FORM 11-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
(Mark One)
☒ | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2018
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission file number 001-13958
A. | Full title of the Plan and the address of the Plan, if different from that of the issuer named below: |
THE HARTFORD INVESTMENT AND SAVINGS PLAN
B. | Name of issuer of the securities held pursuant to the Plan and the address of its principal executive office: |
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
One Hartford Plaza, Hartford, Connecticut 06155
The Hartford Investment and Savings Plan
December 31, 2018 and 2017
Page No(s). | ||||
F-1 | ||||
Financial Statements: |
||||
Statements of Net Assets Available for Benefits as of December 31, 2018 and 2017 |
F-2 | |||
Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2018 |
F-3 | |||
F-4 - F-12 | ||||
Supplemental Schedule: |
||||
F-13 F-39 | ||||
Signature |
Exhibit Index
Exhibit Number |
Exhibit Name | |
23.1 | Consent of Independent Registered Public Accounting Firm |
All other schedules required by Section 2520.103-10 of the Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable.
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan Participants and Plan Administrator of
The Hartford Investment and Savings Plan
Hartford, Connecticut
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the Plan) as of December 31, 2018 and 2017, and the related statement of changes in net assets available for benefits for the year ended December 31, 2018, and the related notes (collectively, the financial statements). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2018 and 2017, and the changes in net assets available for benefits for the year ended December 31, 2018, in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion
These financial statements are the responsibility of the Plans management. Our responsibility is to express an opinion on the Plans financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
Report on Supplemental Information
The supplemental schedule of assets (held at end of year) as of December 31, 2018, has been subjected to audit procedures performed in conjunction with the audit of the Plans financial statements. The supplemental schedule is the responsibility of the Plans 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 Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 28, 2019
We have served as the auditor of the Plan since 2001.
F-1
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2018 AND 2017
($ IN THOUSANDS)
2018 | 2017 | |||||||
Assets |
||||||||
Investments: |
||||||||
Investments, at fair value (Note 4) |
$ | 3,369,025 | $ | 3,617,677 | ||||
Investments, at contract value (Note 3) |
746,061 | 728,166 | ||||||
|
|
|
|
|||||
Total investments |
4,115,086 | 4,345,843 | ||||||
Receivables: |
||||||||
Notes receivable from Members |
67,753 | 64,137 | ||||||
Dividends and interest receivable |
2,961 | 2,731 | ||||||
|
|
|
|
|||||
Total receivables |
70,714 | 66,868 | ||||||
|
|
|
|
|||||
Total assets |
4,185,800 | 4,412,711 | ||||||
Liabilities |
||||||||
Investment management expenses payable |
803 | 763 | ||||||
Administrative expenses payable |
43 | 37 | ||||||
|
|
|
|
|||||
Total liabilities |
846 | 800 | ||||||
Net assets available for benefits |
$ | 4,184,954 | $ | 4,411,911 | ||||
|
|
|
|
See Notes to Financial Statements.
F-2
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2018
($ IN THOUSANDS)
2018 | ||||
Additions to net assets attributed to: |
||||
Contributions: |
||||
Employee contributions |
$ | 156,632 | ||
Employer contributions |
128,692 | |||
Rollover contributions |
66,197 | |||
|
|
|||
Total contributions |
351,521 | |||
|
|
|||
Investment income (loss): |
||||
Net (depreciation) appreciation in fair value of investments |
(264,593 | ) | ||
Dividends |
10,105 | |||
|
|
|||
Total investment income (loss) |
(254,488 | ) | ||
|
|
|||
Interest income on notes receivable from Members |
3,859 | |||
|
|
|||
Total additions |
100,892 | |||
|
|
|||
Deductions from net assets attributed to: |
||||
Benefits paid to Members |
324,923 | |||
Investment management fees |
2,689 | |||
Administrative expenses |
237 | |||
|
|
|||
Total deductions |
327,849 | |||
|
|
|||
Net (decrease) increase in net assets |
(226,957 | ) | ||
Net assets available for benefits: |
||||
Beginning of year |
4,411,911 | |||
|
|
|||
End of year |
$ | 4,184,954 | ||
|
|
See Notes to Financial Statements.
F-3
THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2018 AND 2017
AND FOR THE YEAR ENDED DECEMBER 31, 2018
($ IN THOUSANDS)
Note 1. Description of the Plan
The following description of The Hartford Investment and Savings Plan (the Plan or ISP) as of December 31, 2018 is provided for general information purposes only. Members should refer to the Plan document for more complete information. Members refers to eligible participants of the Plan.
The Hartford Financial Services Group, Inc. (HFSG, together with its subsidiaries, The Hartford, or the Company) is an insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States of America. The Hartford is also a provider of mutual funds to investors. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of The Hartford.
Information with regard to eligibility, contributions, distributions, vesting, trustees, withdrawals, loans, fund redistribution and certain definitions are contained in the Plan Document. A Summary Plan Description (SPD) setting forth the highlights of the Plan is available to Members on the Fidelity Net Benefits website. Fidelity Workplace Services LLC serves as the record keeper of the Plan.
Plan Changes
See Note 9 for a general description of amendments made to the Plan Document during 2018 and 2017.
General
The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan Document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (ERISA).
The Trust, as defined in the Plan Document, is the aggregate funds held by the trustee, State Street Bank and Trust Company (the Trustee), under the trust agreement established for the purposes of the Plan. The Investment and Savings Plan Investment Committee (ISPIC) is responsible for the management of Plan assets except with respect to matters that are the responsibility of Newport Trust Company (formerly Evercore Trust Company) as fiduciary with respect to the common stock of HFSG (Hartford Stock) held in The Hartford Stock Fund. The ISPIC may from time to time add investment funds to, or eliminate investment funds from, the group of investment funds available under the Plan, provided, however, that the ISPIC has no authority with respect to the Hartford Stock in The Hartford Stock Fund.
Contributions
Members may elect to contribute a percentage of their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their contributions as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, Member contributions may be elected based on 1% to 30% of eligible compensation. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the IRC). If Members do not elect otherwise, they are automatically enrolled to make before-tax contributions equal to 6% (3% prior to January 1, 2016) of eligible compensation.
Since January 1, 2013, the Companys contributions include a non-elective contribution of 2% of eligible compensation (Non-elective Company contributions) and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (Matching Company contributions). Prior to January 1, 2013, in addition to matching company contributions, the Company made floor company contributions equal to 0.5% of highly compensated eligible employees base salary and 1.5% of all other eligible employees base salary.
Member contributions in excess of 6% of the eligible compensation are Supplemental Savings that are not matched by the Company.
F-4
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 Members account is credited with that Members contributions and allocations of the associated Matching Company contributions, Non-Elective Company contributions and any investment earnings for the Members account, and is charged with withdrawals and an allocation of administrative expenses and investment losses for the Members account. Allocations are based on Member account balances, as defined in the Plan Document. The benefit to which a Member is entitled is the benefit that can be provided from that Members vested account balance.
Vesting
Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members first hired prior to January 1, 2016 are 100% vested in Matching Company and Non-Elective Company contributions made after January 1, 2013 after two years of service. Effective January 1, 2016, Members first hired on or after January 1, 2016 are 100% vested in Matching Company Contributions and Non-Elective Company contributions after three years of service.
Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions made prior to January 1, 2013.
Notwithstanding the foregoing statement, a Member becomes fully vested in such Members Matching Company contribution account upon retirement (for retirement eligible Members), disability, death, reaching age 65, or upon the complete discontinuance of Company contributions or termination of the Plan.
Investment Options
Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. As of December 31, 2018, Member contributions, Matching Company contributions and Non-Elective Company contributions may be invested in any of the twenty-six investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (Member directed investments).
Certain investment options are parties-in-interest with The Hartford. See Note 8 for further discussion.
Notes Receivable from Members
Members may borrow from their accounts a minimum of $0.5 to a maximum equal to the lesser of $50 or 50% of their vested account balance, reduced by any pre-existing outstanding loan amounts during the last 12 months. Loan transactions are treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Members 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 recipients life expectancy. If a Member was receiving installment payments, upon the Members death, the designated beneficiary has the option of receiving the remaining value either in a lump sum or annual installments over the beneficiarys life expectancy.
F-5
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 Members account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future employer contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2018 and 2017, forfeited non-vested account balances totaled $57 and $17, respectively.
These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2018, Matching Company contributions were reduced by $2,804 from forfeitures.
Note 2. Accounting Policies
Basis of Accounting
The accompanying financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America (U.S. GAAP) and the Department of Labors 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 Plans 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 Plans gains and losses on investments bought and sold as well as held during the year.
Investment expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment gain (loss) for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan.
Payment of Benefits
Benefits paid to Members are recorded when distributed.
F-6
Note 2. Accounting Policies (continued)
Contributions
Member and Matching Company contributions are recorded in the period during which the Company makes payroll deductions from Members compensation.
Excess Contribution Payable
The Plan is required to return contributions received during the Plan year in excess of the IRC limits. There were no such excess contributions in 2018 or 2017.
Notes Receivable from Members
Notes receivable from Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent notes receivable from Member loans are recorded as deemed distributions based on the terms of the Plan Document.
Administrative Expenses
Certain administrative expenses of the Plan are paid by the Plan Sponsor as provided in the plan document. Recordkeeping fees of the Plan are paid by the Plan. All investment management and transaction fees directly related to the Plan investments are paid by the Plan.
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions
The Plans Stable Value Fund is comprised primarily of synthetic GICs, which are fully benefit responsive contracts. Fully benefit-responsive contracts provide for a stated return on principal invested over a specified period and permit withdrawals at contract value for benefit payments, loans, or transfers. The synthetic GIC contracts are included in the financial statements at contract value (see Note 2). Contract value represents contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. A synthetic GIC is an investment contract issued by an insurance company or other financial institution where the contract issuer is contractually obligated to provide a specified interest rate return with respect to a portfolio of financial instruments owned by the Plan and not held or owned by that insurance company or financial institution. The interest rate return is provided under a benefit responsive wrap contract (or wrapper). Standish Mellon Asset Management Company LLC, a wholly owned subsidiary of The Bank of New York Mellon Corporation, provides investment management services to the Stable Value Fund. The fair value of the benefit-responsive wrapper contracts was $0 at December 31, 2018 and ($50) at December 31, 2017. The wrapper provides that Members execute Plan transactions at contract value. Certain events, such as a Plan termination, divestiture or reduction in force may limit the ability of the Plan to transact at contract value or may allow for the termination of the wrapper at less than contract value.
The Plan Sponsor does not believe that it is probable that any such events would limit the ability of the Plan to transact at contract value.
Earnings on investments at contract value as reported on the Statements of Net Assets Available for Benefits are provided through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses. Gains and losses are defined as the difference between the market value of the underlying securities and contract value of the synthetic GIC. Key factors that could influence future crediting rates include, but are not limited to, Plan cash flows, changes in interest rates, total return performance of the fair market value of the underlying securities within each synthetic GIC, default or credit failures of any of the securities, investment contracts, or other investments held in a trust that is owned by the Plan and the initiation of an extended termination of one or more synthetic GICs by the manager or the contract issuer. The rate of return earned on a synthetic GIC, or the crediting rate, is generally reset quarterly by the issuer but the rate cannot be less than zero.
The contract issuer is not allowed to terminate any of the synthetic GICs and settle at an amount different from contract value unless there is a breach of the contract which is not corrected within the applicable cure period. Actions that will result in a breach include, but are not limited to, material misrepresentation, failure to pay synthetic GIC fees, or any other payment due under the contract, and failure to adhere to investment guidelines. The Plan did not breach any terms of the synthetic GICs in 2018 or 2017.
F-7
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
During 2018, there were no changes in contracts within the Stable Value Fund.
Average yields on investments recorded at contract value: |
2018 | 2017 | ||||||
Based on annualized earnings (1) |
2.48 | % | 2.28 | % | ||||
Based on interest rate credited to participants (2) |
2.50 | % | 2.21 | % |
(1) | Calculated based on actual investment income from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2018 and 2017, respectively. |
(2) | Calculated based on the interest rate credited to participants from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2018 and 2017, respectively. |
The following table represents the contract value for each of the contracts as of December 31, 2018:
Contract Issuer |
Contract Number |
Major Credit Ratings |
Investments at Contract Value |
|||||||||
Transamerica Premier Life |
MDA01097TR | AA- / Aa2 | $ | 220,225 | ||||||||
American General Life |
1646368 | AA / Aa2 | 103,802 | |||||||||
American General Life |
1635582 | AA+ / Aaa | 79,895 | |||||||||
RGA |
RGA00058 | AA / Aa2 | 43,545 | |||||||||
New York Life |
GA29021 | AA+ / Aaa | 97,774 | |||||||||
Prudential |
GA62433 | AA / Aa1 | 176,671 | |||||||||
|
|
|||||||||||
721,912 | ||||||||||||
Cash and cash equivalents |
24,149 | |||||||||||
|
|
|||||||||||
Total |
$ | 746,061 | ||||||||||
|
|
The following table represents the contract value for each of the contracts as of December 31, 2017:
Contract Issuer |
Contract Number |
Major Credit Ratings |
Investments at Contract Value |
|||||||||
Transamerica Premier Life |
MDA01097TR | AA- / Aa2 | $ | 214,437 | ||||||||
American General Life |
1646368 | AA / Aa2 | 101,686 | |||||||||
American General Life |
1635582 | AA+ / Aaa | 78,559 | |||||||||
RGA |
RGA00058 | AA / Aa2 | 42,518 | |||||||||
New York Life |
GA29021 | AA+ / Aaa | 95,238 | |||||||||
Prudential |
GA62433 | AA / Aa1 | 172,148 | |||||||||
|
|
|||||||||||
704,586 | ||||||||||||
Cash and cash equivalents |
23,580 | |||||||||||
|
|
|||||||||||
Total |
$ | 728,166 | ||||||||||
|
|
Note 4. Fair Value Measurements
The Plan estimates of fair value are based on ASC 820, Fair Value Measurements and Disclosures, which provides a framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value and requires that observable inputs be used in valuations when available.
The disclosure of fair value estimates in the fair value accounting guidance hierarchy is based on whether the significant inputs into the valuation are observable. In determining the level of the hierarchy in which the estimate is disclosed, the highest priority is given to unadjusted quoted prices in active markets and the lowest priority to unobservable inputs that reflect the Plans significant market assumptions. The level in the fair value hierarchy within which the fair value measurement is reported is based on the level of the input that is least observable to the measurement in its entirety. The three levels of the hierarchy are as follows:
| Level 1 - Fair values based primarily on unadjusted quoted prices for identical assets, or liabilities, in active markets that the Plan has the ability to access at the measurement date. |
F-8
Note 4. Fair Value Measurements (continued)
| Level 2 - Fair values primarily based on observable inputs, other than quoted prices included in Level 1, or based on prices for similar assets and liabilities in inactive markets. |
| Level 3 - Fair values derived when one or more of the significant inputs are unobservable (including assumptions about risk). With little or no observable market, the determination of fair values uses considerable judgment and represents the Plans best estimate of an amount that could be realized in a market exchange for the asset or liability. Also included are securities that are traded within illiquid markets and/or priced by independent brokers. |
Asset Valuation Techniques Valuation techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2018 and 2017.
Generally, the Plan determines the estimated fair value of its equity securities and short-term investments using the market approach. The income approach is used for securities priced using a pricing matrix, if any. The collective investment trust assets are measured at fair value using a net asset value (NAV) as a practical expedient. For Level 1 investments, which are comprised primarily of exchange-traded equity securities, valuations are based on observable inputs that reflect quoted prices for identical assets in active markets that the Plan has the ability to access at the measurement date.
Short-term Investments Primary inputs also include material event notices and new issue money market rates.
Mutual Funds Valued at the daily closing price as reported by the fund. Mutual funds held by the Plan are open-ended mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily NAV and to transact at that price. The mutual funds held by the Plan are deemed to be actively traded.
Equity Securities Valued at the closing price reported on the active market on which the individual securities are traded.
Collective Investment Trusts Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner. As of December 31, 2018 and 2017 there were no unfunded commitments or redemption restrictions on collective investment trusts.
The following tables set forth by level within the fair value hierarchy a summary of the Plans investments measured at fair value on a recurring basis at December 31, 2018 and 2017.
Investment Assets at Fair Value December 31, 2018 | ||||||||||||||||
Active Markets | Other | Significant | ||||||||||||||
for Identical | Observable | Unobservable | ||||||||||||||
Assets (Level 1) | Inputs (Level 2) | Inputs (Level 3) | Total | |||||||||||||
Invested Assets |
||||||||||||||||
Short Term Investments |
$ | | $ | 9,522 | $ | | $ | 9,522 | ||||||||
Mutual Funds |
869,341 | | | 869,341 | ||||||||||||
Equity Securities |
1,124,940 | | | 1,124,940 | ||||||||||||
|
|
|
|
|
|
|
|
|||||||||
Total investments at fair value [1] |
$ | 1,994,281 | $ | 9,522 | $ | | $ | 2,003,803 | ||||||||
|
|
|
|
|
|
|
|
|||||||||
Investments at net asset value: |
||||||||||||||||
Collective investment trusts |
1,365,222 | |||||||||||||||
|
|
|||||||||||||||
Total investments |
$ | 3,369,025 | ||||||||||||||
|
|
[1] | Excludes $1,395 of dividend receivable and $1,566 of interest receivable recorded at fair value. |
F-9
Note 4. Fair Value Measurements (continued)
Investment Assets at Fair Value December 31, 2017 | ||||||||||||||||
Active Markets | Other | Significant | ||||||||||||||
for Identical | Observable | Unobservable | ||||||||||||||
Assets (Level 1) | Inputs (Level 2) | Inputs (Level 3) | Total | |||||||||||||
Invested Assets |
||||||||||||||||
Short Term Investments |
$ | | $ | 9,623 | $ | | $ | 9,623 | ||||||||
Mutual Funds |
970,675 | | | 970,675 | ||||||||||||
Equity Securities |
1,273,998 | | | 1,273,998 | ||||||||||||
|
|
|
|
|
|
|
|
|||||||||
Total investments at fair value [1] |
$ | 2,244,673 | $ | 9,623 | $ | | $ | 2,254,296 | ||||||||
|
|
|
|
|
|
|
|
|||||||||
Investments at net asset value: |
||||||||||||||||
Collective investment trusts |
1,363,381 | |||||||||||||||
|
|
|||||||||||||||
Total investments |
$ | 3,617,677 | ||||||||||||||
|
|
[1] | Excludes $1,310 of dividend receivable and $1,421 of interest receivable recorded at fair value. |
Transfers Between Levels The availability of observable market data is monitored to assess the appropriate classification of financial instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at the beginning of the reporting period.
We evaluate the significance of transfers between levels based upon the nature of the financial instrument and size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 2018 and 2017 there were no transfers between levels beyond those mentioned below.
There were no Level 3 investments as of either December 31, 2018 or December 31, 2017 and no transfers to or from Level 3 investments during 2018 or 2017.
The change in unrealized gains/(losses) included in the Statement of Changes in Net Assets Available for Benefits related to Level 3 assets still held at the reporting date totaled $0 and $0 as of December 31, 2018 and 2017, respectively.
Hartfords Investment and Savings Plan Investment Committee, which oversees the Plans menu of investments, works with an unaffiliated investment consultant to monitor the performance of Plan investments, periodically reviews the Plans menu of investments and, when appropriate, makes changes.
The valuation methods described in Note 2 may produce a fair value calculation that may not be indicative of net realizable value or reflective of future fair values. Furthermore, although the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different fair value measurement at the reporting date.
F-10
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 Plans financial statements.
GAAP requires Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS.
The Plan is subject to audit by the IRS; however there are currently no audits for any tax periods in progress. The Plan Administrator believes it is no longer subject to income tax examinations for years prior to 2015.
Note 6. Plan Termination
Although the Company has not expressed any intent to do so, the Company has the right under the Plan to suspend, reduce, or partially or completely discontinue its contributions at any time and to terminate the Plan, the Trust agreement and the Trust hereunder, subject to the provisions of ERISA. In the event of termination or partial termination of the Plan or complete discontinuance of contributions, affected Members automatically become fully-vested in their accounts.
Note 7. Reconciliation of Financial Statements to Form 5500
The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts reflected in Form 5500 as of December 31, 2018 and 2017:
2018 | 2017 | |||||||
Net assets available for benefits per accompanying financial statements |
$ | 4,184,954 | $ | 4,411,911 | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts |
(6,159 | ) | 5,138 | |||||
|
|
|
|
|||||
Net assets per Form 5500 |
$ | 4,178,795 | $ | 4,417,049 | ||||
|
|
|
|
The following is a reconciliation of total investment income, contributions and interest income on notes receivable on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2018:
Total investment income, contributions and interest income on notes receivable per accompanying financial statements |
$ | 100,892 | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year |
(5,138 | ) | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at the end of the year |
(6,159 | ) | ||
|
|
|||
Total income per Form 5500 |
$ | 89,595 | ||
|
|
The following is a reconciliation of benefits paid to Members between the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2018:
Benefits paid to Members per accompanying financial statements |
$ | 324,923 | ||
Deduct corrective distributions |
3 | |||
Deduct amounts allocated to deemed loan distributions |
84 | |||
|
|
|||
Benefits paid to Members per Form 5500 |
$ | 324,836 | ||
|
|
F-11
Note 8. Exempt Party-in-Interest Transactions
Certain plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services amounted to $56 for the year ended December 31, 2018. The group annuity contract issued by a subsidiary of the Company was terminated in June 2018 and there were no fees paid by the Plan to the subsidiary in 2018. In addition, certain Plan investments include shares of mutual funds that are advised and distributed by a subsidiary and shares of Hartford Stock. At December 31, 2018 and 2017, the fair value of mutual funds held by the Plan was $869,341 and $672,361, respectively. At December 31, 2018 and 2017, the Plan held 3,882,431 shares and 4,190,646 shares of Hartford Stock with a cost basis of $130,077 and $139,664, respectively. The shares of Hartford Stock had a fair value of $172,574 and $235,850 at December 31, 2018 and 2017, respectively. During the year ended December 31, 2018, the Plan recorded dividend income from Hartford Stock and The Hartfords mutual funds of $10,430.
Note 9. Plan Amendments and Other Changes
Effective January 1, 2018, the definition of Service was revised to give credit for employment with Aetna, Inc. to former Aetna employees who became Company employees on January 1, 2018 as a result of the Companys acquisition of Aetnas group life and disability business. In addition, if these former Aetna employees do not make a proper enrollment election, they will be automatically enrolled in the Plan 90 days after January 1, 2018 to make before-tax contributions equal to 6% of eligible compensation.
Effective January 1, 2018, a provision was added to the Plan to reduce the administrative burden of filing for benefits in cases where the beneficiary is unable to care for their affairs due to illness or accident, or is a minor or has died.
Effective December 1, 2018, the definition of Service was revised to give credit for employment with Y-Risk to former Y-Risk employees who became Hartford employees on December 1, 2018 as a result of the Y-Risk transaction. In addition, if these former Y-Risk employees did not make a proper enrollment election, they were automatically enrolled in the Plan as of January 7, 2019 (or as soon as practicable thereafter).
Effective January 1, 2019, the Plan was amended so that (a) a member is no longer required to obtain a plan loan before requesting a hardship withdrawal; (b) member contributions will no longer be suspended after receipt of a hardship withdrawal; and (c) earnings on before-tax contributions will be included as part of a hardship withdrawal.
Effective May 23, 2019, the definition of Service was revised to give credit for employment with Navigators to former Navigators employees who became Hartford employees on May 23, 2019 as a result of the Navigators transaction. In addition, if these former Navigators employees do not make a proper enrollment election, they will be automatically enrolled in the Plan as of the later of (a) the first payroll period (or as soon as practicable thereafter) in which his or her 90th day of active employment occurs after May 23, 2019 or (b) the first payroll period (or as soon as practicable thereafter) after the end of the 30-day automatic enrollment notice period.
Effective May 23, 2019, the definition of Eligible Employee was amended by adding the following to the list of Ineligible Persons: (a) a person who is a nonresident alien and who receives no earned income (within the meaning of Code Section 911(d)(2)) from the Company or its affiliate which constitutes income from sources within the United States (within the meaning of Code Section 861(a)(3)); and (b) a person who is a U.S. citizen working in a foreign country for the Company or its affiliate who is not on the U.S. payroll of Hartford Fire.
Effective July 1, 2019, the Plan was amended to (a) increase the maximum member contribution from 30% of eligible pay to 50%; and (b) allow partial loan prepayments.
Note 10. Subsequent Events
Management has evaluated events subsequent to December 31, 2018, through the date the financial statements were issued, noting there are no subsequent events requiring adjustment or disclosure in the financial statements.
******
F-12
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Chartwell Equity Securities |
||||||||||
American Equity Invt Life Hl |
*** | $ | 989 | |||||||
Apergy Corp Common Stock |
*** | 867 | ||||||||
Avista Corp |
*** | 306 | ||||||||
Barnes Group Inc |
*** | 1,074 | ||||||||
Black Hills Corp |
*** | 842 | ||||||||
CVB Financial Corp |
*** | 843 | ||||||||
Caci International Inc |
*** | 1,424 | ||||||||
Cheesecake Factory Inc |
*** | 1,155 | ||||||||
Columbia Banking System Inc |
*** | 1,247 | ||||||||
Commvault Systems Inc |
*** | 985 | ||||||||
Denny S Corp |
*** | 1,596 | ||||||||
Diodes Industries Inc |
*** | 847 | ||||||||
Dycom Industries Inc |
*** | 770 | ||||||||
Eagle Materials Inc |
*** | 687 | ||||||||
Eagle Pharmaceuticals Inc |
*** | 721 | ||||||||
El Paso Electric Co |
*** | 1,057 | ||||||||
Empire State Realty Trust A |
*** | 733 | ||||||||
Enpro Industries Inc |
*** | 528 | ||||||||
Esco Technologies Inc |
*** | 2,222 | ||||||||
Fnb Corp |
*** | 550 | ||||||||
Fcb Financial Holdings Cl A |
*** | 590 | ||||||||
First Financial Bancorp |
*** | 1,070 | ||||||||
First Industrial Realty Tr |
*** | 1,002 | ||||||||
First Midwest Bancorp Inc/Il |
*** | 906 | ||||||||
Franklin Electric Co Inc |
*** | 816 | ||||||||
Glatfelter |
*** | 580 | ||||||||
Harsco Corp |
*** | 871 | ||||||||
Healthcare Realty Trust Inc |
*** | 1,156 | ||||||||
Hope Bancorp Inc |
*** | 705 | ||||||||
Hub Group Inc Cl A |
*** | 735 | ||||||||
Itt Inc |
*** | 1,526 | ||||||||
Independent Bank Group Inc |
*** | 1,018 | ||||||||
Integrated Device Tech Inc |
*** | 2,660 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-13
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Interface Inc |
*** | 656 | ||||||||
Kite Realty Group Trust |
*** | 446 | ||||||||
Knoll Inc |
*** | 726 | ||||||||
Korn/Ferry International |
*** | 1,037 | ||||||||
LHC Group Inc |
*** | 2,114 | ||||||||
Lydall Inc |
*** | 319 | ||||||||
Mantech International Corp A |
*** | 1,822 | ||||||||
Matthews Intl Corp Class A |
*** | 563 | ||||||||
Mcgrath Rentcorp |
*** | 854 | ||||||||
Minerals Technologies Inc |
*** | 843 | ||||||||
Mueller Water Products Inc |
*** | 877 | ||||||||
Northwestern Corp |
*** | 1,428 | ||||||||
Oxford Industries Inc |
*** | 605 | ||||||||
Pebblebrook Hotel Trust |
*** | 792 | ||||||||
PS Business Parks Inc/Ca |
*** | 1,394 | ||||||||
PRA Group Inc |
*** | 1,021 | ||||||||
Plexus Corp |
*** | 1,414 | ||||||||
Progress Software Corp |
*** | 975 | ||||||||
Renasant Corp |
*** | 836 | ||||||||
Ring Energy Inc |
*** | 545 | ||||||||
Rush Enterprises Inc Cl A |
*** | 1,072 | ||||||||
SRC Energy Inc |
*** | 657 | ||||||||
Saia Inc |
*** | 936 | ||||||||
Sandershon Farms Inc |
*** | 946 | ||||||||
Sandy Spring Bancorp Inc |
*** | 717 | ||||||||
Scholastic Corp |
*** | 1,248 | ||||||||
Selective Insurance Group |
*** | 1,888 | ||||||||
South State Corp |
*** | 964 | ||||||||
Southwest Gas Holdings |
*** | 1,174 | ||||||||
Stag Industrial Inc |
*** | 1,048 | ||||||||
Tri Pointe Group Inc |
*** | 679 | ||||||||
Towne Bank |
*** | 870 | ||||||||
Trueblue Inc |
*** | 1,083 | ||||||||
UMB Financial Corp |
*** | 862 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-14
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Umpqua Holdings Corp |
*** | 783 | ||||||||
United Community Banks/Ga |
*** | 956 | ||||||||
United Bankshares Inc |
*** | 662 | ||||||||
Gstif 25 Bps |
*** | 1,326 | ||||||||
Wolverine World Wide Inc |
*** | 983 | ||||||||
Argo Group International |
*** | 2,087 | ||||||||
Fresh Del Monte Produce Inc |
*** | 852 | ||||||||
|
|
|||||||||
Subtotal Chartwell Equity Securities | $ | 74,141 | ||||||||
|
|
|||||||||
Clearing Account |
||||||||||
State Street Bank and Trust |
Clearing Account |
*** | 864 | |||||||
|
|
|||||||||
Subtotal Clearing Account | $ | 864 | ||||||||
|
|
|||||||||
Collective Investment Trusts |
||||||||||
SSGA Real Asset |
*** | 34,014 | ||||||||
Target Retirement 2015 Fund |
*** | 73,374 | ||||||||
Target Retirement 2020 Fund |
*** | 81,621 | ||||||||
Target Retirement 2025 Fund |
*** | 280,571 | ||||||||
Target Retirement 2030 Fund |
*** | 126,436 | ||||||||
Target Retirement 2035 Fund |
*** | 289,460 | ||||||||
Target Retirement 2040 Fund |
*** | 99,926 | ||||||||
Target Retirement 2045 Fund |
*** | 182,003 | ||||||||
Target Retirement 2050 Fund |
*** | 84,886 | ||||||||
Target Retirement 2055 Fund |
*** | 46,748 | ||||||||
Target Retirement 2060 Fund |
*** | 21,179 | ||||||||
Target Retirement 2065 Fund |
*** | 1,375 | ||||||||
Target Retirement Income Fund |
*** | 43,628 | ||||||||
|
|
|||||||||
Subtotal Collective Investment Trusts | $ | 1,365,222 | ||||||||
|
|
|||||||||
Loomis Sayles Growth Fund |
||||||||||
Alibaba Group Holding Sp Adr |
*** | 13,238 | ||||||||
Alphabet Inc Cl A |
*** | 7,810 | ||||||||
Alphabet Inc Cl C |
*** | 7,859 | ||||||||
Amazon.Com Inc |
*** | 17,017 | ||||||||
American Express Co |
*** | 2,930 | ||||||||
Amgen Inc |
*** | 5,121 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-15
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Autodesk Inc |
*** | 10,537 | ||||||||
Automatic Data Processing |
*** | 2,502 | ||||||||
Cerner Corp |
*** | 5,288 | ||||||||
Cisco Systems Inc |
*** | 7,655 | ||||||||
Coca Cola Co/The |
*** | 7,207 | ||||||||
Colgate Palmolive Co |
*** | 5,087 | ||||||||
Danone Spons Adr |
*** | 7,256 | ||||||||
Deere + Co |
*** | 7,350 | ||||||||
Expeditors Intl Wash Inc |
*** | 7,806 | ||||||||
Facebook Inc A |
*** | 13,034 | ||||||||
Factset Research Systems Inc |
*** | 4,570 | ||||||||
Merck + Co. Inc. |
*** | 3,444 | ||||||||
Microsoft Corp |
*** | 8,916 | ||||||||
Monster Beverage Corp |
*** | 8,424 | ||||||||
Novartis AG Sponsored ADR |
*** | 4,798 | ||||||||
Novo Nordisk A/S Spons ADR |
*** | 7,539 | ||||||||
Oracle Corp |
*** | 13,271 | ||||||||
Procter + Gamble Co/The |
*** | 7,864 | ||||||||
Qualcomm Inc |
*** | 7,354 | ||||||||
Regeneron Pharmaceuticals |
*** | 9,507 | ||||||||
Schlumberger Ltd |
*** | 4,379 | ||||||||
SEI Investments Company |
*** | 5,498 | ||||||||
Starbucks Corp |
*** | 8,506 | ||||||||
United Parcel Service Cl B |
*** | 2,475 | ||||||||
Varian Medical Systems Inc |
*** | 4,693 | ||||||||
Visa Inc Class A Shares |
*** | 16,583 | ||||||||
Gstif 25 Bps |
*** | 4,693 | ||||||||
Yum Brands Inc |
*** | 5,139 | ||||||||
Yum China Holdings Inc |
*** | 3,224 | ||||||||
|
|
|||||||||
Subtotal Loomis Sayles Growth Fund | $ | 258,575 | ||||||||
|
|
|||||||||
Lee Munder Equity Securities |
||||||||||
Aercap Holdings Nv |
*** | 1,521 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-16
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
AGNC Investment Corp |
*** | 1,682 | ||||||||
Alexandria Real Estate Equit |
*** | 2,050 | ||||||||
Allegheny Technologies Inc |
*** | 1,300 | ||||||||
Allstate Corp |
*** | 1,863 | ||||||||
American Campus Communities |
*** | 1,943 | ||||||||
Amerisourcebergen Corp |
*** | 804 | ||||||||
Ameriprise Financial Inc |
*** | 1,733 | ||||||||
Anadarko Petroleum Corp |
*** | 1,545 | ||||||||
Apergy Corp |
*** | 317 | ||||||||
Aramark |
*** | 1,332 | ||||||||
Berry Global Group Inc |
*** | 2,403 | ||||||||
Borgwarner Inc |
*** | 1,252 | ||||||||
Brixmor Property Group Inc |
*** | 1,313 | ||||||||
Carter S Inc |
*** | 1,400 | ||||||||
Charles River Laboratories |
*** | 1,888 | ||||||||
Cimarex Energy Co |
*** | 1,503 | ||||||||
Clean Harbors Inc |
*** | 1,480 | ||||||||
DTE Energy Company |
*** | 2,242 | ||||||||
Darling Ingredients Inc |
*** | 2,100 | ||||||||
Dentsply Sirona Inc |
*** | 1,527 | ||||||||
Diamondback Energy Inc |
*** | 1,572 | ||||||||
Dollar General Corp |
*** | 1,296 | ||||||||
Dollar Tree Inc |
*** | 2,036 | ||||||||
Dover Corp |
*** | 1,662 | ||||||||
EQT Corp |
*** | 844 | ||||||||
Edison International |
*** | 1,245 | ||||||||
Equinix Inc |
*** | 1,293 | ||||||||
Equitrans Midstream Corp |
*** | 571 | ||||||||
Evergy Inc |
*** | 3,142 | ||||||||
FMC Corp |
*** | 2,009 | ||||||||
Fidelity National Info Serv |
*** | 2,334 | ||||||||
Fluor Corp |
*** | 788 | ||||||||
Hain Celestial Group Inc |
*** | 715 | ||||||||
Host Hotels + Resorts Inc |
*** | 1,380 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-17
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Ingredion Inc |
*** | 1,210 | ||||||||
Ishares Russell |
*** | 2,536 | ||||||||
Kar Auction Services Inc |
*** | 2,112 | ||||||||
Kroger Co |
*** | 1,323 | ||||||||
LKQ Corp |
*** | 2,640 | ||||||||
Leidos Holdings |
*** | 1,726 | ||||||||
M + T Bank Corp |
*** | 1,124 | ||||||||
Macom Technology Solutions H |
*** | 2,171 | ||||||||
Michaels Cos Inc/The |
*** | 859 | ||||||||
Mid America Apartment Comm |
*** | 1,531 | ||||||||
Newell Brands Inc |
*** | 1,660 | ||||||||
Nisource Inc |
*** | 2,480 | ||||||||
Olin Corp |
*** | 1,172 | ||||||||
PTC Inc |
*** | 1,681 | ||||||||
Pacwest Bancorp |
*** | 1,339 | ||||||||
Parker Hannifin Corp |
*** | 1,057 | ||||||||
Patterson Cos Inc |
*** | 898 | ||||||||
Pinnacle Financial Partners |
*** | 1,233 | ||||||||
Pinnacle West Capital |
*** | 2,300 | ||||||||
Qorvo Inc |
*** | 1,318 | ||||||||
RPM International Inc |
*** | 1,948 | ||||||||
Regal Beloit Corp |
*** | 1,851 | ||||||||
Reinsurance Group Of America |
*** | 2,022 | ||||||||
Scotts Miracle Gro Co |
*** | 1,435 | ||||||||
Signature Bank |
*** | 1,799 | ||||||||
Snap On Inc |
*** | 2,077 | ||||||||
Sonoco Products Co |
*** | 1,254 | ||||||||
Stericycle Inc |
*** | 990 | ||||||||
Sterling Bancorp |
*** | 1,728 | ||||||||
Synopsys Inc |
*** | 1,493 | ||||||||
Treehouse Foods Inc |
*** | 2,483 | ||||||||
Tyson Foods Inc Cl A |
*** | 1,129 | ||||||||
Valvoline Inc |
*** | 1,781 | ||||||||
Gstif 25 Bps |
*** | 1,778 | ||||||||
|
|
|||||||||
Subtotal Lee Munder Equity Securities | $ | 110,228 | ||||||||
|
|
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-18
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
Loan Fund |
||||||||||
Notes receivable from Members |
Notes receivable from Members, maturing in 2019 through 2032 bearing interest at rates from 4.25% - 9.25% | N/A | 67,753 | |||||||
|
|
|||||||||
Subtotal Loan Fund | $ | 67,753 | ||||||||
|
|
|||||||||
Master Expense Account |
||||||||||
Gstif 25 Bps Gstif 25 Bps |
*** | 7 | ||||||||
|
|
|||||||||
Subtotal Master Expense Account | $ | 7 | ||||||||
|
|
|||||||||
Mutual Funds |
||||||||||
Dodge & Cox |
3,176 |
*** | 117,256 | |||||||
* |
Hartford HLS Divident & Growth Fd Cl Ia |
12,925 |
*** | 257,521 | ||||||
* |
Hartford HLS Mut Fds Bond HLS Fd Cl Ia |
10,629 |
*** | 114,457 | ||||||
* |
Hartford HLS Mut Fds Intl Opportunities HLS Fd Cl I |
8,376 |
*** | 116,584 | ||||||
* |
Hartford HLS Mut Fds Midcap HLS Fd Cl Ia |
3,309 |
*** | 111,837 | ||||||
Vanguard Federal Money Market |
78,730 |
*** | 77,855 | |||||||
|
|
|||||||||
Subtotal Mutual Funds | $ | 795,511 | ||||||||
|
|
|||||||||
QM Small Cap Growth Fund |
||||||||||
AAON INC |
*** | 74 | ||||||||
AMAG PHARMACEUTICALS INC |
*** | 56 | ||||||||
ASGN INC |
*** | 361 | ||||||||
AARON S INC |
*** | 72 | ||||||||
ABEONA THERAPEUTICS INC |
*** | 16 | ||||||||
ACADIA PHARMACEUTICALS INC |
*** | 131 | ||||||||
ACCELERON PHARMA INC |
*** | 135 | ||||||||
ACI WORLDWIDE INC |
*** | 242 | ||||||||
ADDUS HOMECARE CORP |
*** | 251 | ||||||||
AERIE PHARMACEUTICALS INC |
*** | 97 | ||||||||
ADVANSIX INC |
*** | 136 | ||||||||
AEROJET ROCKETDYNE HOLDINGS |
*** | 507 | ||||||||
ADVANCED DISPOSAL SERVICES I |
*** | 246 | ||||||||
ADVANCED ENERGY INDUSTRIES |
*** | 177 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-19
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
AGIOS PHARMACEUTICALS INC |
*** | 178 | ||||||||
AIMMUNE THERAPEUTICS INC |
*** | 83 | ||||||||
ALNYLAM PHARMACEUTICALS INC |
*** | 36 | ||||||||
AMERIS BANCORP |
*** | 206 | ||||||||
AMICUS THERAPEUTICS INC |
*** | 72 | ||||||||
APERGY CORP |
*** | 203 | ||||||||
ARRAY BIOPHARMA INC |
*** | 200 | ||||||||
ASPEN TECHNOLOGY INC |
*** | 473 | ||||||||
ASSERTIO THERAPEUTICS INC |
*** | 38 | ||||||||
ATKORE INTERNATIONAL GROUP I |
*** | 213 | ||||||||
AVANOS MEDICAL INC |
*** | 150 | ||||||||
BWX TECHNOLOGIES INC |
*** | 266 | ||||||||
BEACON ROOFING SUPPLY INC |
*** | 134 | ||||||||
BERRY GLOBAL GROUP INC |
*** | 474 | ||||||||
BIG LOTS INC |
*** | 46 | ||||||||
BIO RAD LABORATORIES A |
*** | 292 | ||||||||
BIOTELEMETRY INC |
*** | 263 | ||||||||
BLACKBAUD INC |
*** | 343 | ||||||||
BLUEBIRD BIO INC |
*** | 134 | ||||||||
BLUEPRINT MEDICINES CORP |
*** | 148 | ||||||||
BOOZ ALLEN HAMILTON HOLDINGS |
*** | 569 | ||||||||
BOSTON BEER COMPANY INC A |
*** | 276 | ||||||||
BOYD GAMING CORP |
*** | 232 | ||||||||
BRIGHT HORIZONS FAMILY SOLUT |
*** | 431 | ||||||||
BROADRIDGE FINANCIAL SOLUTIO |
*** | 398 | ||||||||
BRUKER CORP |
*** | 101 | ||||||||
BRUNSWICK CORP |
*** | 249 | ||||||||
BURLINGTON STORES INC |
*** | 854 | ||||||||
CBOE GLOBAL MARKETS INC |
*** | 451 | ||||||||
CABLE ONE INC |
*** | 618 | ||||||||
CABOT MICROELECTRONICS CORP |
*** | 198 | ||||||||
CAMBREX CORP |
*** | 196 | ||||||||
CANTEL MEDICAL CORP |
*** | 363 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-20
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
CAROLINA FINANCIAL CORP |
*** | 184 | ||||||||
CARRIZO OIL + GAS INC |
*** | 37 | ||||||||
CARTER S INC |
*** | 212 | ||||||||
CASELLA WASTE SYSTEMS INC A |
*** | 444 | ||||||||
CASEY S GENERAL STORES INC |
*** | 530 | ||||||||
CATALENT INC |
*** | 320 | ||||||||
CENTENNIAL RESOURCE DEVELO A |
*** | 159 | ||||||||
CENTERSTATE BANK CORP |
*** | 252 | ||||||||
CHARLES RIVER LABORATORIES |
*** | 492 | ||||||||
CHART INDUSTRIES INC |
*** | 132 | ||||||||
CHASE CORP |
*** | 298 | ||||||||
CHEESECAKE FACTORY INC/THE |
*** | 149 | ||||||||
CHEMED CORP |
*** | 479 | ||||||||
CHILDREN S PLACE INC/THE |
*** | 121 | ||||||||
CHOICE HOTELS INTL INC |
*** | 173 | ||||||||
CHURCHILL DOWNS INC |
*** | 512 | ||||||||
CIRRUS LOGIC INC |
*** | 241 | ||||||||
COCA COLA CONSOLIDATED INC |
*** | 184 | ||||||||
COGNEX CORP |
*** | 241 | ||||||||
COHERENT INC |
*** | 279 | ||||||||
COMMVAULT SYSTEMS INC |
*** | 288 | ||||||||
COOPER COS INC/THE |
*** | 254 | ||||||||
COOPER STANDARD HOLDING |
*** | 130 | ||||||||
CORESITE REALTY CORP |
*** | 335 | ||||||||
CORELOGIC INC |
*** | 274 | ||||||||
CORVEL CORP |
*** | 115 | ||||||||
CUBESMART |
*** | 208 | ||||||||
CURTISS WRIGHT CORP |
*** | 389 | ||||||||
CYRUSONE INC |
*** | 367 | ||||||||
DENNY S CORP |
*** | 282 | ||||||||
DESCARTES SYSTEMS GRP/THE |
*** | 125 | ||||||||
DOMINO S PIZZA INC |
*** | 369 | ||||||||
DOUGLAS DYNAMICS INC |
*** | 208 | ||||||||
DRIL QUIP INC |
*** | 56 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-21
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
DUN + BRADSTREET CORP |
*** | 226 | ||||||||
E TRADE FINANCIAL CORP |
*** | 188 | ||||||||
EAGLE MATERIALS INC |
*** | 165 | ||||||||
ECHOSTAR CORP A |
*** | 93 | ||||||||
ELLIE MAE INC |
*** | 111 | ||||||||
EMERGENT BIOSOLUTIONS INC |
*** | 373 | ||||||||
EMPIRE STATE REALTY TRUST A |
*** | 95 | ||||||||
ENANTA PHARMACEUTICALS INC |
*** | 64 | ||||||||
ENCOMPASS HEALTH CORP |
*** | 318 | ||||||||
ENSIGN GROUP INC/THE |
*** | 336 | ||||||||
ENTEGRIS INC |
*** | 243 | ||||||||
ENVESTNET INC |
*** | 366 | ||||||||
EPLUS INC |
*** | 57 | ||||||||
EQUITY LIFESTYLE PROPERTIES |
*** | 348 | ||||||||
EURONET WORLDWIDE INC |
*** | 620 | ||||||||
EXACT SCIENCES CORP |
*** | 517 | ||||||||
EXELIXIS INC |
*** | 56 | ||||||||
EXPONENT INC |
*** | 430 | ||||||||
EXTERRAN CORP |
*** | 108 | ||||||||
FACTSET RESEARCH SYSTEMS INC |
*** | 143 | ||||||||
FAIR ISAAC CORP |
*** | 697 | ||||||||
FIBROGEN INC |
*** | 204 | ||||||||
FIRST BANCORP/NC |
*** | 278 | ||||||||
FIRST INDUSTRIAL REALTY TR |
*** | 292 | ||||||||
FORTINET INC |
*** | 245 | ||||||||
FRONTDOOR INC |
*** | 132 | ||||||||
GCI LIBERTY INC CLASS A |
*** | 260 | ||||||||
GTT COMMUNICATIONS INC |
*** | 104 | ||||||||
GARTNER INC |
*** | 261 | ||||||||
GENERAC HOLDINGS INC |
*** | 206 | ||||||||
GENOMIC HEALTH INC |
*** | 219 | ||||||||
GLOBAL BLOOD THERAPEUTICS IN |
*** | 102 | ||||||||
GLOBUS MEDICAL INC A |
*** | 253 | ||||||||
GLYCOMIMETICS INC |
*** | 32 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-22
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
GRACO INC |
*** | 360 | ||||||||
GRAND CANYON EDUCATION INC |
*** | 375 | ||||||||
GRAPHIC PACKAGING HOLDING CO |
*** | 142 | ||||||||
GRAY TELEVISION INC |
*** | 158 | ||||||||
HAEMONETICS CORP/MASS |
*** | 351 | ||||||||
HAWAIIAN HOLDINGS INC |
*** | 63 | ||||||||
HEALTHCARE SERVICES GROUP |
*** | 200 | ||||||||
HEICO CORP CLASS A |
*** | 727 | ||||||||
JACK HENRY + ASSOCIATES INC |
*** | 178 | ||||||||
HERITAGE INSURANCE HOLDINGS |
*** | 52 | ||||||||
HEXCEL CORP |
*** | 382 | ||||||||
HILTON GRAND VACATIONS INC |
*** | 224 | ||||||||
ICU MEDICAL INC |
*** | 604 | ||||||||
IDEX CORP |
*** | 168 | ||||||||
IMMUNOMEDICS INC |
*** | 102 | ||||||||
INGEVITY CORP |
*** | 513 | ||||||||
INSMED INC |
*** | 100 | ||||||||
INNOSPEC INC |
*** | 292 | ||||||||
INSPERITY INC |
*** | 461 | ||||||||
INOGEN INC |
*** | 269 | ||||||||
INNOVIVA INC |
*** | 82 | ||||||||
INTEGRATED DEVICE TECH INC |
*** | 562 | ||||||||
IONIS PHARMACEUTICALS INC |
*** | 89 | ||||||||
IRONWOOD PHARMACEUTICALS INC |
*** | 79 | ||||||||
J + J SNACK FOODS CORP |
*** | 369 | ||||||||
JOHN BEAN TECHNOLOGIES CORP |
*** | 248 | ||||||||
J2 GLOBAL INC |
*** | 200 | ||||||||
KENNEDY WILSON HOLDINGS INC |
*** | 72 | ||||||||
LCI INDUSTRIES |
*** | 141 | ||||||||
LANDSTAR SYSTEM INC |
*** | 346 | ||||||||
LENNOX INTERNATIONAL INC |
*** | 481 | ||||||||
LIBERTY EXPEDIA HOLD A |
*** | 180 | ||||||||
LIGAND PHARMACEUTICALS |
*** | 358 | ||||||||
LINCOLN ELECTRIC HOLDINGS |
*** | 162 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-23
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
LIONS GATE ENTERTAINMENT B |
*** | 92 | ||||||||
LITTELFUSE INC |
*** | 390 | ||||||||
LIVE NATION ENTERTAINMENT IN |
*** | 489 | ||||||||
LOGMEIN INC |
*** | 172 | ||||||||
LOXO ONCOLOGY INC |
*** | 224 | ||||||||
LYDALL INC |
*** | 109 | ||||||||
MGIC INVESTMENT CORP |
*** | 172 | ||||||||
MKS INSTRUMENTS INC |
*** | 331 | ||||||||
MSCI INC |
*** | 415 | ||||||||
MSG NETWORKS INC A |
*** | 254 | ||||||||
STEVEN MADDEN LTD |
*** | 347 | ||||||||
MADRIGAL PHARMACEUTICALS INC |
*** | 44 | ||||||||
MANHATTAN ASSOCIATES INC |
*** | 221 | ||||||||
MARKETAXESS HOLDINGS INC |
*** | 534 | ||||||||
MARRIOTT VACATIONS WORLD |
*** | 85 | ||||||||
MASIMO CORP |
*** | 462 | ||||||||
MATADOR RESOURCES CO |
*** | 244 | ||||||||
MATSON INC |
*** | 52 | ||||||||
MAXLINEAR INC |
*** | 247 | ||||||||
MAXIMUS INC |
*** | 529 | ||||||||
MIDDLEBY CORP |
*** | 127 | ||||||||
MINERALS TECHNOLOGIES INC |
*** | 143 | ||||||||
MOLINA HEALTHCARE INC |
*** | 715 | ||||||||
MOOG INC CLASS A |
*** | 380 | ||||||||
MURPHY USA INC |
*** | 294 | ||||||||
MYOKARDIA INC |
*** | 117 | ||||||||
NCR CORPORATION |
*** | 158 | ||||||||
NANOMETRICS INC |
*** | 159 | ||||||||
NATUS MEDICAL INC |
*** | 95 | ||||||||
NEKTAR THERAPEUTICS |
*** | 133 | ||||||||
NETSCOUT SYSTEMS INC |
*** | 93 | ||||||||
NEUROCRINE BIOSCIENCES INC |
*** | 240 | ||||||||
NEWMARKET CORP |
*** | 200 | ||||||||
NORDSON CORP |
*** | 251 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-24
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
NOVANTA INC |
*** | 403 | ||||||||
NU SKIN ENTERPRISES INC A |
*** | 137 | ||||||||
NUVASIVE INC |
*** | 249 | ||||||||
OSI SYSTEMS INC |
*** | 230 | ||||||||
OCEANEERING INTL INC |
*** | 47 | ||||||||
OLD DOMINION FREIGHT LINE |
*** | 374 | ||||||||
OMNICELL INC |
*** | 328 | ||||||||
ORMAT TECHNOLOGIES INC |
*** | 290 | ||||||||
PBF ENERGY INC CLASS A |
*** | 294 | ||||||||
PDC ENERGY INC |
*** | 189 | ||||||||
PRA HEALTH SCIENCES INC |
*** | 531 | ||||||||
PRA GROUP INC |
*** | 114 | ||||||||
PS BUSINESS PARKS INC/CA |
*** | 189 | ||||||||
PTC INC |
*** | 346 | ||||||||
PACIRA BIOSCIENCES INC |
*** | 88 | ||||||||
PAPA JOHN S INTL INC |
*** | 205 | ||||||||
PATRICK INDUSTRIES INC |
*** | 184 | ||||||||
PEBBLEBROOK HOTEL TRUST |
*** | 52 | ||||||||
PEGASYSTEMS INC |
*** | 298 | ||||||||
PENN NATIONAL GAMING INC |
*** | 143 | ||||||||
PENUMBRA INC |
*** | 281 | ||||||||
PERFORMANCE FOOD GROUP CO |
*** | 425 | ||||||||
PHIBRO ANIMAL HEALTH CORP A |
*** | 155 | ||||||||
PLANTRONICS INC |
*** | 117 | ||||||||
POLYONE CORPORATION |
*** | 217 | ||||||||
POOL CORP |
*** | 586 | ||||||||
POST HOLDINGS INC |
*** | 375 | ||||||||
PRESTIGE CONSUMER HEALTHCARE |
*** | 250 | ||||||||
PRIMERICA INC |
*** | 542 | ||||||||
PROOFPOINT INC |
*** | 308 | ||||||||
QUAKER CHEMICAL CORP |
*** | 178 | ||||||||
QUALYS INC |
*** | 366 | ||||||||
RPC INC |
*** | 75 | ||||||||
RADIAN GROUP INC |
*** | 150 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-25
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
REALPAGE INC |
*** | 367 | ||||||||
REPLIGEN CORP |
*** | 246 | ||||||||
ROLLINS INC |
*** | 476 | ||||||||
RUTH S HOSPITALITY GROUP INC |
*** | 229 | ||||||||
SLM CORP |
*** | 176 | ||||||||
SS+C TECHNOLOGIES HOLDINGS |
*** | 441 | ||||||||
SVB FINANCIAL GROUP |
*** | 165 | ||||||||
SAGE THERAPEUTICS INC |
*** | 278 | ||||||||
JOHN B. SANFILIPPO + SON INC |
*** | 112 | ||||||||
SAREPTA THERAPEUTICS INC |
*** | 458 | ||||||||
SCIENCE APPLICATIONS INTE |
*** | 328 | ||||||||
SCOTTS MIRACLE GRO CO |
*** | 184 | ||||||||
SEATTLE GENETICS INC |
*** | 120 | ||||||||
SERVICE CORP INTERNATIONAL |
*** | 528 | ||||||||
SERVICEMASTER GLOBAL HOLDING |
*** | 415 | ||||||||
SHUTTERFLY INC |
*** | 103 | ||||||||
SIGNATURE BANK |
*** | 162 | ||||||||
SIX FLAGS ENTERTAINMENT CORP |
*** | 206 | ||||||||
SOTHEBY S |
*** | 107 | ||||||||
SPARK THERAPEUTICS INC |
*** | 96 | ||||||||
SPROUTS FARMERS MARKET INC |
*** | 308 | ||||||||
STAMPS.COM INC |
*** | 344 | ||||||||
STANDEX INTERNATIONAL CORP |
*** | 60 | ||||||||
STEPAN CO |
*** | 115 | ||||||||
STRATEGIC EDUCATION INC |
*** | 172 | ||||||||
SUPERNUS PHARMACEUTICALS INC |
*** | 202 | ||||||||
SYNEOS HEALTH INC |
*** | 110 | ||||||||
TABULA RASA HEALTHCARE INC |
*** | 147 | ||||||||
TAKE TWO INTERACTIVE SOFTWRE |
*** | 565 | ||||||||
TECH DATA CORP |
*** | 131 | ||||||||
TELEDYNE TECHNOLOGIES INC |
*** | 788 | ||||||||
TERRENO REALTY CORP |
*** | 243 | ||||||||
TESARO INC |
*** | 147 | ||||||||
TEXAS ROADHOUSE INC |
*** | 442 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-26
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||
THERAPEUTICSMD INC |
*** | 56 | ||||||||
TORO CO |
*** | 467 | ||||||||
TRANSUNION |
*** | 404 | ||||||||
TREEHOUSE FOODS INC |
*** | 179 | ||||||||
TYLER TECHNOLOGIES INC |
*** | 407 | ||||||||
U.S. PHYSICAL THERAPY INC |
*** | 304 | ||||||||
ULTIMATE SOFTWARE GROUP INC |
*** | 347 | ||||||||
ULTRAGENYX PHARMACEUTICAL IN |
*** | 133 | ||||||||
UNIFIRST CORP/MA |
*** | 215 | ||||||||
UNIVAR INC |
*** | 145 | ||||||||
UNIVERSAL INSURANCE HOLDINGS |
*** | 209 | ||||||||
US ECOLOGY INC |
*** | 273 | ||||||||
VAIL RESORTS INC |
*** | 572 | ||||||||
VEEVA SYSTEMS INC CLASS A |
*** | 276 | ||||||||
VERSUM MATERIALS INC |
*** | 250 | ||||||||
VISTEON CORP |
*** | 207 | ||||||||
GSTIF 25 BPS |
*** | 458 | ||||||||
WATSCO INC |
*** | 267 | ||||||||
WEIGHT WATCHERS INTL INC |
*** | 112 | ||||||||
WELLCARE HEALTH PLANS INC |
*** | 397 | ||||||||
WEST PHARMACEUTICAL SERVICES |
*** | 395 | ||||||||
WEX INC |
*** | 419 | ||||||||
WOODWARD INC |
*** | 273 | ||||||||
WORTHINGTON INDUSTRIES |
*** | 119 | ||||||||
WPX ENERGY INC |
*** | 417 | ||||||||
XPO LOGISTICS INC |
*** | 294 | ||||||||
XENCOR INC |
*** | 166 | ||||||||
ZEBRA TECHNOLOGIES CORP CL A |
*** | 531 | ||||||||
ALKERMES PLC |
*** | 72 | ||||||||
ARRIS INTERNATIONAL PLC |
*** | 147 | ||||||||
CARDTRONICS PLC A |
*** | 179 | ||||||||
HELEN OF TROY LTD |
*** | 482 | ||||||||
ICHOR HOLDINGS LTD |
*** | 58 | ||||||||
JAZZ PHARMACEUTICALS PLC |
*** | 92 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
See accompanying Report of Independent Registered Public Accounting Firm.
F-27
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||||
LIVANOVA PLC |
*** | 320 | ||||||||||||||||||||
THERAVANCE BIOPHARMA INC |
*** | 98 | ||||||||||||||||||||
TRAVELPORT WORLDWIDE LTD |
*** | 187 | ||||||||||||||||||||
CRISPR THERAPEUTICS AG |
*** | 54 | ||||||||||||||||||||
MELLANOX TECHNOLOGIES LTD |
*** | 531 | ||||||||||||||||||||
UNIQURE NV |
*** | 58 | ||||||||||||||||||||
WAVE LIFE SCIENCES LTD |
*** | 54 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Subtotal QM Small Cap Fund | $ | 74,289 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
|
|
|||||||||||||||||||||
Total All Mutual Funds | $ | 869,799 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Large Cap Equities |
||||||||||||||||||||||
State Street Bk + Tr Co |
*** | 517,220 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Subtotal State Street | $ | 517,220 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Separate Account GIC |
||||||||||||||||||||||
New York Life |
*** | 96,676 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Subtotal Separate Account GIC | $ | 96,676 | ||||||||||||||||||||
|
|
|||||||||||||||||||||
Interest Rate | Maturity | Par Value |
||||||||||||||||||||
Shared Holdings (aa) - HIMCO Bond Fund | ||||||||||||||||||||||
ABB Finance USA Inc |
3.80 | % | 4/3/2028 | 1,000 | *** | 1,015 | ||||||||||||||||
AEP Texas Inc |
2.40 | % | 10/1/2022 | 750 | *** | 727 | ||||||||||||||||
AT+T Inc |
3.40 | % | 5/15/2025 | 1,500 | *** | 1,412 | ||||||||||||||||
AT+T Inc |
3.95 | % | 5/15/2025 | 225 | *** | 220 | ||||||||||||||||
Abbvie Inc |
2.85 | % | 5/14/2023 | 825 | *** | 795 | ||||||||||||||||
Chubb Ina Holdings Inc |
2.70 | % | 3/13/2023 | 725 | *** | 708 | ||||||||||||||||
American Express Co |
3.00 | % | 10/30/2024 | 1,250 | *** | 1,196 | ||||||||||||||||
American Intl Group |
3.75 | % | 7/10/2025 | 1,000 | *** | 957 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-28
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Anheuser Busch Co |
3.65 | % | 2/1/2026 | 1,000 | *** | 946 | ||||||||||||||
Apple Inc |
2.40 | % | 5/3/2023 | 685 | *** | 662 | ||||||||||||||
Astrazeneca Plc |
3.50 | % | 8/17/2023 | 850 | *** | 846 | ||||||||||||||
Aventura Mall Trust Avmt 2013 |
3.74 | % | 12/5/2032 | 400 | *** | 404 | ||||||||||||||
BAT Capital Corp |
3.22 | % | 8/15/2024 | 500 | *** | 461 | ||||||||||||||
BB+T Corporation |
2.45 | % | 1/15/2020 | 600 | *** | 596 | ||||||||||||||
BP Capital Markets Plc |
3.81 | % | 2/10/2024 | 655 | *** | 661 | ||||||||||||||
Burlingtn No |
4.83 | % | 1/15/2023 | 194 | *** | 198 | ||||||||||||||
Bank of America Corp |
3.30 | % | 1/11/2023 | 1,210 | *** | 1,192 | ||||||||||||||
Bank of America Corp |
3.88 | % | 1/11/2023 | 500 | *** | 495 | ||||||||||||||
Bank of NY Mellon Corp |
3.25 | % | 9/11/2024 | 885 | *** | 874 | ||||||||||||||
Bayer US Finance LLC |
3.38 | % | 10/8/2024 | 820 | *** | 773 | ||||||||||||||
Bayer US Finance II LLC |
4.25 | % | 12/15/2025 | 1,000 | *** | 973 | ||||||||||||||
Branch Banking + Trust |
2.85 | % | 4/1/2021 | 510 | *** | 506 | ||||||||||||||
Berkshire Hathaway Inc |
2.20 | % | 3/15/2021 | 500 | *** | 493 | ||||||||||||||
British Columbia Prov Of |
2.65 | % | 9/22/2021 | 330 | *** | 330 | ||||||||||||||
Burlingtn No Sf |
3.40 | % | 9/1/2024 | 480 | *** | 481 | ||||||||||||||
Cigna Holding Co |
4.50 | % | 3/15/2021 | 300 | *** | 307 | ||||||||||||||
Cigna Holding Co |
4.00 | % | 3/15/2021 | 290 | *** | 293 | ||||||||||||||
Comm Mortgage Trust 2016 |
3.76 | % | 2/10/2049 | 1,000 | *** | 1,012 | ||||||||||||||
Comm Mortgage Trust 2013 |
1.87 | % | 2/10/2049 | 57 | *** | 55 | ||||||||||||||
Comm Mortgage Trust 2014 |
3.01 | % | 2/10/2049 | 454 | *** | 453 | ||||||||||||||
CSAIL Commercial Mortgage Trus |
3.81 | % | 11/15/2048 | 1,000 | *** | 1,013 | ||||||||||||||
CVS Health Corp |
3.50 | % | 7/20/2022 | 390 | *** | 387 | ||||||||||||||
CVS Health Corp |
2.13 | % | 7/20/2022 | 500 | *** | 482 | ||||||||||||||
California ST CAS |
2.37 | % | 4/1/2022 | 1,000 | *** | 985 | ||||||||||||||
Canadian Pacific RR |
7.25 | % | 5/15/2019 | 250 | *** | 254 | ||||||||||||||
Capital One Financial Co |
3.75 | % | 3/9/2027 | 1,000 | *** | 929 | ||||||||||||||
Capital One Multi Asset |
1.99 | % | 7/17/2023 | 1,000 | *** | 984 | ||||||||||||||
Caterpillar Finl Service |
3.45 | % | 5/15/2023 | 1,000 | *** | 1,005 | ||||||||||||||
Centerpoint Energey Transition |
2.16 | % | 10/15/2021 | 97 | *** | 96 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-29
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Chase Issuance Trust |
1.58 | % | 8/15/2021 | 467 | *** | 463 | ||||||||||||||
Chevron Corp |
2.36 | % | 12/5/2022 | 640 | *** | 620 | ||||||||||||||
Chevron Corp |
2.43 | % | 12/5/2022 | 280 | *** | 278 | ||||||||||||||
CISCO Systems |
2.20 | % | 2/28/2021 | 1,053 | *** | 1,039 | ||||||||||||||
Citigroup Inc |
3.88 | % | 10/25/2023 | 500 | *** | 501 | ||||||||||||||
Citigroup Inc |
2.70 | % | 10/25/2023 | 1,000 | *** | 985 | ||||||||||||||
Citizens Bank |
3.70 | % | 3/29/2023 | 465 | *** | 467 | ||||||||||||||
Comcast Corp |
3.95 | % | 10/15/2025 | 898 | *** | 909 | ||||||||||||||
Commonwealth Edison Co |
2.95 | % | 8/15/2027 | 1,000 | *** | 962 | ||||||||||||||
Cooperat Rabobank Ua/Ny |
2.25 | % | 1/14/2019 | 355 | *** | 355 | ||||||||||||||
Delta Air Lines 2010 2A |
4.95 | % | 11/23/2020 | 55 | *** | 55 | ||||||||||||||
Dell Int Llc / Emc Corp |
5.45 | % | 6/15/2023 | 1,015 | *** | 1,033 | ||||||||||||||
Discover Card Execution Note |
1.88 | % | 2/15/2023 | 1,000 | *** | 984 | ||||||||||||||
Walt Disney Company/The |
2.35 | % | 12/1/2022 | 650 | *** | 631 | ||||||||||||||
Dowdupont Inc |
4.73 | % | 11/15/2028 | 750 | *** | 774 | ||||||||||||||
EMD Finance LLC |
2.95 | % | 3/19/2022 | 840 | *** | 828 | ||||||||||||||
Eversource Energy |
2.75 | % | 3/15/2022 | 500 | *** | 491 | ||||||||||||||
Eversource Energy |
2.90 | % | 3/15/2022 | 500 | *** | 479 | ||||||||||||||
Exxon Mobil Corporation |
2.22 | % | 3/1/2021 | 1,000 | *** | 986 | ||||||||||||||
Fed Hm Ln Pc Pool G01629 |
6.00 | % | 10/1/2033 | 9 | *** | 10 | ||||||||||||||
Fed Hm Ln Pc Pool A77952 |
5.00 | % | 5/1/2038 | 7 | *** | 8 | ||||||||||||||
Fed Hm Ln Pc Pool G14174 |
5.00 | % | 3/1/2025 | 27 | *** | 27 | ||||||||||||||
Fed Hm Ln Pc Pool J00617 |
5.50 | % | 12/1/2020 | 8 | *** | 8 | ||||||||||||||
Fed Hm Ln Pc Pool J00921 |
5.00 | % | 12/1/2020 | 2 | *** | 2 | ||||||||||||||
Fed Hm Ln Pc Pool J01060 |
5.00 | % | 1/1/2021 | 4 | *** | 4 | ||||||||||||||
Fed Hm Ln Pc Pool C03506 |
6.00 | % | 5/1/2040 | 118 | *** | 127 | ||||||||||||||
Fed Hm Ln Pc Pool A11544 |
5.50 | % | 6/1/2033 | 8 | *** | 8 | ||||||||||||||
Fed Hm Ln Pc Pool A15942 |
6.00 | % | 11/1/2033 | 5 | *** | 5 | ||||||||||||||
Fed Hm Ln Pc Pool B19557 |
5.50 | % | 7/1/2020 | 20 | *** | 20 | ||||||||||||||
Fed Hm Ln Pc Pool A26586 |
6.00 | % | 9/1/2034 | 7 | *** | 8 | ||||||||||||||
Fed Hm Ln Pc Pool J38826 |
3.50 | % | 5/1/2033 | 541 | *** | 548 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-30
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Fed Hm Ln Pc Pool Q02688 |
4.00 | % | 8/1/2041 | 132 | *** | 136 | ||||||||||||||
Fed Hm Ln Pc Pool V82942 |
3.00 | % | 2/1/2047 | 2,055 | *** | 2,005 | ||||||||||||||
Fed Hm Ln Pc Pool Q55851 |
5.00 | % | 5/1/2048 | 998 | *** | 1,059 | ||||||||||||||
Fed Hm Ln Pc Pool Q59600 |
4.50 | % | 11/1/2048 | 2,422 | *** | 2,514 | ||||||||||||||
Fed Hm Ln Pc Pool G60948 |
3.00 | % | 1/1/2047 | 1,592 | *** | 1,552 | ||||||||||||||
Fed Hm Ln Pc Pool G11868 |
5.50 | % | 7/1/2020 | 11 | *** | 11 | ||||||||||||||
FannieMae ACES FNA |
3.35 | % | 3/25/2024 | 870 | *** | 887 | ||||||||||||||
FNMA Pool 357821 |
6.00 | % | 5/1/2035 | 124 | *** | 135 | ||||||||||||||
FHLMC Multifamily Structured |
2.57 | % | 9/25/2020 | 994 | *** | 989 | ||||||||||||||
FNMA Pool 555417 |
6.00 | % | 5/1/2033 | 32 | *** | 35 | ||||||||||||||
FNMA Pool 555591 |
5.50 | % | 7/1/2033 | 37 | *** | 40 | ||||||||||||||
FNMA Pool AJ5733 |
3.50 | % | 12/1/2041 | 1,572 | *** | 1,584 | ||||||||||||||
FNMA Pool AL0194 |
4.00 | % | 1/1/2041 | 797 | *** | 821 | ||||||||||||||
FNMA Pool AP0632 |
2.50 | % | 7/1/2027 | 383 | *** | 378 | ||||||||||||||
FNMA Pool AR9436 |
4.00 | % | 8/1/2043 | 14 | *** | 14 | ||||||||||||||
FNMA Pool AS8764 |
2.50 | % | 2/1/2032 | 1,195 | *** | 1,167 | ||||||||||||||
FNMA Pool AV2357 |
4.00 | % | 1/1/2044 | 1,268 | *** | 1,308 | ||||||||||||||
FNMA Pool AW1007 |
4.00 | % | 5/1/2044 | 1,125 | *** | 1,156 | ||||||||||||||
FNMA Pool AW5067 |
4.50 | % | 7/1/2044 | 2,221 | *** | 2,316 | ||||||||||||||
FNMA Pool AY5415 |
4.00 | % | 3/1/2045 | 2,157 | *** | 2,224 | ||||||||||||||
FNMA Pool 725704 |
6.00 | % | 8/1/2034 | 25 | *** | 28 | ||||||||||||||
FNMA Pool 730716 |
6.00 | % | 8/1/2033 | 20 | *** | 22 | ||||||||||||||
FNMA Pool 734059 |
5.50 | % | 8/1/2033 | 7 | *** | 7 | ||||||||||||||
FNMA Pool 745932 |
6.50 | % | 11/1/2036 | 50 | *** | 57 | ||||||||||||||
FNMA Pool 756154 |
6.00 | % | 11/1/2033 | 29 | *** | 32 | ||||||||||||||
FNMA Pool 792191 |
5.50 | % | 9/1/2034 | 35 | *** | 38 | ||||||||||||||
FNMA Pool 805176 |
5.50 | % | 1/1/2020 | 14 | *** | 14 | ||||||||||||||
FNMA Pool BC1212 |
3.00 | % | 7/1/2046 | 3,519 | *** | 4,005 | ||||||||||||||
FNMA Pool BC4750 |
4.00 | % | 10/1/2046 | 703 | *** | 717 | ||||||||||||||
FNMA Pool BC6121 |
4.00 | % | 6/1/2046 | 628 | *** | 641 | ||||||||||||||
FNMA Pool BC9364 |
3.50 | % | 6/1/2046 | 3,411 | *** | 3,921 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-31
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
FNMA Pool BD3312 |
3.00 | % | 10/1/2046 | 496 | *** | 484 | ||||||||||||||
FNMA Pool BJ0852 |
4.50 | % | 11/1/2047 | 2,805 | *** | 2,907 | ||||||||||||||
FNMA Pool BJ0687 |
5.00 | % | 4/1/2048 | 1,383 | *** | 1,449 | ||||||||||||||
FNMA Pool BJ1991 |
4.00 | % | 11/1/2047 | 531 | *** | 542 | ||||||||||||||
FNMA Pool BJ8271 |
4.50 | % | 2/1/2048 | 1,153 | *** | 1,210 | ||||||||||||||
FNMA Pool BK1027 |
3.50 | % | 3/1/2048 | 638 | *** | 638 | ||||||||||||||
FNMA Pool BK6599 |
5.00 | % | 8/1/2048 | 1,153 | *** | 1,212 | ||||||||||||||
FNMA Pool 888341 |
5.00 | % | 2/1/2037 | 55 | *** | 58 | ||||||||||||||
FNMA Pool 888022 |
5.00 | % | 2/1/2036 | 83 | *** | 88 | ||||||||||||||
FNMA Pool 890528 |
5.50 | % | 6/1/2039 | 79 | *** | 85 | ||||||||||||||
FNMA Pool 908560 |
5.50 | % | 1/1/2022 | 2 | *** | 2 | ||||||||||||||
FNMA Pool 944026 |
6.50 | % | 8/1/2037 | 130 | *** | 145 | ||||||||||||||
FNMA Pool AA4266 |
4.50 | % | 5/1/2024 | 12 | *** | 13 | ||||||||||||||
FNMA Pool AB0536 |
6.00 | % | 2/1/2037 | 50 | *** | 55 | ||||||||||||||
FNMA Pool Ma1543 |
3.50 | % | 8/1/2033 | 1,149 | *** | 1,170 | ||||||||||||||
Fifth Third Bank |
2.88 | % | 10/1/2021 | 635 | *** | 628 | ||||||||||||||
Ford Credit Auto Owner Trust/F |
2.26 | % | 11/15/2025 | 360 | *** | 359 | ||||||||||||||
GNMA II Pool MA2754 |
3.50 | % | 4/20/2045 | 1,200 | *** | 1,210 | ||||||||||||||
GNMA II Pool MA2892 |
3.50 | % | 6/20/2045 | 520 | *** | 524 | ||||||||||||||
GNMA II Pool MA5190 |
3.00 | % | 5/20/2048 | 1,555 | *** | 1,532 | ||||||||||||||
GNMA II Pool MA5191 |
3.50 | % | 5/20/2048 | 310 | *** | 312 | ||||||||||||||
GNMA II Pool MA5192 |
4.00 | % | 5/20/2048 | 440 | *** | 451 | ||||||||||||||
GNMA II Pool MA5193 |
4.50 | % | 5/20/2048 | 381 | *** | 394 | ||||||||||||||
GNMA Pool 569327 |
6.50 | % | 4/15/2032 | 88 | *** | 100 | ||||||||||||||
GNMA Pool 580880 |
6.50 | % | 11/15/2031 | 19 | *** | 20 | ||||||||||||||
GNMA Pool 003624 |
5.50 | % | 10/20/2034 | 36 | *** | 38 | ||||||||||||||
GNMA Pool 004599 |
5.00 | % | 12/20/2039 | 125 | *** | 133 | ||||||||||||||
GNMA Pool 434787 |
8.00 | % | 5/15/2030 | 10 | *** | 10 | ||||||||||||||
GNMA Pool 485856 |
6.50 | % | 10/15/2031 | 8 | *** | 9 | ||||||||||||||
GNMA Pool 726316 |
5.00 | % | 9/15/2039 | 136 | *** | 145 | ||||||||||||||
GNMA Pool 737651 |
5.00 | % | 11/15/2040 | 65 | *** | 68 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-32
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
GNMA Pool 510403 |
5.00 | % | 1/15/2035 | 11 | *** | 12 | ||||||||||||||
GNMA Pool 510844 |
8.00 | % | 12/15/2029 | 1 | *** | 1 | ||||||||||||||
GNMA Pool 533946 |
6.50 | % | 4/15/2032 | 4 | *** | 5 | ||||||||||||||
GNMA Pool 550887 |
5.00 | % | 8/15/2035 | 16 | *** | 17 | ||||||||||||||
GNMA Pool 551077 |
6.50 | % | 11/15/2031 | 6 | *** | 7 | ||||||||||||||
GNMA Pool 551120 |
6.50 | % | 8/15/2031 | 23 | *** | 26 | ||||||||||||||
GNMA Pool 552571 |
6.50 | % | 5/15/2032 | 6 | *** | 6 | ||||||||||||||
GM Financial |
2.46 | % | 7/17/2023 | 300 | *** | 296 | ||||||||||||||
GNMA Pool 622278 |
5.00 | % | 4/15/2035 | 10 | *** | 11 | ||||||||||||||
GNMA Pool 631242 |
5.50 | % | 6/15/2035 | 63 | *** | 69 | ||||||||||||||
GNMA Pool 641601 |
5.00 | % | 3/15/2035 | 21 | *** | 22 | ||||||||||||||
GNMA Pool 646865 |
5.00 | % | 8/15/2035 | 13 | *** | 14 | ||||||||||||||
GE Commerical Mortgage |
0.00 | % | 3/10/2044 | 17,604 | *** | 0 | ||||||||||||||
General Dynamics Corp |
3.50 | % | 5/15/2025 | 1,500 | *** | 1,494 | ||||||||||||||
General Electric Co |
2.70 | % | 10/9/2022 | 875 | *** | 812 | ||||||||||||||
General Electric Co |
3.10 | % | 10/9/2022 | 459 | *** | 428 | ||||||||||||||
General Mills Inc |
4.00 | % | 4/17/2025 | 625 | *** | 615 | ||||||||||||||
Gilead Sciences Inc |
3.25 | % | 9/1/2022 | 950 | *** | 948 | ||||||||||||||
Glaxosmithkline Cap Inc |
3.63 | % | 5/15/2025 | 680 | *** | 684 | ||||||||||||||
Goldman Sachs Group Inc |
4.00 | % | 3/3/2024 | 560 | *** | 553 | ||||||||||||||
Goldman Sachs Group Inc |
2.88 | % | 3/3/2024 | 500 | *** | 491 | ||||||||||||||
Goldman Sachs Group Inc |
2.35 | % | 3/3/2024 | 815 | *** | 786 | ||||||||||||||
Government National Mortgage A |
3.50 | % | 7/20/2023 | 240 | *** | 244 | ||||||||||||||
Government National Mortgage A |
5.00 | % | 7/20/2023 | 51 | *** | 54 | ||||||||||||||
Government National Mortgage A |
2.30 | % | 7/20/2023 | 899 | *** | 832 | ||||||||||||||
Government National Mortgage A |
2.50 | % | 7/20/2023 | 1,125 | *** | 1,056 | ||||||||||||||
HSBC Holdings Plc |
3.95 | % | 5/18/2024 | 2,000 | *** | 1,989 | ||||||||||||||
Welltower Inc |
4.95 | % | 1/15/2021 | 296 | *** | 303 | ||||||||||||||
HP Enterprise |
4.40 | % | 10/15/2022 | 465 | *** | 472 | ||||||||||||||
Home Depot Inc |
2.00 | % | 4/1/2021 | 578 | *** | 567 | ||||||||||||||
Ingersoll Rand GL |
3.75 | % | 8/21/2028 | 750 | *** | 730 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-33
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
JPMorgan Chase + Co |
2.30 | % | 8/15/2021 | 820 | *** | 800 | ||||||||||||||
JPMorgan Chase + Co |
3.25 | % | 8/15/2021 | 270 | *** | 268 | ||||||||||||||
JPMorgan Chase + Co |
2.70 | % | 8/15/2021 | 250 | *** | 240 | ||||||||||||||
JPMBB Commercial Mortgage Secu |
3.05 | % | 4/15/2047 | 428 | *** | 427 | ||||||||||||||
JPMBB Commercial Mortgage Secu |
3.80 | % | 4/15/2047 | 1,000 | *** | 1,017 | ||||||||||||||
JP Morgan Mortgage Trust |
3.00 | % | 10/25/2046 | 651 | *** | 641 | ||||||||||||||
Johnson + Johnson |
1.65 | % | 3/1/2021 | 1,000 | *** | 974 | ||||||||||||||
Johnson + Johnson |
2.63 | % | 3/1/2021 | 500 | *** | 482 | ||||||||||||||
JP Morgan Chase |
2.97 | % | 8/15/2021 | 480 | *** | 468 | ||||||||||||||
KLA Tencor Corp |
4.65 | % | 11/1/2024 | 700 | *** | 717 | ||||||||||||||
Kaiser Foundation Hospit Company |
3.50 | % | 4/1/2022 | 431 | *** | 438 | ||||||||||||||
Kansas Gas + Electric Co |
6.70 | % | 6/15/2019 | 147 | *** | 149 | ||||||||||||||
Keycorp |
2.90 | % | 9/15/2020 | 750 | *** | 744 | ||||||||||||||
Ladder Captial Commercial Mort LCCM |
3.39 | % | 5/15/2031 | 580 | *** | 582 | ||||||||||||||
Lincoln National Corp |
3.80 | % | 3/1/2028 | 750 | *** | 727 | ||||||||||||||
Lloyds Banking Group Plc |
3.75 | % | 1/11/2027 | 500 | *** | 459 | ||||||||||||||
Lloyds Bank Plc Company |
5.80 | % | 1/13/2020 | 490 | *** | 502 | ||||||||||||||
McDonald S Corp |
3.70 | % | 1/30/2026 | 393 | *** | 385 | ||||||||||||||
McKesson Corp |
2.70 | % | 12/15/2022 | 145 | *** | 140 | ||||||||||||||
McKesson Corp |
3.95 | % | 12/15/2022 | 750 | *** | 719 | ||||||||||||||
Medtronic Inc Company |
3.15 | % | 3/15/2022 | 565 | *** | 563 | ||||||||||||||
Microsoft Corp |
3.30 | % | 2/6/2027 | 1,000 | *** | 991 | ||||||||||||||
Mitsubishi UFJ Fin Grp |
2.95 | % | 3/1/2021 | 239 | *** | 237 | ||||||||||||||
Mitsubishi UFJ Fin Grp |
3.29 | % | 3/1/2021 | 500 | *** | 478 | ||||||||||||||
Morgan Stanley Baml Trust |
2.92 | % | 2/15/2047 | 149 | *** | 149 | ||||||||||||||
Morgan Stanley |
3.88 | % | 1/27/2026 | 1,250 | *** | 1,219 | ||||||||||||||
Morgan Stanley |
5.63 | % | 1/27/2026 | 250 | *** | 254 | ||||||||||||||
Nationwide Financial Ser |
5.38 | % | 3/25/2021 | 329 | *** | 341 | ||||||||||||||
NBCUniversal Media |
4.38 | % | 4/1/2021 | 409 | *** | 419 | ||||||||||||||
Niagara Mohawk Power |
3.51 | % | 10/1/2024 | 735 | *** | 739 | ||||||||||||||
Nordea Bank ABP |
2.50 | % | 9/17/2020 | 830 | *** | 819 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-34
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Nordea Bank ABP Subordinated |
4.88 | % | 9/17/2020 | 500 | *** | 509 | ||||||||||||||
Oracle Corp |
3.40 | % | 7/8/2024 | 875 | *** | 873 | ||||||||||||||
PNC Bank |
3.80 | % | 7/25/2023 | 520 | *** | 522 | ||||||||||||||
PNC Bank |
2.20 | % | 7/25/2023 | 635 | *** | 635 | ||||||||||||||
Penske Truck Leasing |
4.20 | % | 4/1/2027 | 250 | *** | 244 | ||||||||||||||
Qualcomm Inc |
2.90 | % | 5/20/2024 | 1,000 | *** | 952 | ||||||||||||||
Province of Quebec |
2.75 | % | 8/25/2021 | 390 | *** | 390 | ||||||||||||||
Shell International Fin Company |
2.25 | % | 1/6/2023 | 950 | *** | 914 | ||||||||||||||
Small Business Administration |
2.86 | % | 3/1/2020 | 76 | *** | 76 | ||||||||||||||
Small Business Administration |
2.87 | % | 3/1/2020 | 74 | *** | 74 | ||||||||||||||
Small Business Administration |
2.44 | % | 3/1/2020 | 163 | *** | 162 | ||||||||||||||
Small Business Administration |
1.97 | % | 3/1/2020 | 121 | *** | 121 | ||||||||||||||
Small Business Administration |
2.21 | % | 3/1/2020 | 449 | *** | 437 | ||||||||||||||
Small Business Administration |
3.11 | % | 3/1/2020 | 626 | *** | 627 | ||||||||||||||
Small Business Administration |
2.87 | % | 3/1/2020 | 417 | *** | 415 | ||||||||||||||
Small Business Administration |
2.88 | % | 3/1/2020 | 388 | *** | 386 | ||||||||||||||
Small Business Administration |
2.72 | % | 3/1/2020 | 322 | *** | 314 | ||||||||||||||
Small Business Administration |
2.77 | % | 3/1/2020 | 426 | *** | 416 | ||||||||||||||
Small Business Administration |
2.88 | % | 3/1/2020 | 856 | *** | 842 | ||||||||||||||
Small Business Administration |
2.82 | % | 3/1/2020 | 559 | *** | 548 | ||||||||||||||
Small Business Administration |
2.82 | % | 3/1/2020 | 561 | *** | 550 | ||||||||||||||
Small Business Administration |
2.70 | % | 3/1/2020 | 734 | *** | 713 | ||||||||||||||
Small Business Administration |
2.27 | % | 3/1/2020 | 835 | *** | 795 | ||||||||||||||
State Street Corp |
3.30 | % | 12/16/2024 | 575 | *** | 570 | ||||||||||||||
Sumitomo Mitsui Finl Grp |
2.63 | % | 7/14/2026 | 500 | *** | 457 | ||||||||||||||
Suntrust Banks Inc |
2.90 | % | 3/3/2021 | 250 | *** | 248 | ||||||||||||||
Svenska Handelsbanken Ab |
2.25 | % | 6/17/2019 | 630 | *** | 627 | ||||||||||||||
Svenska Handelsbanken Ab |
2.45 | % | 6/17/2019 | 500 | *** | 490 | ||||||||||||||
Warner Media LLC |
4.00 | % | 1/15/2022 | 70 | *** | 71 | ||||||||||||||
Warner Media LLC |
3.55 | % | 1/15/2022 | 400 | *** | 386 | ||||||||||||||
Time Warner Cable LLC |
8.25 | % | 4/1/2019 | 283 | *** | 286 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-35
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Toyota Motor Credit Corp |
3.20 | % | 1/11/2027 | 694 | *** | 674 | ||||||||||||||
Toyota Motor Credit Corp |
2.90 | % | 1/11/2027 | 500 | *** | 487 | ||||||||||||||
21st Century Fox America Company |
4.50 | % | 2/15/2021 | 650 | *** | 667 | ||||||||||||||
UBS AG Stamford Ct |
2.38 | % | 8/14/2019 | 1,115 | *** | 1,110 | ||||||||||||||
US Bancorp |
3.15 | % | 4/27/2027 | 1,000 | *** | 958 | ||||||||||||||
US Treasury N/B |
1.50 | % | 7/15/2020 | 7,000 | *** | 6,890 | ||||||||||||||
US Treasury N/B |
1.88 | % | 7/15/2020 | 8,000 | *** | 7,834 | ||||||||||||||
US Treasury N/B |
2.88 | % | 7/15/2020 | 2,500 | *** | 2,539 | ||||||||||||||
US Treasury N/B |
1.63 | % | 7/15/2020 | 5,250 | *** | 5,198 | ||||||||||||||
US Treasury N/B |
1.38 | % | 7/15/2020 | 5,000 | *** | 4,927 | ||||||||||||||
US Treasury N/B |
1.38 | % | 7/15/2020 | 5,000 | *** | 4,898 | ||||||||||||||
US Treasury N/B |
1.63 | % | 7/15/2020 | 4,574 | *** | 4,282 | ||||||||||||||
US Treasury N/B |
1.13 | % | 7/15/2020 | 5,000 | *** | 4,856 | ||||||||||||||
US Treasury N/B |
1.63 | % | 7/15/2020 | 2,000 | *** | 1,929 | ||||||||||||||
US Treasury N/B |
1.63 | % | 7/15/2020 | 2,500 | *** | 2,335 | ||||||||||||||
US Treasury N/B |
1.75 | % | 7/15/2020 | | *** | | ||||||||||||||
US Treasury N/B |
1.13 | % | 7/15/2020 | 8,000 | *** | 7,730 | ||||||||||||||
US Treasury N/B |
1.00 | % | 7/15/2020 | 6,750 | *** | 6,678 | ||||||||||||||
United Technologies Corp |
3.13 | % | 5/4/2027 | 1,000 | *** | 924 | ||||||||||||||
UnitedHealth Group Inc |
2.13 | % | 3/15/2021 | 500 | *** | 490 | ||||||||||||||
UnitedHealth Group Inc |
3.38 | % | 3/15/2021 | 555 | *** | 543 | ||||||||||||||
Univ of California CA Revenues |
3.06 | % | 7/1/2025 | 500 | *** | 493 | ||||||||||||||
Verizon Communications |
4.33 | % | 9/21/2028 | 721 | *** | 724 | ||||||||||||||
Virginia Elec + Power Co |
3.50 | % | 3/15/2027 | 500 | *** | 492 | ||||||||||||||
Vodafone Group |
4.13 | % | 5/30/2025 | 1,000 | *** | 988 | ||||||||||||||
GSTIF 25 Bps |
2.14 | % | 12/31/2050 | *** | *** | 15,866 | ||||||||||||||
Walmart Inc |
3.30 | % | 4/22/2024 | 380 | *** | 381 | ||||||||||||||
Wells Fargo + Company |
2.50 | % | 3/4/2021 | 1,000 | *** | 984 | ||||||||||||||
Wells Fargo + Company |
3.30 | % | 3/4/2021 | 1,030 | *** | 996 | ||||||||||||||
Westlake Chemical Corp |
3.60 | % | 7/15/2022 | 576 | *** | 570 | ||||||||||||||
WF RBS Commercial Mortgage Tru |
2.86 | % | 3/15/2047 | 99 | *** | 99 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
(aa) | Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
(bb) | Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (BNY) Bond fund: American General Life #1646368, American General Life #1635582, RGA #RGA00058 and Prudential #GA62433 |
See accompanying Report of Independent Registered Public Accounting Firm.
F-36
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date | (d) Cost | (e) Current Value |
||||||||||||||||||
Xcel Energy Inc |
3.35 | % | 12/1/2026 | 1,000 | *** | 970 | ||||||||||||||||
Glencore Finance Canada Company |
4.25 | % | 10/25/2022 | 550 | *** | 548 | ||||||||||||||||
Yara International Asa |
7.88 | % | 6/11/2019 | 285 | *** | 290 | ||||||||||||||||
|
|
|||||||||||||||||||||
|
Subtotal HIMCO Bond Fund |
|
$ | 220,225 | ||||||||||||||||||
|
|
|||||||||||||||||||||
Interest Rate | Maturity | Par Value |
||||||||||||||||||||
Shared Holdings (bb) - BNY Mellon Bond Fund | ||||||||||||||||||||||
BlackRock |
BlackRock 1-3 Year Credit Bond Index Fund | *** | 38,679 | |||||||||||||||||||
BlackRock |
BlackRock Asset-Backed Securities Index Fund | *** | 26,043 | |||||||||||||||||||
BlackRock |
BlackRock Intermediate Term Credit Bond Index Fund | *** | 11,541 | |||||||||||||||||||
BlackRock |
BlackRock Mortgage-Backed Securities Index Fund | *** | 33,636 | |||||||||||||||||||
BlackRock |
BlackRock Commercial Mortgage-Backed Securities Fund | *** | 5,101 | |||||||||||||||||||
BlackRock |
BlackRock Intermediate Government Bond Index Fund | *** | 6,021 | |||||||||||||||||||
BlackRock |
BlackRock 1-3 Year Government Bond Index Fund | *** | 24,384 | |||||||||||||||||||
AEP Texas Central Transition F |
1.98 | % | 6/1/2021 | 1,275 | *** | 1,263 | ||||||||||||||||
American Express Credit Accoun |
1.64 | % | 12/15/2021 | 2,550 | *** | 2,538 | ||||||||||||||||
Appalachian Consumer Rate Reli |
2.01 | % | 2/1/2024 | 1,405 | *** | 1,378 | ||||||||||||||||
CarMax Auto Owner Trust |
1.40 | % | 8/15/2021 | 2,318 | *** | 2,291 | ||||||||||||||||
CarMax Auto Owner Trust |
1.52 | % | 8/15/2021 | 766 | *** | 762 | ||||||||||||||||
Citibank Credit Card Issuance |
1.74 | % | 1/19/2021 | 3,400 | *** | 3,398 | ||||||||||||||||
Citigroup Commercial Mortgage |
1.61 | % | 2/10/2049 | 984 | *** | 973 | ||||||||||||||||
CNH Equipment Trust |
2.08 | % | 12/15/2021 | 1,550 | *** | 1,530 | ||||||||||||||||
CNH Equipment Trust |
1.44 | % | 12/15/2021 | 1,129 | *** | 1,116 | ||||||||||||||||
Comm Mortgage Trust |
3.15 | % | 2/10/2049 | 1,048 | *** | 1,047 | ||||||||||||||||
CSAIL Commercial Mortgage Trus |
2.97 | % | 11/15/2048 | 2,690 | *** | 2,679 | ||||||||||||||||
Duke Energy Fl Proj Fin |
1.73 | % | 9/1/2024 | 1,750 | *** | 1,707 |
* | 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
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Discover Card Execution Note |
0.00 | % | 2/15/2023 | 1,129 | *** | 1,129 | ||||||||||||||
Fannie Mae |
2.00 | % | 8/25/2026 | 0 | *** | 0 | ||||||||||||||
Fannie Mae |
4.50 | % | 8/25/2026 | 864 | *** | 899 | ||||||||||||||
Fannie Mae |
2.00 | % | 8/25/2026 | 1,600 | *** | 1,569 | ||||||||||||||
Fannie Mae |
3.00 | % | 8/25/2026 | 1,008 | *** | 1,004 | ||||||||||||||
Fannie Mae |
4.50 | % | 8/25/2026 | 1,530 | *** | 1,562 | ||||||||||||||
Fannie Mae |
2.25 | % | 8/25/2026 | 797 | *** | 786 | ||||||||||||||
Fannie Mae |
4.00 | % | 8/25/2026 | 242 | *** | 243 | ||||||||||||||
FNMA Pool Ma1341 |
2.50 | % | 2/1/2023 | 438 | *** | 435 | ||||||||||||||
Freddie Mac |
4.00 | % | 8/15/2025 | 2,115 | *** | 2,166 | ||||||||||||||
Freddie Mac |
3.00 | % | 8/15/2025 | 394 | *** | 393 | ||||||||||||||
Freddie Mac |
3.00 | % | 8/15/2025 | 155 | *** | 155 | ||||||||||||||
Freddie Mac |
2.50 | % | 8/15/2025 | 123 | *** | 123 | ||||||||||||||
Freddie Mac |
2.00 | % | 8/15/2025 | 162 | *** | 161 | ||||||||||||||
Freddie Mac |
2.00 | % | 8/15/2025 | 611 | *** | 604 | ||||||||||||||
Freddie Mac |
2.00 | % | 8/15/2025 | 1,793 | *** | 1,770 | ||||||||||||||
Freddie Mac |
3.00 | % | 8/15/2025 | 793 | *** | 808 | ||||||||||||||
Freddie Mac |
4.00 | % | 8/15/2025 | 1,575 | *** | 1,618 | ||||||||||||||
Freddie Mac |
4.00 | % | 8/15/2025 | 1,890 | *** | 1,941 | ||||||||||||||
Government National Mortgage A |
3.00 | % | 7/20/2023 | 2,122 | *** | 2,120 | ||||||||||||||
Government National Mortgage A |
3.50 | % | 7/20/2023 | 532 | *** | 532 | ||||||||||||||
Government National Mortgage A |
3.00 | % | 7/20/2023 | 399 | *** | 399 | ||||||||||||||
Government National Mortgage A |
3.50 | % | 7/20/2023 | 2,900 | *** | 2,953 | ||||||||||||||
Government National Mortgage A |
3.00 | % | 7/20/2023 | 1,483 | *** | 1,472 | ||||||||||||||
Government National Mortgage A |
1.00 | % | 7/20/2023 | 305 | *** | 299 | ||||||||||||||
Government National Mortgage A |
2.00 | % | 7/20/2023 | 1,957 | *** | 1,908 | ||||||||||||||
Government National Mortgage A |
2.00 | % | 7/20/2023 | 1,438 | *** | 1,404 | ||||||||||||||
Government National Mortgage A |
3.00 | % | 7/20/2023 | 225 | *** | 224 | ||||||||||||||
Government National Mortgage A |
0.00 | % | 7/20/2023 | 2,247 | *** | 2,303 | ||||||||||||||
Government National Mortgage A |
0.00 | % | 7/20/2023 | 997 | *** | 975 | ||||||||||||||
Gstif 25 Bps |
2.14 | % | *** | 2,148 |
* | 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
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2018
($ IN THOUSANDS)
(a) |
(b) Identity of issue, borrorwer, lessor, or similar party |
(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date |
(d) Cost | (e) Current Value |
||||||||||||||||
Mercedes Benz Auto Receivables |
1.26 | % | 2/16/2021 | 841 | *** | 834 | ||||||||||||||
Mercedes Benz Auto Receivables |
3.03 | % | 2/16/2021 | 2,000 | *** | 2,004 | ||||||||||||||
Morgan Stanley Baml Trust |
2.92 | % | 2/15/2047 | 149 | *** | 324 | ||||||||||||||
Morgan Stanley Capital I Trust |
3.32 | % | 12/15/2051 | 3,250 | *** | 3,270 | ||||||||||||||
Public Service New Hampshire |
3.09 | % | 2/1/2026 | 2,500 | *** | 2,515 | ||||||||||||||
UBS Commercial Mortgage Trust |
3.40 | % | 5/10/2045 | 3,210 | *** | 3,229 | ||||||||||||||
US Treasury N/B |
0.88 | % | 7/15/2020 | 3,003 | *** | 2,966 | ||||||||||||||
US Treasury N/B |
0.75 | % | 7/15/2020 | 5,709 | *** | 5,654 | ||||||||||||||
Wells Fargo Commercial Mortgag |
2.50 | % | 10/15/2049 | 3,575 | *** | 3,525 | ||||||||||||||
Prudential |
0.00 | % | 12,759 | *** | 174,339 | |||||||||||||||
|
|
|||||||||||||||||||
|
Subtotal Shared Holdings (bb) - BNY Mellon Bond Fund |
$ | 398,853 | |||||||||||||||||
|
|
|||||||||||||||||||
State Street Cash Fund STIF |
||||||||||||||||||||
Gstif 25 Bps Gstif 25 Bps |
*** | 24,149 | ||||||||||||||||||
|
|
|||||||||||||||||||
|
Subtotal State Street Cash Fund STIF |
$ | 24,149 | |||||||||||||||||
|
|
|||||||||||||||||||
The Hartford Stock Fund |
||||||||||||||||||||
GSTIF 25 BPS GSTIF 25 BPS |
*** | 396 | ||||||||||||||||||
The Hartford Stock Fund, Common stock |
*** | 172,574 | ||||||||||||||||||
|
|
|||||||||||||||||||
|
Subtotal The Hartford Stock Fund |
$ | 172,970 | |||||||||||||||||
|
|
|||||||||||||||||||
|
GRAND TOTAL |
$ | 4,176,681 | |||||||||||||||||
|
|
* | 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
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 Ridge | |
Erin Ridge | ||
Plan Administrator | ||
June 28, 2019 |
Exhibit 23.1
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in Registration Statement Nos. 333-105706, 333-34092 and 333-157372 on Form S-8 of The Hartford Financial Services Group, Inc. of our report dated June 28, 2019, relating to the financial statements and supplemental schedule of The Hartford Investment and Savings Plan, appearing in this Annual Report on Form 11-K of The Hartford Investment and Savings Plan for the year ended December 31, 2018.
/s/ DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 28, 2019