, subsequent events were evaluated through the date the financial statements were issued.

******

 

F-13

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Chartwell Equity Securities

        
  

Acxiom Corp

       ***   $ 1,753  
  

Altra Industrial Motion

       ***     1,197  
  

American Equity Invt Life

       ***     1,151  
  

Anixter International Inc

       ***     663  
  

Argo Group International

       ***     1,934  
  

Avista Corp

       ***     805  
  

Barnes Group Inc

       ***     1,341  
  

Black Hills Corp

       ***     894  
  

Buffalo Wild Wings Inc

       ***     776  
  

Calgon Carbon Corp

       ***     841  
  

Cardtronics PLC

       ***     1,659  
  

Clarcor Inc

       ***     1,738  
  

Columbia Banking System Inc

       ***     1,670  
  

CVB Financial Corp

       ***     1,039  
  

Denny S Corp

       ***     1,374  
  

Diodes Inc

       ***     734  
  

Dupont Fabros Technology

       ***     960  
  

Eagle Materials Inc

       ***     1,732  
  

Education Realty Trust Inc

       ***     1,442  
  

El Paso Electric Co

       ***     1,066  
  

Empire State Realty Trust

       ***     794  
  

Enpro Industries Inc

       ***     1,093  
  

Esco Technologies Inc

       ***     2,075  
  

Fabrinet

       ***     800  
  

First Industrial Realty Tr

       ***     1,059  
  

First Midwest Bancorp Inc

       ***     1,255  
  

FNB Corp

       ***     975  
  

Franklin Electric Co Inc

       ***     805  
  

FTD Cos Inc

       ***     957  
  

Generac Holdings Inc

       ***     1,137  
  

Gstif 25 Bps Gstif 25 Bps

       ***     1,760  
  

Haemonetics Corp

       ***     1,101  
  

Harsco Corp

       ***     649  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-14

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Healthcare Realty Trust Inc

       ***   $ 1,340  
  

Hope Bancorp Inc

       ***     1,416  
  

Innophos Holdings Inc

       ***     926  
  

ITT Inc

       ***     1,654  
  

Kite Realty Group Trust

       ***     808  
  

Knoll Inc

       ***     1,337  
  

Korn/Ferry International

       ***     599  
  

Lancaster Colony Corp

       ***     848  
  

Mantech International Corp

       ***     1,124  
  

Matthews Intl Corp

       ***     1,159  
  

Minerals Technologies Inc

       ***     1,379  
  

Northwestern Corp

       ***     1,487  
  

Oxford Industries Inc

       ***     558  
  

Pacwest Bancorp

       ***     1,253  
  

Pinnacle Financial Partners

       ***     1,703  
  

Plexus Corp

       ***     1,628  
  

PRA Group Inc

       ***     1,486  
  

Progress Software Corp

       ***     954  
  

PS Business Parks Inc

       ***     1,349  
  

Renasant Corp

       ***     912  
  

Rogers Corp

       ***     719  
  

RSP Permian Inc

       ***     1,851  
  

Rush Enterprises Inc

       ***     1,079  
  

Saia Inc

       ***     1,063  
  

Sanderson Farms Inc

       ***     1,628  
  

Scholastic Corp

       ***     1,601  
  

Selective Insurance Group

       ***     1,451  
  

South State Corp

       ***     1,530  
  

Surgical Care Affiliates Inc

       ***     659  
  

Tri Pointe Group Inc

       ***     776  
  

Trueblue Inc

       ***     1,305  
  

UMB Financial Corp

       ***     1,184  
  

Umpqua Holdings Corp

       ***     1,005  
  

United Bankshares Inc

       ***     1,071  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-15

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost     (e) Current
Value		  
  

United Community Banks

         ***     $ 1,436  
  

VWR Corp

         ***    
  

Wolverine World Wide Inc

         ***       736  
          

 

 

  
  

Subtotal Chartwell Equity Securities

      $ 83,404  
       

 

 

  
  

Clearing Account

        
  

State Street Bank and Trust

    Clearing Account      ***       1,000  
          

 

 

  
  

Subtotal Clearing Account

      $ 1,000  
          

 

 

  
  

Collective Investment Trusts

        
  

SSGA

    SSGA Real Asset Fund      ***       17,579  
  

Target Retirement 2010 Fund

   

Vanguard Target Retirement 2010 Fund

      ***       12,945  
  

Target Retirement 2015 Fund

   

Vanguard Target Retirement 2015 Fund

      ***       89,287  
  

Target Retirement 2020 Fund

   

Vanguard Target Retirement 2020 Fund

      ***       75,290  
  

Target Retirement 2025 Fund

   

Vanguard Target Retirement 2025 Fund

      ***       254,995  
  

Target Retirement 2030 Fund

   

Vanguard Target Retirement 2030 Fund

      ***       89,090  
  

Target Retirement 2035 Fund

   

Vanguard Target Retirement 2035 Fund

      ***       238,864  
  

Target Retirement 2040 Fund

   

Vanguard Target Retirement 2040 Fund

      ***       67,120  
  

Target Retirement 2045 Fund

   

Vanguard Target Retirement 2045 Fund

      ***       137,355  
  

Target Retirement 2050 Fund

   

Vanguard Target Retirement 2050 Fund

      ***       55,166  
  

Target Retirement 2055 Fund

   

Vanguard Target Retirement 2055 Fund

      ***       24,538  
  

Target Retirement 2060 Fund

   

Vanguard Target Retirement 2060 Fund

      ***       11,181  
  

Target Retirement Income Fund

   

Vanguard Target Retirement Income Fund

      ***       36,181  
          

 

 

  
  

Subtotal Collective Investment Trusts

      $ 1,109,591  
       

 

 

  
  

Loomis Sayles Growth Fund

        
  

Alibaba Group

         ***       10,623  
  

Alphabet Inc

         ***       6,920  
  

Alphabet Inc

         ***       7,104  
  

Amazon.Com Inc

         ***       16,316  
  

American Express Co

         ***       3,492  
  

Amgen Inc

         ***       4,625  
  

Analog Devices Inc

         ***       1,119  
  

Autodesk Inc

         ***       6,933  
  

Automatic Data Processing

         ***       2,350  
  

Cerner Corp

         ***       4,676  
  

Cisco Systems Inc

         ***       11,954  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-16

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost     (e) Current
Value		  
  

Coca Cola Co

         ***     $ 7,593  
  

Danone Spons

         ***       7,471  
  

Deere & Co

         ***       6,124  
  

Expeditors Intl Wash Inc

         ***       7,287  
  

Facebook Inc

         ***       14,463  
  

Factset Research Systems Inc

         ***       4,494  
  

Gstif 25 Bps Gstif 25 Bps

         ***       322  
  

Merck & Co Inc

         ***       3,184  
  

Microsoft Corp

         ***       6,535  
  

Monster Beverage Corp

         ***       9,085  
  

Novartis

         ***       4,901  
  

Novo Nordisk

         ***       7,055  
  

Oracle Corp

         ***       9,722  
  

Procter & Gamble

         ***       7,724  
  

Qualcomm Inc

         ***       10,062  
  

Regeneron Pharmaceuticals

         ***       6,249  
  

Schlumberger Ltd

         ***       6,182  
  

Sei Investments

         ***       7,041  
  

United Parcel Service

         ***       6,756  
  

Us Dollar

         ***       2,805  
  

Varian Medical Systems Inc

         ***       5,598  
  

Visa Inc

         ***       11,624  
  

YumBrands Inc

         ***       4,255  
  

Yum China Holdings Inc

         ***       2,552  
          

 

 

  
  

Loomis Sayles Growth Fund

      $ 235,196  
          

 

 

  

*

   

The Hartford

   

Index Fund

     
  

Equity Securities

        
  

3M Co

         ***       2,405  
  

Abbott Laboratories

         ***       1,267  
  

Abbvie Inc

         ***       2,280  
  

Accenture Plc Cl A

         ***       1,627  
  

Activision Blizzard Inc

         ***       553  
  

Acuity Brands Inc

         ***       228  
  

Adobe Systems Inc

         ***       1,147  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-17

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Advance Auto Parts Inc

       ***   $ 281  
  

Aes Corp

       ***     171  
  

Aetna Inc

       ***     975  
  

Affiliated Managers Group

       ***     178  
  

Aflac Inc

       ***     636  
  

Agilent Technologies Inc

       ***     331  
  

Air Products & Chemicals Inc

       ***     700  
  

Akamai Technologies Inc

       ***     259  
  

Alaska Air Group Inc

       ***     246  
  

Albemarle Corp

       ***     217  
  

Alexion Pharmaceuticals Inc

       ***     615  
  

Allegion Plc

       ***     139  
  

Allergan Plc

       ***     1,765  
  

Alliance Data Systems Corp

       ***     295  
  

Alliant Energy Corp

       ***     194  
  

Allstate Corp

       ***     611  
  

Alphabet Inc Cl A

       ***     5,256  
  

Alphabet Inc Cl C

       ***     5,131  
  

Altria Group Inc

       ***     2,954  
  

Amazon.Com Inc

       ***     6,624  
  

Ameren Corporation

       ***     283  
  

American Airlines Group Inc

       ***     540  
  

American Electric Power

       ***     693  
  

American Express Co

       ***     1,276  
  

American International Group

       ***     1,427  
  

American Tower Corp

       ***     1,008  
  

American Water Works Co Inc

       ***     290  
  

Ameriprise Financial Inc

       ***     391  
  

Amerisourcebergen Corp

       ***     294  
  

Ametek Inc

       ***     253  
  

Amgen Inc

       ***     2,436  
  

Amphenol Corp Cl A

       ***     464  
  

Anadarko Petroleum Corp

       ***     873  
  

Analog Devices Inc

       ***     501  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-18

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Anthem Inc

       ***   $ 848  
  

Aon Plc

       ***     658  
  

Apache Corp

       ***     539  
  

Apartment Invt & Mgmt CoA

       ***     161  
  

Apple Inc

       ***     14,801  
  

Applied Materials Inc

       ***     781  
  

Archer Daniels Midland Co

       ***     589  
  

Arconic Inc

       ***     180  
  

Arthur J Gallagher & Co

       ***     206  
  

Assurant Inc

       ***     121  
  

At&T Inc

       ***     5,850  
  

Autodesk Inc

       ***     325  
  

Automatic Data Processing

       ***     1,038  
  

Autonation Inc

       ***     71  
  

Autozone Inc

       ***     509  
  

Avalonbay Communities Inc

       ***     545  
  

Avery Dennison Corp

       ***     138  
  

Baker Hughes Inc

       ***     617  
  

Ball Corp

       ***     294  
  

Bank of America Corp

       ***     5,002  
  

Bank of New York Mellon Corp

       ***     1,122  
  

Baxter International Inc

       ***     486  
  

Bb&T Corp

       ***     853  
  

Becton Dickinson And Co

       ***     788  
  

Bed Bath & Beyond Inc

       ***     138  
  

Berkshire Hathaway Inc Cl B

       ***     6,932  
  

Best Buy Co Inc

       ***     260  
  

Biogen Inc

       ***     1,382  
  

Blackrock Inc

       ***     1,035  
  

Boeing Co/The

       ***     2,001  
  

Borgwarner Inc

       ***     179  
  

Boston Properties Inc

       ***     433  
  

Boston Scientific Corp

       ***     660  
  

Bristol Myers Squibb Co

       ***     2,188  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-19

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Broadcom Ltd

       ***   $ 1,573  
  

Brown Forman Corp Class B

       ***     185  
  

C.H. Robinson Worldwide Inc

       ***     232  
  

Ca Inc

       ***     224  
  

Cabot Oil & Gas Corp

       ***     245  
  

Campbell Soup Co

       ***     264  
  

Capital One Financial Corp

       ***     942  
  

Cardinal Health Inc

       ***     516  
  

Carmax Inc

       ***     274  
  

Carnival Corp

       ***     489  
  

Caterpillar Inc

       ***     1,215  
  

Cbre Group Inc A

       ***     212  
  

Cbs Corp Class B Non Voting

       ***     559  
  

Celgene Corp

       ***     2,010  
  

Centene Corp

       ***     219  
  

Centerpoint Energy Inc

       ***     238  
  

Centurylink Inc

       ***     291  
  

Cerner Corp

       ***     320  
  

Cf Industries Holdings Inc

       ***     166  
  

Charter Communications Inc A

       ***     1,397  
  

Chesapeake Energy Corp

       ***     117  
  

Chevron Corp

       ***     4,977  
  

Chipotle Mexican Grill Inc

       ***     244  
  

Chubb Ltd

       ***     1,377  
  

Church & Dwight Co Inc

       ***     256  
  

Cigna Corp

       ***     767  
  

Cimarex Energy Co

       ***     289  
  

Cincinnati Financial Corp

       ***     255  
  

Cintas Corp

       ***     224  
  

Cisco Systems Inc

       ***     3,398  
  

Citigroup Inc

       ***     3,793  
  

Citizens Financial Group

       ***     407  
  

Citrix Systems Inc

       ***     312  
  

Clorox Company

       ***     346  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-20

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Cme Group Inc

       ***   $ 877  
  

Cms Energy Corp

       ***     261  
  

Coach Inc

       ***     220  
  

Coca Cola Co/The

       ***     3,605  
  

Cognizant Tech Solutions A

       ***     761  
  

Colgate Palmolive Co

       ***     1,303  
  

Comcast Corp Class A

       ***     3,687  
  

Comerica Inc

       ***     262  
  

Conagra Brands Inc

       ***     368  
  

Concho Resources Inc

       ***     433  
  

Conocophillips

       ***     1,391  
  

Consolidated Edison Inc

       ***     503  
  

Constellation Brands Inc A

       ***     610  
  

Cooper Cos Inc/The

       ***     190  
  

Corning Inc

       ***     517  
  

Costco Wholesale Corp

       ***     1,567  
  

Coty Inc Cl A

       ***     194  
  

Cr Bard Inc

       ***     370  
  

Crown Castle Intl Corp

       ***     701  
  

Csra Inc

       ***     102  
  

Csx Corp

       ***     754  
  

Cummins Inc

       ***     472  
  

Cvs Health Corp

       ***     1,885  
  

Danaher Corp

       ***     1,061  
  

Darden Restaurants Inc

       ***     202  
  

Davita Inc

       ***     227  
  

Deere & Co

       ***     667  
  

Delphi Automotive Plc

       ***     408  
  

Delta Air Lines Inc

       ***     813  
  

Dentsply Sirona Inc

       ***     298  
  

Devon Energy Corp

       ***     535  
  

Digital Realty Trust Inc

       ***     350  
  

Discover Financial Services

       ***     637  
  

Discovery Communications A

       ***     93  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-21

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Discovery Communications C

       ***   $ 130  
  

Dollar General Corp

       ***     423  
  

Dollar Tree Inc

       ***     408  
  

Dominion Resources Inc/Va

       ***     1,076  
  

Dover Corp

       ***     260  
  

Dow Chemical Co/The

       ***     1,437  
  

Dr Horton Inc

       ***     208  
  

Dr Pepper Snapple Group Inc

       ***     375  
  

Dte Energy Company

       ***     396  
  

Du Pont (E.I.) De Nemours

       ***     1,429  
  

Duke Energy Corp

       ***     1,198  
  

Dun & Bradstreet Corp

       ***     101  
  

E Trade Financial Corp

       ***     212  
  

Eastman Chemical Co

       ***     246  
  

Eaton Corp Plc

       ***     679  
  

Ebay Inc

       ***     689  
  

Ecolab Inc

       ***     689  
  

Edison International

       ***     525  
  

Edwards Lifesciences Corp

       ***     449  
  

Electronic Arts Inc

       ***     532  
  

Eli Lilly & Co

       ***     1,601  
  

Emerson Electric Co

       ***     802  
  

Endo International Plc

       ***     71  
  

Entergy Corp

       ***     294  
  

Envision Healthcare Corp

       ***     166  
  

Eog Resources Inc

       ***     1,305  
  

Eqt Corp

       ***     254  
  

Equifax Inc

       ***     317  
  

Equinix Inc

       ***     571  
  

Equity Residential

       ***     527  
  

Essex Property Trust Inc

       ***     341  
  

Estee Lauder Companies Cl A

       ***     381  
  

Eversource Energy

       ***     392  
  

Exelon Corp

       ***     734  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-22

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Expedia Inc

       ***   $ 306  
  

Expeditors Intl Wash Inc

       ***     212  
  

Express Scripts Holding Co

       ***     950  
  

Extra Space Storage Inc

       ***     218  
  

Exxon Mobil Corp

       ***     8,384  
  

F5 Networks Inc

       ***     210  
  

Facebook Inc A

       ***     6,033  
  

Fastenal Co

       ***     306  
  

Federal Realty Invs Trust

       ***     228  
  

Fedex Corp

       ***     1,020  
  

Fidelity National Info Serv

       ***     556  
  

Fifth Third Bancorp

       ***     456  
  

First Solar Inc

       ***     56  
  

Firstenergy Corp

       ***     295  
  

Fiserv Inc

       ***     519  
  

Flir Systems Inc

       ***     110  
  

Flowserve Corp

       ***     143  
  

Fluor Corp

       ***     164  
  

Fmc Corp

       ***     169  
  

Fmc Technologies Inc

       ***     181  
  

Foot Locker Inc

       ***     215  
  

Ford Motor Co

       ***     1,060  
  

Fortive Corp

       ***     361  
  

Fortune Brands Home & Securi

       ***     185  
  

Franklin Resources Inc

       ***     307  
  

Freeport Mcmoran Inc

       ***     370  
  

Frontier Communications Corp

       ***     91  
  

Gap Inc/The

       ***     112  
  

Garmin Ltd

       ***     126  
  

General Dynamics Corp

       ***     1,106  
  

General Electric Co

       ***     6,261  
  

General Growth Properties

       ***     327  
  

General Mills Inc

       ***     818  
  

General Motors Co

       ***     1,082  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-23

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Genuine Parts Co

       ***   $ 319  
  

Gilead Sciences Inc

       ***     2,113  
  

Global Payments Inc

       ***     239  
  

Goldman Sachs Group Inc

       ***     1,983  
  

Goodyear Tire & Rubber Co

       ***     181  
  

H&R Block Inc

       ***     115  
  

Halliburton Co

       ***     1,046  
  

Hanesbrands Inc

       ***     181  
  

Harley Davidson Inc

       ***     232  
  

Harman International

       ***     174  
  

Harris Corp

       ***     285  
  

Hartford Financial Svcs Grp

       ***     401  
  

Hasbro Inc

       ***     195  
  

Hca Holdings Inc

       ***     486  
  

Hcp Inc

       ***     311  
  

Helmerich & Payne

       ***     188  
  

Henry Schein Inc

       ***     275  
  

Hershey Co/The

       ***     325  
  

Hess Corp

       ***     374  
  

Hewlett Packard Enterpris

       ***     864  
  

Hologic Inc

       ***     250  
  

Home Depot Inc

       ***     3,659  
  

Honeywell International Inc

       ***     1,977  
  

Hormel Foods Corp

       ***     212  
  

Host Hotels & Resorts Inc

       ***     311  
  

HP Inc

       ***     569  
  

Humana Inc

       ***     681  
  

Hunt (Jb) Transprt Svcs Inc

       ***     190  
  

Huntington Bancshares Inc

       ***     323  
  

Illinois Tool Works

       ***     867  
  

Illumina Inc

       ***     421  
  

Ingersoll Rand Plc

       ***     434  
  

Intel Corp

       ***     3,850  
  

Intercontinental Exchange In

       ***     753  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-24

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

International Paper Co

       ***   $ 489  
  

Interpublic Group of Cos Inc

       ***     207  
  

Intl Business Machines Corp

       ***     3,217  
  

Intl Flavors & Fragrances

       ***     208  
  

Intuit Inc

       ***     626  
  

Intuitive Surgical Inc

       ***     550  
  

Invesco Ltd

       ***     279  
  

Iron Mountain Inc

       ***     180  
  

Jacobs Engineering Group Inc

       ***     156  
  

Jm Smucker Co/The

       ***     334  
  

Johnson & Johnson

       ***     7,021  
  

Johnson Controls Internation

       ***     864  
  

Jpmorgan Chase & Co

       ***     6,916  
  

Jpmorgan U.S. Government Money

       ***     2,897  
  

Juniper Networks Inc

       ***     243  
  

Kansas City Southern

       ***     204  
  

Kellogg Co

       ***     417  
  

Keycorp

       ***     444  
  

Kimberly Clark Corp

       ***     915  
  

Kimco Realty Corp

       ***     239  
  

Kinder Morgan Inc

       ***     891  
  

Kla Tencor Corp

       ***     276  
  

Kohls Corp

       ***     194  
  

Kraft Heinz Co/The

       ***     1,167  
  

Kroger Co

       ***     730  
  

L Brands Inc

       ***     354  
  

L3 Technologies Inc

       ***     264  
  

Laboratory Crp of Amer Hldgs

       ***     296  
  

Lam Research Corp

       ***     385  
  

Leggett & Platt Inc

       ***     148  
  

Lennar Corp A

       ***     189  
  

Leucadia National Corp

       ***     171  
  

Level 3 Communications Inc

       ***     368  
  

Lincoln National Corp

       ***     341  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-25

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Linear Technology Corp

       ***   $ 335  
  

Lkq Corp

       ***     213  
  

Lockheed Martin Corp

       ***     1,410  
  

Loews Corp

       ***     290  
  

Lowe S Cos Inc

       ***     1,386  
  

Lyondellbasell Indu Cl A

       ***     644  
  

M & T Bank Corp

       ***     545  
  

Macerich Co/The

       ***     193  
  

Macy S Inc

       ***     244  
  

Mallinckrodt Plc

       ***     117  
  

Marathon Oil Corp

       ***     329  
  

Marathon Petroleum Corp

       ***     595  
  

Marriott InternationalCl A

       ***     593  
  

Marsh & Mclennan Cos

       ***     780  
  

Martin Marietta Materials

       ***     315  
  

Masco Corp

       ***     231  
  

Mastercard Inc A

       ***     2,201  
  

Mattel Inc

       ***     211  
  

Mccormick & Co Non Vtg Shrs

       ***     238  
  

Mcdonald S Corp

       ***     2,264  
  

Mckesson Corp

       ***     711  
  

Mead Johnson Nutrition Co

       ***     293  
  

Medtronic Plc

       ***     2,191  
  

Merck & Co. Inc.

       ***     3,636  
  

Metlife Inc

       ***     1,327  
  

Mettler Toledo International

       ***     244  
  

Michael Kors Holdings Ltd

       ***     160  
  

Microchip Technology Inc

       ***     310  
  

Micron Technology Inc

       ***     511  
  

Microsoft Corp

       ***     10,823  
  

Mid America Apartment Comm

       ***     248  
  

Mohawk Industries Inc

       ***     283  
  

Molson Coors Brewing CoB

       ***     401  
  

Mondelez International Inc A

       ***     1,533  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-26

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Monsanto Co

       ***   $ 1,032  
  

Monster Beverage Corp

       ***     403  
  

Moody S Corp

       ***     352  
  

Morgan Stanley

       ***     1,365  
  

Mosaic Co/The

       ***     229  
  

Motorola Solutions Inc

       ***     309  
  

Murphy Oil Corp

       ***     113  
  

Mylan Nv

       ***     393  
  

Nasdaq Inc

       ***     171  
  

National Oilwell Varco Inc

       ***     316  
  

Navient Corp

       ***     111  
  

Netapp Inc

       ***     216  
  

Netflix Inc

       ***     1,190  
  

Newell Brands Inc

       ***     482  
  

Newfield Exploration Co

       ***     178  
  

Newmont Mining Corp

       ***     405  
  

News Corp Class A

       ***     100  
  

News Corp Class B

       ***     31  
  

Nextera Energy Inc

       ***     1,251  
  

Nielsen Holdings Plc

       ***     315  
  

Nike IncCl B

       ***     1,521  
  

Nisource Inc

       ***     158  
  

Noble Energy Inc

       ***     365  
  

Nordstrom Inc

       ***     126  
  

Norfolk Southern Corp

       ***     707  
  

Northern Trust Corp

       ***     425  
  

Northrop Grumman Corp

       ***     920  
  

Nrg Energy Inc

       ***     85  
  

Nucor Corp

       ***     424  
  

Nvidia Corp

       ***     1,289  
  

O Reilly Automotive Inc

       ***     589  
  

Occidental Petroleum Corp

       ***     1,219  
  

Omnicom Group

       ***     449  
  

Oneok Inc

       ***     271  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-27

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Oracle Corp

       ***   $ 2,581  
  

P G & E Corp

       ***     688  
  

Paccar Inc

       ***     501  
  

Parker Hannifin Corp

       ***     419  
  

Patterson Cos Inc

       ***     76  
  

Paychex Inc

       ***     438  
  

Paypal Holdings Inc

       ***     992  
  

Pentair Plc

       ***     210  
  

People S United Financial

       ***     135  
  

Pepsico Inc

       ***     3,361  
  

Perkinelmer Inc

       ***     126  
  

Perrigo Co Plc

       ***     268  
  

Pfizer Inc

       ***     4,416  
  

Philip Morris International

       ***     3,179  
  

Phillips 66

       ***     857  
  

Pinnacle West Capital

       ***     197  
  

Pioneer Natural Resources Co

       ***     684  
  

Pitney Bowes Inc

       ***     65  
  

Pnc Financial Services Group

       ***     1,273  
  

Ppg Industries Inc

       ***     562  
  

Ppl Corp

       ***     518  
  

Praxair Inc

       ***     749  
  

Priceline Group Inc/The

       ***     1,620  
  

Principal Financial Group

       ***     346  
  

Procter & Gamble Co When Dis

       ***     5,040  
  

Progressive Corp

       ***     461  
  

Prologis Inc

       ***     625  
  

Prudential Financial Inc

       ***     1,004  
  

Public Service Enterprise Gp

       ***     497  
  

Public Storage

       ***     747  
  

Pultegroup Inc

       ***     122  
  

Pvh Corp

       ***     161  
  

Qorvo Inc

       ***     150  
  

Qualcomm Inc

       ***     2,157  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-28

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Quanta Services Inc

       ***   $ 118  
  

Quest Diagnostics Inc

       ***     285  
  

Ralph Lauren Corp

       ***     113  
  

Range Resources Corp

       ***     147  
  

Raytheon Company

       ***     933  
  

Realty Income Corp

       ***     334  
  

Red Hat Inc

       ***     279  
  

Regeneron Pharmaceuticals

       ***     621  
  

Regions Financial Corp

       ***     395  
  

Republic Services Inc

       ***     297  
  

Reynolds American Inc

       ***     1,038  
  

Robert Half Intl Inc

       ***     142  
  

Rockwell Automation Inc

       ***     385  
  

Rockwell Collins Inc

       ***     272  
  

Roper Technologies Inc

       ***     415  
  

Ross Stores Inc

       ***     583  
  

Royal Caribbean Cruises Ltd

       ***     309  
  

Ryder System Inc

       ***     91  
  

S&P Global Inc

       ***     625  
  

S&P500 Emini FutMar17

       ***     —    
  

Salesforce.Com Inc

       ***     979  
  

Scana Corp

       ***     237  
  

Schlumberger Ltd

       ***     2,615  
  

Schwab (Charles) Corp

       ***     1,066  
  

Scripps Networks Inter Cl A

       ***     153  
  

Seagate Technology

       ***     253  
  

Sealed Air Corp

       ***     194  
  

Sempra Energy

       ***     563  
  

Sherwin Williams Co/The

       ***     486  
  

Signet Jewelers Ltd

       ***     147  
  

Simon Property Group Inc

       ***     1,251  
  

Skyworks Solutions Inc

       ***     313  
  

Sl Green Realty Corp

       ***     244  
  

Snap On Inc

       ***     221  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-29

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Southern Co/The

       ***   $ 1,080  
  

Southwest Airlines Co

       ***     687  
  

Southwestern Energy Co

       ***     118  
  

Spectra Energy Corp

       ***     646  
  

St Jude Medical Inc

       ***     513  
  

Stanley Black & Decker Inc

       ***     386  
  

Staples Inc

       ***     130  
  

Starbucks Corp

       ***     1,810  
  

State Street Corp

       ***     633  
  

Stericycle Inc

       ***     146  
  

Stryker Corp

       ***     834  
  

Suntrust Banks Inc

       ***     605  
  

Symantec Corp

       ***     333  
  

Synchrony Financial

       ***     638  
  

Sysco Corp

       ***     624  
  

T Rowe Price Group Inc

       ***     411  
  

Target Corp

       ***     909  
  

Te Connectivity Ltd

       ***     551  
  

Tegna Inc

       ***     102  
  

Teradata Corp

       ***     78  
  

Tesoro Corp

       ***     227  
  

Texas Instruments Inc

       ***     1,633  
  

Textron Inc

       ***     293  
  

Thermo Fisher Scientific Inc

       ***     1,249  
  

Tiffany & Co

       ***     187  
  

Time Warner Inc

       ***     1,668  
  

Tjx Companies Inc

       ***     1,097  
  

Torchmark Corp

       ***     181  
  

Total System Services Inc

       ***     183  
  

Tractor Supply Company

       ***     223  
  

Transdigm Group Inc

       ***     279  
  

Transocean Ltd

       ***     128  
  

Travelers Cos Inc/The

       ***     779  
  

Tripadvisor Inc

       ***     118  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-30

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Twenty First Century Fox B

       ***   $ 298  
  

Twenty First Century Fox A

       ***     665  
  

Tyson Foods Inc Cl A

       ***     399  
  

Udr Inc

       ***     220  
  

Ulta Salon Cosmetics & Fragr

       ***     335  
  

Under Armour Inc Class A

       ***     118  
  

Under Armour Inc Class C

       ***     104  
  

Union Pacific Corp

       ***     1,914  
  

United Continental Holdings

       ***     472  
  

United Parcel Service Cl B

       ***     1,770  
  

United Rentals Inc

       ***     200  
  

United Technologies Corp

       ***     1,882  
  

Unitedhealth Group Inc

       ***     3,412  
  

Universal Health Services B

       ***     212  
  

Unum Group

       ***     228  
  

Urban Outfitters Inc

       ***     56  
  

Us Bancorp

       ***     1,838  
  

Valero Energy Corp

       ***     691  
  

Vanguard S&P 500 Etf

       ***     2,511  
  

Varian Medical Systems Inc

       ***     189  
  

Ventas Inc

       ***     496  
  

Verisign Inc

       ***     155  
  

Verisk Analytics Inc

       ***     281  
  

Verizon Communications Inc

       ***     4,875  
  

Vertex Pharmaceuticals Inc

       ***     409  
  

Vf Corp

       ***     396  
  

Viacom Inc Class B

       ***     273  
  

Visa Inc Class A Shares

       ***     3,264  
  

Vornado Realty Trust

       ***     402  
  

Vulcan Materials Co

       ***     372  
  

Wal Mart Stores Inc

       ***     2,331  
  

Walgreens Boots Alliance Inc

       ***     1,587  
  

Walt Disney Co/The

       ***     3,418  
  

Waste Management Inc

       ***     645  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-31

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Waters Corp

       ***   $ 244  
  

Wec Energy Group Inc

       ***     414  
  

Wells Fargo & Co

       ***     5,580  
  

Welltower Inc

       ***     543  
  

Western Digital Corp

       ***     434  
  

Western Union Co

       ***     237  
  

Westrock Co

       ***     285  
  

Weyerhaeuser Co

       ***     504  
  

Whirlpool Corp

       ***     306  
  

Whole Foods Market Inc

       ***     220  
  

Williams Cos Inc

       ***     477  
  

Willis Towers Watson Plc

       ***     354  
  

Ww Grainger Inc

       ***     284  
  

Wyndham Worldwide Corp

       ***     182  
  

Wynn Resorts Ltd

       ***     153  
  

Xcel Energy Inc

       ***     463  
  

Xerox Corp

       ***     168  
  

Xilinx Inc

       ***     343  
  

Xl Group Ltd

       ***     226  
  

Xylem Inc

       ***     200  
  

YahooInc

       ***     760  
  

YumBrands Inc

       ***     494  
  

Zimmer Biomet Holdings Inc

       ***     463  
  

Zions Bancorporation

       ***     197  
  

Zoetis Inc

       ***     592  
          

 

 

  
  

Subtotal Hartford Index Fund

         $ 437,984  
          

 

 

  
  

Lee Munder Equity Securities

        
  

Aercap Holdings

       ***     2,063  
  

Albemarle Corp

       ***     1,469  
  

Alexandria Real Estate

       ***     2,076  
  

Allegheny Technologies Inc

       ***     832  
  

Allstate Corp

       ***     2,198  
  

American Campus Communities

       ***     2,031  
  

Ameriprise Financial Inc

       ***     2,103  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-32

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Amerisourcebergen Corp

       ***   $ 887  
  

Anadarko Petroleum Corp

       ***     2,102  
  

Aramark

       ***     1,118  
  

Bemis Company

       ***     1,355  
  

Blackstone Mortgage

       ***     1,986  
  

Borgwarner Inc

       ***     1,879  
  

Brixmor Property Group Inc

       ***     1,799  
  

Cadence Design Sys Inc

       ***     1,844  
  

Charles River Laboratories

       ***     1,336  
  

Clean Harbors Inc

       ***     1,426  
  

Cooper Cos Inc

       ***     1,540  
  

CSRA Inc

       ***     2,137  
  

Darling Ingredients Inc

       ***     1,263  
  

Dentsply Sirona Inc

       ***     1,557  
  

Diebold Nixdorf Inc

       ***     1,336  
  

Dollar General Corp

       ***     1,678  
  

Dover Corp

       ***     1,367  
  

DTE Energy

       ***     2,353  
  

E Trade Financial Corp

       ***     1,735  
  

Edison International

       ***     1,929  
  

Envision Healthcare Corp

       ***     1,957  
  

EQT Corp

       ***     1,887  
  

Equinix Inc

       ***     1,373  
  

Fidelity National

       ***     2,040  
  

Fluor Corp

       ***     1,354  
  

FMC Corp

       ***     1,376  
  

Great Plains Energy Inc

       ***     1,369  
  

Gstif 25 Bps Gstif 25 Bps

       ***     1,478  
  

Hain Celestial Group Inc

       ***     1,823  
  

Hancock Holding Co

       ***     1,912  
  

Hanover Insurance Group Inc

       ***     1,378  
  

Harley Davidson Inc

       ***     1,566  
  

Host Hotels & Resorts Inc

       ***     1,638  
  

IAC/Interactivecorp

       ***     1,089  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-33

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost   (e) Current
Value		  
  

Ingredion Inc

       ***   $ 1,432  
  

Ishares Russell

       ***     2,127  
  

Kar Auction Services Inc

       ***     1,927  
  

LKQ Corp

       ***     1,636  
  

M & T Bank Corp

       ***     2,229  
  

Microchip Technology Inc

       ***     1,658  
  

Mid America Apartment

       ***     1,232  
  

Newfield Exploration Co

       ***     1,909  
  

Olin Corp

       ***     1,574  
  

Parker Hannifin Corp

       ***     1,331  
  

Patterson Cos Inc

       ***     1,970  
  

Pinnacle West

       ***     2,218  
  

Pioneer Natural Resources Co

       ***     1,759  
  

Portland General Electric Co

       ***     1,168  
  

PPL Corp

       ***     1,426  
  

Qorvo Inc Common Stock Usd.0001

       ***     1,734  
  

Quest Diagnostics Inc

       ***     1,933  
  

Ralph Lauren Corp

       ***     1,016  
  

Regal Beloit Corp

       ***     1,923  
  

Reinsurance Group Of America

       ***     2,109  
  

Scotts Miracle Gro Co

       ***     935  
  

Signature Bank

       ***     1,730  
  

Spectra Energy Corp

       ***     1,143  
  

Stericycle Inc

       ***     1,828  
  

SVB Financial Group

       ***     2,012  
  

Synopsys Inc

       ***     1,616  
  

TCF Financial Corp

       ***     1,606  
  

Treehouse Foods Inc

       ***     2,651  
  

Unum Group

       ***     2,318  
  

Valvoline Inc

       ***     1,618  
  

Xylem Inc

       ***     1,518  
  

Zions Bancorporation

       ***     2,208  
          

 

 

  
  

Subtotal Lee Munder Equity Securities

      $ 123,133  
       

 

 

  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-34

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

   

(c) Description of investment including maturity

date, rate of interest, collateral, par or maturity

value

    (d) Cost     (e) Current
Value		  
  

Loan Fund

        
  

Notes receivable from Members

   

Notes receivable from Members, maturing in 2017 through 2028 bearing interest at rates from 4.25% - 10.50%

      N/A     $ 61,140  
          

 

 

  
  

Subtotal Loan Fund

      $ 61,140  
       

 

 

  
  

Master Expense Account

        
  

Gstif 25 Bps Gstif 25 Bps

         ***       7  
          

 

 

  
  

Subtotal Master Expense Account

      $ 7  
       

 

 

  
  

Mutual Funds

        
  

Dodge & Cox

         ***       101,080  

*

   

Hartford HLS

         ***       241,607  

*

   

Hartford HLS Mut Fds Bond HLS Fd Cl Ia

         ***       108,264  

*

   

Hartford HLS Mut Fds Intl Opportunities HLS Fd Cl I

         ***       101,431  

*

   

Hartford HLS Mut Fds Midcap HLS Fd Cl Ia

         ***       122,079  

*

   

Hartford HLS Mut Fds Small Co HLS Fd Cl Ia

         ***       80,233  
  

Vanguard Federal Money Market

         ***       70,421  
          

 

 

  
  

Subtotal Mutual Funds

      $ 825,115  
       

 

 

  
  

Separate Account GIC

        
  

New York Life

         ***       94,033  
          

 

 

  
  

Subtotal Separate Account GIC

      $ 94,033  
       

 

 

  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-35

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Shared Holdings (aa) - HIMCO Bond Fund

             
  

21St Century Fox America

      4.500 %    02/01/21      650      ***   $ 695  
  

Abbvie Inc

      2.850 %    05/01/23      825      ***     800  
  

Aetna Inc

      3.200 %    06/01/26      1,275      ***     1,261  
  

Allergan Funding Scs Company

      3.450 %    03/01/22      500      ***     508  
  

American Express Co

      6.150 %    08/01/17      101      ***     104  
  

American Express Credit

      2.375 %    03/01/17      434      ***     435  
  

American Express Credit

      2.125 %    03/01/19      630      ***     633  
  

American Express Credit

      1.667 %    05/01/20      750      ***     754  
  

American Intl Group

      4.875 %    06/01/22      1,000      ***     1,093  
  

Anheuser Busch

      1.250 %    01/01/18      520      ***     520  
  

Anheuser Busch

      2.650 %    02/01/21      1,000      ***     1,006  
  

Apple Inc

      2.400 %    05/01/23      685      ***     667  
  

AT&T Inc

      2.625 %    12/01/22      645      ***     618  
  

AT&T Inc

      2.800 %    02/01/21      1,000      ***     992  
  

AT&T Inc

      3.950 %    01/01/25      225      ***     225  
  

Aventura Mall Trust

      3.743 %         400      ***     420  
  

Bank of America Corp

      3.300 %    01/01/23      1,210      ***     1,214  
  

Bank of America Corp

      2.650 %    04/01/19      500      ***     505  
  

Bank of America Corp

      4.200 %    08/01/24      460      ***     469  
  

Bank of Montreal

      1.400 %    09/01/17      500      ***     500  
  

Bank of New York

      3.250 %    09/01/24      885      ***     889  
  

Bayer Us Finance LLC Company

      3.375 %    10/01/24      820      ***     816  
  

BB&T Corporation

      2.450 %    01/01/20      600      ***     605  
  

Berkshire Hathaway Inc

      1.550 %    02/01/18      630      ***     631  
  

Berkshire Hathaway Inc

      2.200 %    03/01/21      500      ***     499  
  

BP Capital Markets PLC Company

      3.814 %    02/01/24      655      ***     680  
  

Branch Banking & Trust

      2.850 %    04/01/21      510      ***     518  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-36

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

British Columbia

      2.650 %    09/01/21      330      ***   $ 337  
  

Burlington North Santa Fe

      4.830 %    01/01/23      299      ***     313  
  

Burlington North Santa Fe

      3.050 %    09/01/22      266      ***     272  
  

Burlington North Santa Fe

      3.400 %    09/01/24      480      ***     494  
  

Canada Government

      0.875 %    02/01/17      543      ***     543  
  

Canadian Pacific RR Co

      7.250 %    05/01/19      250      ***     280  
  

Capital One

      2.350 %    08/01/18      320      ***     322  
  

Capital One Financial Co

      2.450 %    04/01/19      635      ***     639  
  

Caterpillar Financial

      2.750 %    08/01/21      335      ***     337  
  

CD Commercial Mortgage Trust

      5.886 %         286      ***     291  
  

Celgene Corp

      1.900 %    08/01/17      175      ***     176  
  

Celgene Corp

      3.875 %    08/01/25      670      ***     680  
  

Centerpoint Energy Transition

      2.161 %         190      ***     191  
  

Chase Issuance Trust

      1.580 %         467      ***     464  
  

Chevron Corp

      2.355 %    12/01/22      640      ***     628  
  

Chevron Corp

      2.427 %    06/01/20      280      ***     283  
  

Chubb Ina Holdings Inc

      2.700 %    03/01/23      725      ***     717  
  

Cigna Corp

      4.500 %    03/01/21      300      ***     319  
  

Cigna Corp

      4.000 %    02/01/22      290      ***     303  
  

Cisco Systems Inc

      2.200 %    02/01/21      1,053      ***     1,051  
  

Citibank Credit Card Issuance

      5.350 %         500      ***     522  
  

Citigroup Inc

      3.875 %    10/01/23      500      ***     515  
  

Citigroup Inc

      2.700 %    03/01/21      1,000      ***     998  
  

Comm Mortgage Trust

      3.902 %         1,000      ***     1,045  
  

Comm Mortgage Trust

      3.759 %         340      ***     355  
  

Comm Mortgage Trust

      3.762 %         1,000      ***     1,039  
  

Comm Mortgage Trust

      1.873 %         80      ***     79  
  

Comm Mortgage Trust

      3.012 %         575      ***     587  
  

Conseco Financial Corp

      7.050 %         2      ***     2  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-37

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Consumers Energy Co

      5.150 %    02/01/17      220      ***   $ 221  
  

Cooperat Rabobank

      2.250 %    01/01/19      355      ***     357  
  

Credit Suisse New York

      1.700 %    04/01/18      1,000      ***     998  
  

Csail Commercial Mortgage Trust

      3.808 %         1,000      ***     1,041  
  

CVS Health Corp

      2.250 %    12/01/18      319      ***     322  
  

CVS Health Corp

      3.500 %    07/01/22      390      ***     401  
  

CVS Health Corp

      2.125 %    06/01/21      500      ***     490  
  

Dell Int LLC / EMC Corp

      5.450 %    06/01/23      1,015      ***     1,077  
  

Delta Air Lines

      4.950 %    11/01/20      216      ***     227  
  

Discover Card

      1.390 %    04/15/20      965      ***     966  
  

Duke Energy Progress LLC

      2.800 %    05/01/22      240      ***     243  
  

Eaton Corp

      1.500 %    11/01/17      565      ***     565  
  

EMD Finance LLC

      2.950 %    03/01/22      840      ***     836  
  

Exxon Mobil Corporation

      2.222 %    03/01/21      1,000      ***     1,002  
  

Fanniemae

      3.346 %    05/01/40      870      ***     898  
  

Fed Hm Ln Pc Pool A11544

      5.500 %    06/01/33      9      ***     9  
  

Fed Hm Ln Pc Pool A15942

      6.000 %    11/01/33      13      ***     15  
  

Fed Hm Ln Pc Pool A26586

      6.000 %    09/01/34      13      ***     15  
  

Fed Hm Ln Pc Pool A77952

      5.000 %    05/01/38      9      ***     10  
  

Fed Hm Ln Pc Pool B19557

      5.500 %    07/01/20      112      ***     117  
  

Fed Hm Ln Pc Pool C03506

      6.000 %    05/01/40      219      ***     247  
  

Fed Hm Ln Pc Pool G01629

      6.000 %    10/01/33      15      ***     17  
  

Fed Hm Ln Pc Pool G11657

      4.500 %    12/01/18      37      ***     38  
  

Fed Hm Ln Pc Pool G11868

      5.500 %    07/01/20      34      ***     35  
  

Fed Hm Ln Pc Pool G14174

      5.000 %    03/01/25      63      ***     65  
  

Fed Hm Ln Pc Pool J00617

      5.500 %    12/01/20      33      ***     34  
  

Fed Hm Ln Pc Pool J00921

      5.000 %    12/01/20      5      ***     5  
  

Fed Hm Ln Pc Pool J01060

      5.000 %    01/01/21      12      ***     12  
  

Fed Hm Ln Pc Pool Q02688

      4.000 %    08/01/41      178      ***     188  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-38

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Fed Hm Ln Pc Pool Q38538

      3.000 %    01/01/46      842      ***   $ 837  
  

Fed Hm Ln Pc Pool Q41489

      3.000 %    07/01/46      2,340      ***     2,328  
  

FHLMC Multifamily

      2.566 %         1,000      ***     1,017  
  

FICO

      0.010 %    05/01/18      580      ***     570  
  

Fifth Third Bank

      2.875 %    10/01/21      635      ***     643  
  

FNMA Pool 357821

      6.000 %    05/01/35      211      ***     241  
  

FNMA Pool 555417

      6.000 %    05/01/33      50      ***     57  
  

FNMA Pool 555545

      5.000 %    06/01/18      17      ***     17  
  

FNMA Pool 555591

      5.500 %    07/01/33      58      ***     64  
  

FNMA Pool 611020

      6.500 %    01/01/17      0      ***     —    
  

FNMA Pool 651377

      6.000 %    07/01/17      2      ***     2  
  

FNMA Pool 712104

      5.000 %    05/01/18      4      ***     4  
  

FNMA Pool 725704

      6.000 %    08/01/34      38      ***     44  
  

FNMA Pool 730716

      6.000 %    08/01/33      39      ***     45  
  

FNMA Pool 734059

      5.500 %    08/01/33      8      ***     9  
  

FNMA Pool 745932

      6.500 %    11/01/36      83      ***     94  
  

FNMA Pool 756154

      6.000 %    11/01/33      38      ***     44  
  

FNMA Pool 792191

      5.500 %    09/01/34      49      ***     55  
  

FNMA Pool 805176

      5.500 %    01/01/20      50      ***     52  
  

FNMA Pool 888022

      5.000 %    02/01/36      127      ***     139  
  

FNMA Pool 888341

      5.000 %    02/01/37      84      ***     93  
  

FNMA Pool 890528

      5.500 %    06/01/39      123      ***     137  
  

FNMA Pool 908560

      5.500 %    01/01/22      7      ***     8  
  

FNMA Pool 944026

      6.500 %    08/01/37      210      ***     240  
  

FNMA Pool AA4266

      4.500 %    05/01/24      28      ***     29  
  

FNMA Pool AB0536

      6.000 %    02/01/37      84      ***     95  
  

FNMA Pool AJ5733

      3.500 %    12/01/41      1,912      ***     1,973  
  

FNMA Pool Al0194

      4.000 %    01/01/41      1,082      ***     1,147  
  

FNMA Pool AO1736

      4.000 %    05/01/42      2,353      ***     2,484  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-39

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

FNMA Pool AP0632

      2.500 %    07/01/27      584      ***   $ 585  
  

FNMA Pool AR9436

      4.000 %    08/01/43      19      ***     20  
  

FNMA Pool AS0038

      3.000 %    07/01/43      2,763      ***     2,762  
  

FNMA Pool AV2357

      4.000 %    01/01/44      1,688      ***     1,789  
  

FNMA Pool AW1007

      4.000 %    05/01/44      1,600      ***     1,694  
  

FNMA Pool AW5067

      4.500 %    07/01/44      4,308      ***     4,655  
  

FNMA Pool AY5415

      4.000 %    03/01/45      2,577      ***     2,730  
  

FNMA Pool AY9029

      4.000 %    05/01/45      1,844      ***     1,954  
  

FNMA Pool BC336

      3.000 %    03/01/46      2 ,908      ***     2,892  
  

FNMA Pool BC9364

      3.500 %    06/01/46      4,391      ***     4,504  
  

FNMA Pool MA1543

      3.500 %    08/01/33      1,626      ***     1,692  
  

FNMA Pool MA2354

      3.500 %    08/01/35      3,016      ***     3,138  
  

Ford Credit Auto Owner Trust

      2.260 %    09/01/17      360      ***     363  
  

Ford Motor Company

      4.346 %    12/01/26      1,000      ***     1,010  
  

Ford Motor Credit Co LLC

      4.250 %    09/01/22      525      ***     541  
  

Freddie Mac

      6.000 %         5      ***     5  
  

Freddie Mac

      3.500 %         805      ***     848  
  

Freddie Mac

      3.500 %         1,957      ***     2,051  
  

Freddie Mac

      3.500 %         2,348      ***     2,462  
  

GE Capital Intl Funding Company

      2.342 %    11/01/20      1,500      ***     1,499  
  

GE Commercial Mortgage Corp

      0.000 %    03/01/44      128,743      ***     1  
  

General Electric Co

      5.250 %    12/01/17      390      ***     404  
  

General Electric Co

      2.700 %    10/01/22      875      ***     875  
  

General Electric Co

      3.100 %    01/01/23      459      ***     465  
  

Gilead Sciences Inc

      3.250 %    09/01/22      950      ***     970  
  

Glaxosmithkline

      2.800 %    03/01/23      470      ***     471  
  

Glencore Finance Canada

      4.250 %    10/01/22      550      ***     562  
  

GNMA II Pool 003

      5.500 %    10/01/34      53      ***     60  
  

GNMA II Pool 004

      5.000 %    12/01/39      198      ***     218  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-40

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

GNMA II Pool Ma2754

      3.500 %    04/01/45      1,893      ***   $ 1,970  
  

GNMA II Pool Ma2892

      3.500 %    06/01/45      791      ***     823  
  

GNMA Pool 271940

      5.500 %    08/01/18      30      ***     31  
  

GNMA Pool 434787

      8.000 %    05/01/30      11      ***     11  
  

GNMA Pool 485856

      6.500 %    10/01/31      22      ***     25  
  

GNMA Pool 510403

      5.000 %    01/01/35      17      ***     19  
  

GNMA Pool 510844

      8.000 %    12/01/29      1      ***     1  
  

GNMA Pool 526364

      8.000 %    07/01/30      4      ***     4  
  

GNMA Pool 533946

      6.500 %    04/01/32      5      ***     6  
  

GNMA Pool 550887

      5.000 %    08/01/35      23      ***     25  
  

GNMA Pool 551077

      6.500 %    11/01/31      8      ***     10  
  

GNMA Pool 551120

      6.500 %    08/01/31      35      ***     40  
  

GNMA Pool 552571

      6.500 %    05/01/32      13      ***     15  
  

GNMA Pool 569327

      6.500 %    04/01/32      124      ***     141  
  

GNMA Pool 580880

      6.500 %    11/01/31      21      ***     24  
  

GNMA Pool 622278

      5.000 %    04/01/35      19      ***     21  
  

GNMA Pool 631242

      5.500 %    06/01/35      92      ***     104  
  

GNMA Pool 641601

      5.000 %    03/01/35      32      ***     36  
  

GNMA Pool 646865

      5.000 %    08/01/35      15      ***     17  
  

GNMA Pool 726316

      5.000 %    09/01/39      219      ***     243  
  

GNMA Pool 728974

      5.000 %    12/01/39      415      ***     454  
  

GNMA Pool 737651

      5.000 %    11/01/40      89      ***     97  
  

GNMA Pool 781410

      5.500 %    03/01/17      2      ***     2  
  

Goldman Sachs Group Inc

      4.000 %    03/01/24      560      ***     581  
  

Goldman Sachs Group Inc

      2.875 %    02/01/21      1,000      ***     1,005  
  

Goldman Sachs Group Inc

      2.350 %    11/01/21      815      ***     792  
  

Government National Mortgage

      3.500 %    07/20/23      334      ***     348  
  

Government National Mortgage

      5.000 %         85      ***     91  
  

Government National Mortgage

      2.300 %         786      ***     761  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-41

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Government National Mortgage

      2.300 %         982      ***   $ 946  
  

Government STIF

      0.260 %         14,002      ***     14,002  
  

Great River Energy

      5.829 %    07/01/17      102      ***     103  
  

Home Depot Inc

      2.000 %    04/01/21      578      ***     573  
  

Howard Hughes Medical

      3.500 %    09/01/23      345      ***     360  
  

HP Enterprise Co

      4.400 %    10/01/22      465      ***     484  
  

HSBC Holdings

      3.600 %    05/01/23      500      ***     503  
  

HSBC USA Inc

      1.700 %    03/01/18      660      ***     660  
  

HSBC USA Inc

      2.350 %    03/01/20      500      ***     496  
  

Hydro Quebec Local Govt

      1.375 %    06/01/17      476      ***     476  
  

Hyundai Capital America

      2.125 %    10/01/17      596      ***     597  
  

Johnson & Johnson

      1.650 %    03/01/21      1,000      ***     984  
  

JPMBB Commercial

      3.046 %    04/15/47      480      ***     491  
  

JPMBB Commercial

      3.801 %         1,000      ***     1,041  
  

JPmorgan Chase & Co

      2.295 %    08/01/21      820      ***     805  
  

JPmorgan Chase & Co

      3.250 %    09/01/22      750      ***     758  
  

JPmorgan Chase & Co

      2.700 %    05/01/23      250      ***     245  
  

Kaiser Foundation Hospit Company

      3.500 %    04/01/22      431      ***     445  
  

Kansas Gas & Electric Co

      6.700 %    06/01/19      147      ***     163  
  

Key Bank NA

      1.650 %    02/01/18      330      ***     330  
  

Keycorp

      2.900 %    09/01/20      750      ***     759  
  

KLA Tencor Corp

      4.650 %    11/01/24      700      ***     741  
  

Kroger Co

      2.950 %    11/01/21      150      ***     151  
  

Ladder Capital Commercial

      3.388 %    05/15/31      580      ***     593  
  

Liberty Mutual Group Inc Company

      5.000 %    06/01/21      400      ***     435  
  

Lloyds Bank PLC Company

      5.800 %    01/01/20      490      ***     534  
  

Manuf & Traders Trust Co

      1.250 %    01/01/17      1,050      ***     1,050  
  

Mcdonald S Corp

      3.700 %    01/01/26      393      ***     400  
  

Mckesson Corp

      2.700 %    12/01/22      145      ***     142  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-42

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Mckesson Corp

      3.796 %      03/01/24        795      ***   $ 819  
  

Medtronic Inc

      3.150 %      03/01/22        565      ***     579  
  

Mellon Funding Corp

      5.500 %      11/01/18        460      ***     491  
  

Mitsubishi UFJ Fin Grp

      2.950 %      03/01/21        415      ***     418  
  

Morgan Stanley

      3.875 %      01/01/26        1,250      ***     1,263  
  

Morgan Stanley

      5.625 %      09/01/19        250      ***     271  
  

Morgan Stanley Baml Trust

      2.916 %         460      ***     469  
  

Murray St Inv Trust

      4.647 %      03/01/17        295      ***     297  
  

Nationwide Financial Ser

      5.375 %      03/01/21        329      ***     359  
  

Nbcuniversal Media LLC

      4.375 %      04/01/21        409      ***     442  
  

Niagara Mohawk Power

      3.508 %      10/01/24        735      ***     749  
  

Nordea Bank

      2.500 %      09/01/20        830      ***     831  
  

Nordea Bank

      4.875 %      05/01/21        500      ***     537  
  

Omnicom Group Inc

      3.650 %      11/01/24        250      ***     251  
  

Oracle Corp

      2.375 %      01/01/19        900      ***     912  
  

Oracle Corp

      3.400 %      07/01/24        875      ***     892  
  

Penske Truck Leasing

      3.750 %      05/01/17        500      ***     504  
  

Penske Truck Leasing

      4.250 %      01/01/23        255      ***     265  
  

Pernod Ricard

      4.250 %      07/01/22        335      ***     351  
  

PNC Bank NA

      3.800 %      07/01/23        520      ***     536  
  

PNC Bank NA

      2.200 %      01/01/19        635      ***     638  
  

Province of Quebec

      2.750 %      08/01/21        390      ***     397  
  

Regency Energy Part/Fina Company

      5.500 %      04/01/23        450      ***     465  
  

S&P Global Inc

      2.500 %      08/01/18        650      ***     655  
  

Sempra Energy

      9.800 %      02/01/19        170      ***     197  
  

Shell International Fin Company

      2.250 %      01/01/23        950      ***     918  
  

Small Business Administration

      4.090 %         0      ***     —    
  

Small Business Administration

      2.860 %         232      ***     236  
  

Small Business Administration

      2.870 %         258      ***     262  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-43

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Small Business Administration

      2.440 %         388      ***   $ 391  
  

Small Business Administration

      1.970 %         343      ***     344  
  

Small Business Administration

      2.210 %         583      ***     569  
  

Small Business Administration

      3.110 %         848      ***     863  
  

Small Business Administration

      2.870 %         626      ***     627  
  

Small Business Administration

      2.880 %         511      ***     514  
  

Small Business Administration

      2.720 %         384      ***     382  
  

Small Business Administration

      2.770 %         549      ***     546  
  

Small Business Administration

      2.880 %         1,072      ***     1,079  
  

Small Business Administration

      2.820 %         672      ***     672  
  

Small Business Administration

      2.820 %         668      ***     668  
  

Small Business Administration

      2.700 %         935      ***     928  
  

Small Business Administration

      2.780 %         0      ***     —    
  

Small Business Administration

      2.270 %         979      ***     954  
  

State Street Corp

      3.300 %      12/01/24        575      ***     581  
  

Suntrust Banks Inc

      2.900 %      03/01/21        250      ***     254  
  

Svenska Handelsbanken Ab Company

      2.250 %      06/01/19        630      ***     632  
  

Svenska Handelsbanken Ab Company

      2.450 %      03/01/21        500      ***     497  
  

Synchrony Financial

      3.750 %      08/01/21        1,010      ***     1,038  
  

Telefonica Emisiones

      3.192 %      04/01/18        275      ***     279  
  

Teva Pharmaceuticals

      2.200 %      07/01/21        275      ***     263  
  

Time Warner Cable LLC

      8.250 %      04/01/19        283      ***     318  
  

Time Warner Inc

      4.000 %      01/01/22        70      ***     73  
  

Time Warner Inc

      3.550 %      06/01/24        400      ***     397  
  

Total Capital Intl

      1.452 %      08/01/18        935      ***     937  
  

Toyota Motor Credit Corp

      2.750 %      05/01/21        580      ***     588  
  

Travelers

      3.900 %      11/01/20        146      ***     155  
  

Tyco Electronics Group

      6.550 %      10/01/17        161      ***     167  
  

UBS AG Stamford CT

      2.375 %      08/01/19        1,115      ***     1,120  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-44

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Unitedhealth Group

      2.125 %    03/01/21      1,000      ***   $ 988  
  

US Treasury

      1.625 %    12/01/19      5,250      ***     5,276  
  

US Treasury

      1.375 %    10/01/20      5,000      ***     4,939  
  

US Treasury

      1.625 %    02/01/26      4,574      ***     4,274  
  

US Treasury

      1.625 %    04/01/23      3,000      ***     2,902  
  

US Treasury

      1.625 %    05/01/26      2,500      ***     2,331  
  

US Treasury

      1.500 %    08/01/18      4,580      ***     4,609  
  

US Treasury

      1.750 %    10/01/18      1,392      ***     1,407  
  

US Treasury

      1.125 %    07/01/21      4,000      ***     3,867  
  

US Treasury

      1.000 %    03/01/17      6,000      ***     6,007  
  

US Treasury

      1.000 %    08/01/19      6,750      ***     6,686  
  

US Treasury

      0.750 %    10/01/17      9,168      ***     9,160  
  

US Treasury

      0.875 %    01/01/18      10,238      ***     10,230  
  

US Treasury

      1.500 %    05/01/20      200      ***     199  
  

Valero Energy Corp

      9.375 %    03/01/19      114      ***     131  
  

Verizon Communications

      2.450 %    11/01/22      750      ***     724  
  

Verizon Communications

      2.625 %    02/01/20      1,034      ***     1,044  
  

Wal Mart Stores Inc

      3.300 %    04/01/24      380      ***     391  
  

Walt Disney Company

      2.350 %    12/01/22      650      ***     640  
  

Wells Fargo & Company

      2.500 %    03/01/21      1,000      ***     993  
  

Wells Fargo & Company

      3.300 %    09/01/24      1,030      ***     1,019  
  

Wells Fargo Commercial Mortgage

      3.789 %         270      ***     281  
  

Welltower Inc

      4.950 %    01/01/21      296      ***     319  
  

Westlake Chemical Corp

      3.600 %    07/01/22      576      ***     576  
  

WF RBS Commercial Mortgage

      2.862 %         640      ***     652  
  

Xcel Energy Inc

      3.350 %    12/01/26      1,000      ***     1,001  
  

Yara International

      7.875 %    06/01/19      285      ***     319  
               

 

 

  
  

Subtotal Shared Holdings (aa) - HIMCO Bond Fund

   $ 234,747  
          

 

 

  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-45

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Shared Holdings (bb) - BNY Mellon Bond Fund

             
  

BlackRock

     

BlackRock 1-3 Year Government
Bond Index Fund

  
 		    ***   $ 31,012  
  

BlackRock

     

BlackRock 1-3 Year Credit Bond
Index Fund

  
 		    ***     28,798  
  

BlackRock

     

BlackRock Asset-Backed
Securities Index Fund

  
 		    ***     25,356  
  

BlackRock

     

BlackRock Commercial
Mortgage-Backed Securities
Index

  
 
 		    ***     3,511  
  

BlackRock

     

BlackRock Intermediate Term
Credit Bond Index Fund

  
 		    ***     19,914  
  

BlackRock

     

BlackRock Mortgage-Backed
Securities Index Fund

  
 		    ***     32,684  
  

AEP Texas Central

      1.976 %    06/01/21      2,500      ***     2,511  
  

Appalachian Consumer

      2.008 %    02/01/24      2,009      ***     1,994  
  

Carmax Auto Owner Trust

      1.400 %         3,000      ***     2,967  
  

Carmax Auto Owner Trust

      1.520 %         1,700      ***     1,692  
  

Chase Issuance Trust

      1.150 %    01/15/19      3,000      ***     3,000  
  

Citigroup Commercial Mortgage

      1.613 %         2,274      ***     2,250  
  

CNH Equipment Trust

      1.440 %         1,300      ***     1,286  
  

Comm Mortgage Trust

      3.147 %         3,100      ***     3,149  
  

Credit Suisse Mortgage Trust

      6.062 %    02/15/41      123      ***     123  
  

Csail Commercial Mortgage Trust

      2.970 %         2,690      ***     2,751  
  

Duke Energy

      1.731 %         1,750      ***     1,694  
  

Fannie Mae

      2.000 %         169      ***     170  
  

Fannie Mae

      2.000 %         362      ***     363  
  

Fannie Mae

      2.000 %         2,835      ***     2,831  
  

Fannie Mae

      2.000 %         1,034      ***     1,038  
  

Fannie Mae

      3.000 %         1,757      ***     1,800  
  

FNMA Pool MA1341

      2.500 %         879      ***     897  
  

Freddie Mac

      3.000 %         1,056      ***     1,081  
  

Freddie Mac

      3.000 %         684      ***     697  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-46

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

Freddie Mac

      2.500 %         547      ***   $ 554  
  

Freddie Mac

      2.000 %         587      ***     589  
  

Freddie Mac

      2.000 %         1,510      ***     1,509  
  

Freddie Mac

      2.000 %         3,212      ***     3,218  
  

Freddie Mac

      3.000 %         1,375      ***     1,431  
  

Freddie Mac

      5.000 %         17      ***     17  
  

Freddie Mac

      2.250 %         1,371      ***     1,377  
  

Freddie Mac

      4.000 %         741      ***     763  
  

Government National Mortgage

      3.500 %         1,293      ***     1,332  
  

Government National Mortgage

      3.000 %         1,275      ***     1,304  
  

Government National Mortgage

      1.000 %         868      ***     859  
  

Government National Mortgage

      2.000 %         2,365      ***     2,356  
  

Government National Mortgage

      2.000 %         1,588      ***     1,584  
  

Government National Mortgage

      3.000 %         836      ***     852  
  

Government National Mortgage

      4.000 %         2,667      ***     2,826  
  

Government National Mortgage

      2.000 %         1,675      ***     1,668  
  

Gstif 25 Bps Gstif 25 Bps

      0.260 %         2,680      ***     2,680  
  

John Deere Owner Trust

      1.320 %    06/17/19      2,000      ***     2,001  
  

JP Morgan Chase Commercial

      1.855 %    04/15/46      676      ***     677  
  

LB UBS Commercial Mortgage

      5.866 %    09/15/45      2,649      ***     2,714  
  

Mercedes Benz Auto

      1.260 %         1,800      ***     1,786  
  

Morgan Stanley Baml Trust

      2.916 %    02/15/47      1,000      ***     1,019  
  

Morgan Stanley Baml Trust

      2.979 %    04/15/47      2,300      ***     2,345  
  

Prudential

      0.000 %         12,759      ***     169,865  
  

Us Treasury N/B 07/19 0.75

      0.750 %    07/01/19      5,709      ***     5,626  
  

Us Treasury N/B 09/19 0.875

      0.875 %    09/01/19      3,003      ***     2,964  
  

Us Treasury N/B 12/17 1

      1.000 %    12/01/17      185      ***     185  
  

Volkswagen Auto Loan

      0.700 %         341      ***     341  
               

 

 

  
  

Subtotal Shared Holdings (bb) - BNY Mellon Bond Fund

   $ 388,011  
          

 

 

  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-47

Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)

AS OF DECEMBER 31, 2016

($ IN THOUSANDS)

 

(a)

   

(b) Identity of issue, borrower, lessor,

or similar party

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

State Street Cash Fund STIF

              
  

Gstif 25 Bps Gstif 25 Bps

             ***     32,121  
                

 

 

  
  

Subtotal State Street Cash Fund STIF

   $ 32,121  
                

 

 

  
  

The Hartford Stock Fund

              
  

State Street Cash Fund - STIF

             ***     440  
  

The Hartford Stock Fund, Common stock

             ***     218,912  
                

 

 

  
  

Subtotal The Hartford Stock Fund

   $ 219,352  
                

 

 

  
  

Wrapper Contracts

              
  

American General Life Ins Co

             ***     (28 ) 
                

 

 

  
  

Subtotal Wrapper Contracts

   $ (28 ) 
                

 

 

  
                         
                

 

 

  
  

GRAND TOTAL

   $ 3,844,806  
                

 

 

  

 

* Indicates party-in-interest.
** These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
*** Cost information is not required for Member directed investments, and therefore is not included.
(aa) Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR.
(bb) Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433

See accompanying Report of Independent Registered Public Accounting Firm.

 

F-48

Table of Contents

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on behalf of The Hartford Investment and Savings Plan by the undersigned thereunto duly authorized.

 

THE HARTFORD INVESTMENT AND SAVINGS PLAN
BY:  

/s/ Erin Bill

Erin Bill
Plan Administrator
June 27, 2017

 

F-49