Form 11-K
Table of Contents

 

 

FORM 11-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

(Mark One)

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

For the fiscal year ended December 31, 2014

OR

 

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

For the transition period from                      to                     

Commission file number 001-13958

 

 

 

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

THE HARTFORD INVESTMENT AND SAVINGS PLAN

 

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

THE HARTFORD FINANCIAL SERVICES GROUP, INC.

One Hartford Plaza, Hartford, Connecticut 06155

 

 

 


Table of Contents

The Hartford Investment and Savings Plan

TABLE OF CONTENTS

December 31, 2014 and 2013

 

     Page No(s).  

Report of Independent Registered Public Accounting Firm

     F-1   

Financial Statements:

  

Statements of Net Assets Available for Benefits as of December 31, 2014 and 2013

     F-2   

Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2014

     F-3   

Notes to Financial Statements as of December 31, 2014 and 2013 and for the year ended December  31, 2014

     F-4 – F-15   

Supplemental Schedule:

  

Form 5500, Schedule H, Part IV, Line 4i – Schedule of Assets (Held at End of Year) as of December  31, 2014

     F-16 – F-47   

Signature

     F – 48   

Exhibits

  

Exhibit 23.1 – Consent of Independent Registered Public Accounting Firm

     F – 49   

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


Table of Contents

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Plan Administrator and Members of

The Hartford Investment and Savings Plan

Hartford, Connecticut

We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the “Plan”) as of December 31, 2014 and 2013, and the related statement of changes in net assets available for benefits for the year ended December 31, 2014. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits.

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

In our opinion, such financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2014 and 2013, and the changes in net assets available for benefits for the year ended December 31, 2014, in conformity with accounting principles generally accepted in the United States of America.

The supplemental schedule of assets (held at end of year) as of December 31, 2014, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedule should be reconciled to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.

DELOITTE & TOUCHE LLP

Hartford, Connecticut

June 29, 2015

 

F-1


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS

AS OF DECEMBER 31, 2014 AND 2013

($ IN THOUSANDS)

 

     2014     2013  

Assets

    

Investments, at fair value:

    

The Hartford Stock Fund, common stock 5,316,940 and 5,940,444 shares at December 31, 2014 and 2013, respectively

   $ 221,663      $ 215,222   

The Hartford Index Fund

     368,163        317,940   

Separately managed accounts

     439,180        448,541   

Collective investment trusts

     849,637        748,320   

Mutual funds

     899,477        902,626   

Pooled temporary investments

     17,091        21,021   

Fully benefit-responsive investment contracts with financial institutions, Stable Value Fund

     695,630        706,858   
  

 

 

   

 

 

 

Total investments

  3,490,841      3,360,528   

Receivables:

Notes receivable from participants

  57,145      54,333   

Dividends and interest receivable

  5,431      4,665   
  

 

 

   

 

 

 

Total receivables

  62,576      58,998   
  

 

 

   

 

 

 

Total assets

  3,553,417      3,419,526   

Liabilities

Investment management expenses payable

  613      766   

Administrative expenses payable

  43      50   
  

 

 

   

 

 

 

Total liabilities

  656      816   

Net assets available for benefits at fair value

  3,552,761      3,418,710   

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

  (21,756   (19,299
  

 

 

   

 

 

 

Net assets available for benefits

$ 3,531,005    $ 3,399,411   
  

 

 

   

 

 

 

See Notes to Financial Statements.

 

F-2


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS

FOR THE YEAR ENDED DECEMBER 31, 2014

($ IN THOUSANDS)

 

     2014  

Investment gain:

  

Net appreciation in fair value of investments

   $ 232,410   

Dividends

     6,323   
  

 

 

 

Total investment gain

  238,733   
  

 

 

 

Interest income on notes receivable from participants

  2,343   
  

 

 

 

Contributions:

Employee contributions

  129,073   

Employer contributions

  109,632   

Rollover contributions

  14,256   
  

 

 

 

Total contributions

  252,961   
  

 

 

 

Total additions

  494,037   
  

 

 

 

Deductions from net assets attributed to:

Benefits paid to Members

  358,936   

Investment management fees

  3,229   

Administrative expenses

  278   
  

 

 

 

Total deductions

  362,443   
  

 

 

 

Net increase

  131,594   

Net assets available for benefits:

Beginning of year

  3,399,411   
  

 

 

 

End of year

$ 3,531,005   
  

 

 

 

See Notes to Financial Statements.

 

F-3


Table of Contents

THE HARTFORD INVESTMENT AND SAVINGS PLAN

NOTES TO FINANCIAL STATEMENTS

AS OF DECEMBER 31, 2014 AND 2013

AND FOR THE YEAR ENDED DECEMBER 31, 2014

($ IN THOUSANDS)

Note 1. Description of the Plan

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

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

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

Plan Changes

See Note 11 for a general description of amendments made to the Plan Document during 2014.

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 (“ERISA”).

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

Contributions

Members may elect to save a percentage of their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their savings as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, savings may be elected based on 1% to 30% of eligible compensation. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the “Code”).

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

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

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.

 

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Table of Contents

Note 1. Description of the Plan (continued)

Member Accounts

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

Vesting

Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members are 100% vested in Matching Company and non-elective Company contributions made after January 1, 2013 after two years of service.

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

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

Investment Options

As of December 31, 2014, contributions of Member savings and Company contributions may be invested in any of the twenty-two 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 Notes 3 and 10 for further discussion.

On June 28, 2013 three multi-manager equity funds were added as investment options to the Plan: a large-cap equity fund, a small/mid-cap equity fund and an international equity fund. The multi-manager funds are comprised of several underlying funds (mutual funds and separate accounts) which are not available as stand-alone options under the Plan. The large-cap equity fund is made up of the previously available Hartford Capital Appreciation HLS Fund, Hartford Dividend and Growth HLS Fund and Columbus Circle Large Cap Growth Fund. The small/mid-cap equity fund is made up of the previously available Hartford Small Company HLS Fund and Hartford Midcap HLS Fund as well as the Chartwell Investment Partners Small Cap Value Fund and LMCG Investments Mid Cap Value Fund. The international equity fund is made up of the previously available Hartford International Opportunities HLS Fund and the new Dodge & Cox International Stock Fund added during 2014.

Member Loans

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

Payment of Benefits

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

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

 

F-5


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Note 1. Description of the Plan (continued)

Forfeitures

At December 31, 2014 and 2013, forfeited non-vested account balances totaled $131 and $22, respectively.

These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2014, Matching Company contributions were reduced by $3,103 from forfeitures.

Note 2. Accounting Policies

Basis of Accounting

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

Use of Estimates

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

Investment Valuation and Income Recognition

The Plan’s investments are stated at fair value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date (See Note 5). The fair value of the common stock of HFSG is based on quoted market prices. The Hartford Index Fund, separately managed accounts, mutual funds, collective investment trusts and pooled temporary investment funds are valued at the net asset value (NAV) of shares, which represent the fair value of the underlying securities, held by the Plan at year end. The fully benefit-responsive investment contracts with financial institutions (the “Stable Value Fund”) include synthetic guaranteed investment contracts (“GICs”) whose underlying securities are stated at fair value. The GICs are stated at fair value and then adjusted to contract value as described in Note 4.

Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date.

Investment securities, in general, are exposed to various risks, such as interest rate, credit and overall market volatility. Due to the level of risk associated with certain investment securities, it is possible that changes in the values of investment securities, 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 expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment return for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan. As of December 31, 2014 and 2013 there were no unfunded commitments or redemption restrictions on collective investment trusts and mutual funds.

Payment of Benefits

Benefits paid to Members are recorded when distributed.

Contributions

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

 

F-6


Table of Contents

Note 2. Accounting Policies (continued)

Notes Receivable from Members

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

New Accounting Standards Not Yet Effective

On May 1, 2015, the Financial Accounting Standards Board issued Update No. 2015-07, Disclosures for Investments in Certain Entities That Calculate Net Asset Value per Share (or Its Equivalent) (“ASU 2014-07”) which removes the requirement to present certain investments for which the practical expedient is used to measure fair value at net asset value within the fair value hierarchy table. Retrospective application is required upon adoption.

Note 3. Investments

The following investments represented 5% or more of the Plan’s net assets available for benefits at the end of the Plan year:

 

     December 31,  
     2014      2013  

* The Hartford Stock Fund, common stock (5,316,940 and 5,940,444 shares at December 31, 2014 and 2013, respectively)

   $ 221,663       $ 215,222   

* The Hartford Index Fund

     368,163         317,940   

Collective investment trusts:

     

Vanguard Target Retirement 2025

     201,146         186,411   

Vanguard Target Retirement 2035

     196,230         174,745   

Mutual funds:

     

* Hartford Capital Appreciation HLS Fund

     **         173,372   

* Hartford Dividend and Growth HLS Fund

     **         172,662   

* Hartford International Opportunity HLS Fund

     **         171,545   

Stable Value Fund:

     

Transamerica Premier Life, Contract #MDA01097TR

     238,013         **   

 

* Indicates party-in-interest
** Investment did not represent 5% or more of the Plan’s net assets available for benefits at December 31, 2014 or December 31, 2013

For the year ended December 31, 2014, the Plan’s investments appreciated (depreciated), including gains and losses on investments bought and sold, as well as held during the year, as follows:

 

     December 31, 2014  

The Hartford Stock Fund

   $ 29,363   

The Hartford Index Fund

     43,582   

Separately managed accounts

     39,068   

Stable Value Fund

     15,892   

Mutual funds

  

Bond Investments

     2,606   

Large-Cap Equities

     33,798   

Mid-Cap Equities

     14,089   

Small-Cap Equities

     6,870   

International Equities

     (6,872

Collective investment trusts

  

Vanguard Target Retirement Funds

     54,265   

State Street Global Advisors (SSGA) Real Asset

     (251
  

 

 

 

Net appreciation in fair value of investments

$ 232,410   
  

 

 

 

 

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Note 4. Fully Benefit-Responsive Investments Contract with Financial Institutions

The Plan’s Stable Value Fund is comprised primarily of synthetic GICs. 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, also known as a wrap contract, backed by a portfolio of financial instruments which are held in a trust that are owned by the Plan. 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 $(9) at December 31, 2014 and $149 at December 31, 2013. The wrap contract provides that Members execute Plan transactions at contract value. These contracts are fully benefit-responsive and are included in the financial statements at fair value (see Note 2). Fully benefit-responsive contracts provide for a stated return on principal invested over a specified period and permit withdrawals at contract value for benefit payments, loans, or transfers. Contract value represents contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. Certain events, such as a Plan termination, divestiture or reduction in force may limit the ability of the Plan to transact at contract value or may allow for the termination of the wrapper contract at less than contract value. The Plan Sponsor does not believe that it is probable that any such events would limit the ability of the Plan to transact at contract value.

The relationship of future crediting rates and the adjustments to contract value reported on the statements of net assets available for benefits are provided through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses, defined as the difference between the market value of the underlying securities and contract value of the wrapper. Key factors that could influence future crediting rates include, but are not limited to, Plan cash flows, changes in interest rates, total return performance of the fair market value of the underlying securities within each synthetic GIC, default or credit failures of any of the securities, investment contracts, or other investments held in the associated fund 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 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 2014 or 2013.

During 2014, there were changes in contracts within the Stable Value Fund. The previous Natixis contract was replaced by an American General Life contract. The previous Blackrock portion of the Monumental contract (MDA01098TR) was moved to RGA to provide wrapper diversification to the portfolio. The previous Monumental contract (MDA01097TR) was renamed to Transamerica Premier Life when Aegon (the holding company for Monumental and Transamerica Insurance Companies) consolidated its wrap business into its Transamerica business line.

 

Average yields:

   2014     2013  

Based on annualized earnings (1)

     2.32     2.25

Based on interest rate credited to participants (2)

     2.41     2.33

 

(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, 2014 and 2013, 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, 2014 and 2013, respectively.

The following table represents the adjustment from fair value to contract value for each of the contracts as of December 31, 2014:

 

Contract Issuer

   Contract
Number
   Major
Credit
Ratings
   Investments
at Contract
Value
     Investments
at Fair
Value
     Adjustment from
Fair Value to
Contract Value
 

Transamerica Premier Life

   MDA01097TR    AA- / Aa2    $ 227,472       $ 238,013       $ (10,541

American General Life

   1646368    AA / Aa2      96,058         97,024         (976

American General Life

   1635582    AA+ / Aaa      63,527         63,461         66   

RGA

   RGA00058    AA / Aa2      39,401         40,994         (1,593

New York Life

   GA29021    AA+ / Aaa      88,449         91,195         (2,746

Prudential

   GA62433    AA / Aa1      158,967         164,943         (5,976
        

 

 

    

 

 

    

 

 

 

Total

$ 673,874    $ 695,630    $ (21,756
        

 

 

    

 

 

    

 

 

 

 

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Note 4. Fully Benefit-Responsive Investments Contract with Financial Institutions (continued)

The following table represents the adjustment from fair value to contract value for each of the contracts as of December 31, 2013:

 

Contract Issuer

   Contract
Number
  

Major
Credit
Ratings

   Investments
at Contract
Value
     Investments
at Fair
Value
     Adjustment from
Fair Value to
Contract Value
 

Monumental Life Insurance Company

   MDA01097TR    AA- / Aa2    $ 127,119       $ 133,755       $ (6,636

Monumental Life Insurance Company

   MDA01098TR    AA / Aa2      142,670         143,715         (1,045

American General Life

   1635582    AA+ / Aaa      82,577         83,178         (601

Natixis Financial Products Inc.

   1879-02    AA-/ Aa2      94,210         99,106         (4,896

New York Life

   GA29021    AA+ / Aaa      86,417         88,572         (2,155

Prudential

   GA62433    AA / Aa1      154,566         158,532         (3,966
        

 

 

    

 

 

    

 

 

 

Total

$ 687,559    $ 706,858    $ (19,299
        

 

 

    

 

 

    

 

 

 

Note 5. Fair Value Measurements

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

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

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

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

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

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, 2014 and 2013.

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

 

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Note 5. Fair Value Measurements (continued)

Debt Securities:

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

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

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

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

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

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

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

Stable Value Fund —

Fully benefit-responsive investment contracts with financial institutions consist of synthetic GICs which are reported at fair value. Synthetic GICs are valued at the fair value of the underlying assets derived from the exchange where the securities are primarily traded. The Plan includes the fair value estimates of the Synthetic GICs in Level 2. The fair value of the wrapper contracts associated with the synthetic GICs are based on the wrap contract fees provided by insurance companies and are disclosed in Level 3 due to the significant inputs being unobservable. The Statements of Net Assets Available for Benefits presents the fair value of the investment contracts as well as the adjustment of the fully benefit-responsive investment contracts from fair value to contract value.

Fair values for insurance company separate account GICs are calculated using the market value provided by the insurance companies that manage the underlying assets of the product.

Collective Investment Trusts — The fair value of the collective trust investments are valued at the NAV per unit as reported by the sponsor of the collective trust funds derived from the exchange where the underlying securities are primarily traded and are redeemable daily.

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

 

F-10


Table of Contents

Note 5. Fair Value Measurements (continued)

The following tables set forth by level within the fair value hierarchy a summary of the Plan’s investments measured at fair value on a recurring basis at December 31, 2014 and 2013.

The tables below include the major categorization for debt and equity securities on the basis of the nature and risk of the investments at December 31, 2014 and 2013.

 

     Investment Assets at Fair Value as of December 31, 2014  
     Active Markets
for Identical
Assets
(Level 1)
     Other
Observable
Inputs
(Level 2)
     Significant
Unobservable
Inputs
(Level 3)
     Total  

Invested Assets

           

Short Term Investments

   $ —         $ 17,091       $ —         $ 17,091   

Stable Value Fund:

           

Short Term Investments

     —           8,089         —           8,089   

Guaranteed Investment Contract

     —           91,195         —           91,195   

Debt Securities including U.S. Government

           

Securities

     1,156         595,199         (9      596,346   

Debt Securities

           

High-yield

     —           58,474         1,212         59,686   

Mutual Funds:

           

Small-Cap Equities

     84,792         —           —           84,792   

Mid-Cap Equities

     126,200         —           —           126,200   

Large-Cap Equities

     343,225         —           —           343,225   

International Equities

     181,225         —           —           181,225   

Bond Investments

     102,836         —           —           102,836   

Money Market

     61,199         —           —           61,199   

Equity Securities:

           

Company Stock

     221,663         —           —           221,663   

Large-Cap Equities

     536,370         293         —           536,663   

Mid-Cap Equities

     126,402         —           —           126,402   

Small-Cap Equities

     84,592         —           —           84,592   
Collective investment trusts:            

Target funds

     —           839,674         —           839,674   

Blended fund

     —           9,963         —           9,963   
  

 

 

    

 

 

    

 

 

    

 

 

 

Total investments at fair value [1]

$ 1,869,660    $ 1,619,978    $ 1,203    $ 3,490,841   
  

 

 

    

 

 

    

 

 

    

 

 

 

 

[1] Excludes $1,332 of dividend receivable, $2,545 of interest receivable and $1,554 of other receivables recorded at fair value.

 

F-11


Table of Contents

Note 5. Fair Value Measurements (continued)

 

     Investment Assets at Fair Value as of December 31, 2013  
     Active Markets
for Identical
Assets

(Level 1)
     Other
Observable
Inputs
(Level 2)
     Significant
Unobservable
Inputs

(Level 3)
     Total  

Short Term Investments

   $ 66,644       $ 21,021       $ —         $ 87,665   

Fixed Income Securities:

           

Stable Value Fund

           

Short Term Investments

     —           14,687         —           14,687   

Guaranteed Investment Contract

     —           88,572         —           88,572   

Debt Securities including U.S. Government

           

Securities

     —           603,450         149         603,599   

Bond Investments

     96,914         58,951         2,374         158,239   

Equity Securities:

           

Company Stock

     215,222         —           —           215,222   

Large-Cap Equities

     516,273         325,011         —           841,284   

Mid-Cap Equities

     263,013         —           —           263,013   

Small-Cap Equities

     175,453         —           —           175,453   

International Equities

     171,545         —           —           171,545   

Vanguard Retirement Funds

     —           741,249         —           741,249   
  

 

 

    

 

 

    

 

 

    

 

 

 

Total investments at fair value [2]

$ 1,505,064    $ 1,852,941    $ 2,523    $ 3,360,528   
  

 

 

    

 

 

    

 

 

    

 

 

 

 

[2] Excludes $1,366 of dividend receivable, $2,376 of interest receivable and $923 of other receivables 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, 2014 and 2013 there were no transfers between Levels 1 and Levels 2.

 

F-12


Table of Contents

Note 5. Fair Value Measurements (continued)

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

The tables below set forth a summary of changes in the fair value of the Plan’s Level 3 investments for the years ended December 31, 2014 and 2013. As reflected in the table below, the net unrealized gain/(loss) on Level 3 investment assets was $(550) and $(522) as of December 31, 2014 and 2013, respectively.

 

     Level 3 Investment Assets and Investment Liabilities
Year Ended December 31, 2014
 
     Stable Value Fund      Bond Investments      Total  

Balance, beginning of year

   $ 149       $ 2,374       $ 2,523   

Realized gains/(losses), net

     —           (567      (567

Change in unrealized gains/(losses), net

     (158      (392      (550

Purchases

     —           1,123         1,123   

Issuances

     —           —           —     

Settlements

     —           —           —     

Sales

     —           (1,326      (1,326

Transfers in to Level 3

     —           —           —     

Transfers out of Level 3

     —           —           —     
  

 

 

    

 

 

    

 

 

 

Balance, end of year

$ (9 $ 1,212    $ 1,203   
  

 

 

    

 

 

    

 

 

 
     Level 3 Investment Assets and Investment Liabilities
Year Ended December 31, 2013
 
     Stable Value Fund      Bond Investments      Total  

Balance, beginning of year

   $ 570       $ 1,127       $ 1,697   

Realized gains/(losses), net

     —           13         13   

Change in unrealized gains/(losses), net

     119         (641      (522

Purchases

     —           2,954         2,954   

Issuances

     —           —           —     

Settlements

     —           —           —     

Sales

     —           (1,079      (1,079

Transfers in to Level 3

     —           —           —     

Transfers out of Level 3

     (540      —           (540
  

 

 

    

 

 

    

 

 

 

Balance, end of year

$ 149    $ 2,374    $ 2,523   
  

 

 

    

 

 

    

 

 

 

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.

For the year ended December 31, 2014 there were no transfers in or out of Level 3. During the year ended December 31, 2013 transfers out of Level 3 are primarily attributable to the availability of market observable information and the re-evaluation of the observability of pricing inputs.

 

F-13


Table of Contents

Note 6. Derivative Financial Instruments

Futures Contracts — The Plan enters into futures contracts as part of the Stable Value Fund in the normal course of its investing activities to manage market risk associated with the Plan’s fixed-income investments and to achieve overall investment portfolio objectives. These contracts involve elements of market risk in excess of amounts recognized in the statements of net assets available for benefits. The credit risk associated with these contracts is minimal, as they are traded on organized exchanges and settled daily. The current day’s gains and losses are classified as derivatives receivable/payable for the investment portfolio, with a value of $2 and $0 at December 31, 2014 and December 31, 2013, respectively.

During 2014 and 2013, the Plan was a party to futures contracts held for trading purposes for U.S. Treasury bonds. Upon entering into a futures contract, the Plan is required to deposit either in cash or securities an amount (“initial margin”) equal to a certain percentage of the nominal value of the contract. Subsequent payments are then made or received by the Plan, depending on the daily fluctuation in the value of the underlying contracts. Short-term investments owned and included in the investments of the Plan, with a value of $50 at December 31, 2014 and U.S. Treasury bills owned and included in the investments of the Plan with a value of $377 at December 31, 2013, were held by the Plan’s brokers as performance security on futures contracts.

At December 31, 2014 and 2013, the Plan had futures contracts to purchase or sell U.S. Treasury bonds contracts.

The fair value of futures contracts in the statements of net assets available for benefits is zero at December 31, 2014 and 2013, as cash settlements are done daily. Changes in fair value are accounted for as net depreciation in fair value of investments. For the year ended December 31, 2014 the net gain related to future contracts was $121.

Note 7. Federal Income Tax Status

The Internal Revenue Service (IRS) has determined and informed the Company by letter dated September 23, 2013 that the Plan and related Trust are designed in accordance with applicable sections of the Code. The Plan has been amended since receiving the determination letter. The Company and the Plan Administrator believe that the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code and the Plan and related Trust continue to be tax-exempt. Therefore, no provision for income taxes has been included in the Plan’s financial statements.

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 2011.

Note 8. Plan Termination

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

Note 9. 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, 2014 and 2013:

 

     2014      2013  

Net assets available for benefits per accompanying financial statements

   $ 3,531,005       $ 3,399,411   

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

     21,756         19,299   
  

 

 

    

 

 

 

Net assets per Form 5500

$ 3,552,761    $ 3,418,710   
  

 

 

    

 

 

 

 

F-14


Table of Contents

Note 9. Reconciliation of Financial Statements to Form 5500 (continued)

The following is a reconciliation of total investment gain and contributions on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2014:

 

Total investment gain and contributions per accompanying financial statements

$  494,037   

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

  (19,299

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

  21,756   
  

 

 

 

Total income per Form 5500

$ 496,494   
  

 

 

 

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, 2014:

 

Benefits paid to Members per accompanying financial statements

$  358,936   

Deduct corrective distributions

  1   

Deduct amounts allocated to deemed loan distributions

  78   
  

 

 

 

Benefits paid to Members per Form 5500

$ 358,857   
  

 

 

 

Note 10. 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 $61 for the year ended December 31, 2014. Fees paid by the Plan to a subsidiary of the Company pursuant to a group annuity contract issued by a subsidiary, for The Hartford Index Fund, amounted to $57 for the year ended December 31, 2014. In addition, certain Plan investments are shares of mutual funds that are sponsored by The Hartford and shares of Hartford Stock. At December 31, 2014 and 2013, the Plan held 5,316,940 shares and 5,940,444 shares of Hartford Stock with a cost basis of $177,210 and $197,973, respectively. During the year ended December 31, 2014, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of $6,945.

Note 11. Plan Amendments and Other Changes

Effective June 26, 2013 (executed December 18, 2014), the Plan was amended to reflect changes to the definition of spouse for federal law purposes as set forth in the Windsor decision.

Effective April 1, 2014, there is no minimum amount for an in-service withdrawal (prior to April 1, 2014, there was a minimum withdrawal amount of $0.5, other than for hardship withdrawals).

Effective April 1, 2014, monthly periodic installment payments may be made to a Member, Deferred Member or Beneficiary who has attained age 55 and terminated employment in an amount requested by an investment manager appointed by, and with the consent of, a Member, Deferred Member or Beneficiary in accordance with Plan rules.

Effective April 1, 2014, the Plan was amended to clarify that the Plan Administrator has the full discretionary authority to determine all questions and to make all factual determinations regarding the correction of errors that result from the operation of Investment Options.

Note 12. Subsequent Events

For the year ended December 31, 2014, subsequent events were evaluated through the date the financial statements were issued.

******

 

F-15


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date, rate of

interest, collateral, par or maturity value

   (d) Cost   (e) Current
value
 
   The Hartford Stock Fund        
*    The Hartford   

The Hartford Stock Fund, common stock (5,316,940 shares)

   ***   $ 221,663   
*    State Street Bank and Trust   

State Street Cash Fund – STIF

   ***     687   
          

 

 

 
Subtotal Stock Fund   222,350   
          

 

 

 
Mutual Funds:
Total Return Bond HLS Fund
* The Hartford

Hartford Series Fund, Inc. Total Return Bond HLS Fund, Class IA shares

***   102,836   
Dividend and Growth HLS Fund
* The Hartford

Hartford Series Fund, Inc. Dividend and Growth HLS Fund, Class IA shares

***   171,250   
International Opportunities HLS Fund
* The Hartford

Hartford Series Fund, Inc. International Opportunities HLS Fund, Class IA shares

***   90,771   
Dodge & Cox International Stock Fund
Dodge & Cox

Dodge & Cox International Stock Fund, Class IA shares

***   90,454   
Capital Appreciation HLS Fund
* The Hartford

Hartford Series Fund, Inc. Capital Appreciation HLS Fund, Class IA shares

***   171,975   
Small Company HLS Fund
* The Hartford

Hartford Series Fund, Inc. Small Company HLS Fund, Class IA shares

***   84,792   
MidCap HLS Fund
* The Hartford

Hartford Series Fund, Inc. MidCap HLS Fund, Class IA shares

***   126,200   
Prime Money Market
Vanguard

Vanguard Prime Money Market

***   61,199   
          

 

 

 
Subtotal Mutual Funds   899,477   
          

 

 

 

 

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

 

F-16


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

 

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date, rate of

interest, collateral, par or maturity value

   (d) Cost   (e) Current
value
 
  Collective Investment Trusts:        
  Real Asset        
*   SSGA    SSGA Real Asset Fund    ***   $ 9,963   
  Target Retirement Income Fund        
  Vanguard    Vanguard Target Retirement Income Fund    ***     35,316   
  Target Retirement 2010 Fund        
  Vanguard    Vanguard Target Retirement 2010 Fund    ***     12,033   
  Target Retirement 2015 Fund        
  Vanguard    Vanguard Target Retirement 2015 Fund    ***     103,147   
  Target Retirement 2020 Fund        
  Vanguard    Vanguard Target Retirement 2020 Fund    ***     52,001   
  Target Retirement 2025 Fund        
  Vanguard    Vanguard Target Retirement 2025 Fund    ***     201,146   
  Target Retirement 2030 Fund        
  Vanguard    Vanguard Target Retirement 2030 Fund    ***     51,671   
  Target Retirement 2035 Fund        
  Vanguard    Vanguard Target Retirement 2035 Fund    ***     196,230   
  Target Retirement 2040 Fund        
  Vanguard    Vanguard Target Retirement 2040 Fund    ***     38,082   
  Target Retirement 2045 Fund        
  Vanguard    Vanguard Target Retirement 2045 Fund    ***     102,547   
  Target Retirement 2050 Fund        
  Vanguard    Vanguard Target Retirement 2050 Fund    ***     32,303   
  Target Retirement 2055 Fund        
  Vanguard    Vanguard Target Retirement 2055 Fund    ***     9,205   
  Target Retirement 2060 Fund        
  Vanguard    Vanguard Target Retirement 2060 Fund    ***     5,993   
         

 

 

 
Subtotal Collective Investment Trusts   849,637   
         

 

 

 

 

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

 

F-17


Table of Contents

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 

*

   The Hartford    Index Fund     
   Equity Securities        
   ADT (The) Corp.       ***   $ 127   
   Aflac, Inc.       ***     570   
   AGL Resources, Inc.       ***     131   
   AES (The) Corp.       ***     182   
   AT&T, Inc.       ***     3,475   
   Abbott Laboratories       ***     1,351   
   AbbVie, Inc.       ***     2,082   
   Adobe Systems, Inc.       ***     688   
   Aetna, Inc.       ***     624   
   Affiliated Managers Group, Inc.       ***     237   
   Agilent Technologies, Inc.       ***     273   
   Air Products & Chemicals, Inc.       ***     555   
   Airgas, Inc.       ***     155   
   Akamai Technologies, Inc.       ***     224   
   Alcoa, Inc.       ***     374   
   Alexion Pharmaceuticals, Inc.       ***     733   
   Allegheny Technologies, Inc.       ***     76   
   Allergan, Inc.       ***     1,264   
   Alliance Data Systems Corp.       ***     366   
   Allstate (The) Corp.       ***     609   
   Altera Corp.       ***     225   
   Altria Group, Inc.       ***     1,942   
   Amazon.com, Inc.       ***     2,352   
   Ameren Corp.       ***     224   
   American Electric Power Co., Inc.       ***     593   
   American Express Co.       ***     1,650   
   American International Group, Inc.       ***     1,586   
   American Tower Corp. REIT       ***     780   
   AmerisourceBergen Corp.       ***     375   
   Ameriprise Financial, Inc.       ***     489   
   AMETEK, Inc.       ***     258   
   Amgen, Inc.       ***     2,419   
   Amphenol Corp. Class A       ***     331   
   Anadarko Petroleum Corp.       ***     834   
   Analog Devices, Inc.       ***     344   
   Anthem, Inc.       ***     678   
   Apache Corp.       ***     472   
   Apartment Investment & Management Co. Class A REIT    ***     111   
   Apple, Inc.       ***     12,926   
   Applied Materials, Inc.       ***     607   
   Archer-Daniels-Midland Co.       ***     668   
   Assurant, Inc.       ***     116   
   Autodesk, Inc.       ***     275   
   Automatic Data Processing, Inc.       ***     802   
   AutoNation, Inc.       ***     90   
   AutoZone, Inc.       ***     395   

 

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

 

F-18


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

 

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
 

AvalonBay Communities, Inc. REIT

      ***   $ 431   
 

Avery Dennison Corp.

      ***     96   
 

Avon Products, Inc.

      ***     82   
 

BB&T Corp.

      ***     559   
 

Baker Hughes, Inc.

      ***     484   
 

Ball Corp.

      ***     188   
 

Bank of America Corp.

      ***     3,757   
 

Bank of New York Mellon Corp.

      ***     912   
 

C.R. Bard, Inc.

      ***     249   
 

Baxter International, Inc.

      ***     791   
 

Becton, Dickinson & Co.

      ***     533   
 

Bed Bath & Beyond, Inc.

      ***     283   
 

Berkshire Hathaway, Inc. Class B

      ***     5,463   
 

Best Buy Co., Inc.

      ***     227   
 

Biogen Idec, Inc.

      ***     1,600   
 

BlackRock, Inc.

      ***     908   
 

H & R Block, Inc.

      ***     186   
 

Boeing Co.

      ***     1,718   
 

BorgWarner, Inc.

      ***     250   
 

Boston Properties, Inc. REIT

      ***     392   
 

Boston Scientific Corp.

      ***     352   
 

Bristol-Myers Squibb Co.

      ***     1,954   
 

Broadcom Corp. Class A

      ***     467   
 

Brown-Forman Corp.

      ***     273   
 

CBS Corp. Class B

      ***     528   
 

CBRE Group, Inc.

      ***     192   
 

CF Industries Holdings, Inc.

      ***     273   
 

C.H. Robinson Worldwide, Inc.

      ***     221   
 

CIGNA Corp.

      ***     538   
 

CME Group, Inc.

      ***     561   
 

CMS Energy Corp.

      ***     193   
 

CSX Corp.

      ***     721   
 

CVS Health Corp.

      ***     2,204   
 

CA, Inc.

      ***     197   
 

Cablevision Systems Corp.

      ***     92   
 

Cabot Oil & Gas Corp.

      ***     243   
 

Cameron International Corp.

      ***     197   
 

Campbell Soup Co.

      ***     157   
 

Capital One Financial Corp.

      ***     916   
 

Cardinal Health, Inc.

      ***     533   
 

CareFusion Corp.

      ***     243   
 

CarMax, Inc.

      ***     287   
 

Carnival Corp.

      ***     407   
 

Caterpillar, Inc.

      ***     1,106   
 

Celgene Corp.

      ***     1,784   
 

CenterPoint Energy, Inc.

      ***     202   
 

CenturyLink, Inc.

      ***     452   
 

Cerner Corp.

      ***     392   

 

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

 

F-19


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Chesapeake Energy Corp.       ***   $ 204   
   Chevron Corp.       ***     4,230   
   Chipotle Mexican Grill, Inc.       ***     424   
   Chubb Corp.       ***     506   
   Cimarex Energy Co.       ***     186   
   Cincinnati Financial Corp.       ***     174   
   Cisco Systems, Inc.       ***     2,837   
   Cintas Corp.       ***     154   
   Citigroup, Inc.       ***     3,272   
   Citrix Systems, Inc.       ***     206   
   Clorox Co.       ***     271   
   Coach, Inc.       ***     207   
   Coca-Cola Co.       ***     3,319   
   Coca-Cola Enterprises, Inc.       ***     198   
   Cognizant Technology Solutions Corp.       ***     641   
   Colgate-Palmolive Co.       ***     1,180   
   Comcast Corp. Class A       ***     2,983   
   Comerica, Inc.       ***     170   
   Computer Sciences Corp.       ***     178   
   ConAgra Foods, Inc.       ***     308   
   ConocoPhillips Holding Co.       ***     1,695   
   Consol Energy, Inc.       ***     156   
   Consolidated Edison Co. of NY       ***     387   
   Constellation Brands, Inc. Class A       ***     329   
   Corning, Inc.       ***     587   
   Costco Wholesale Corp.       ***     1,240   
   Crown Castle International Corp.       ***     523   
   Cummins, Inc.       ***     490   
   D.R. Horton, Inc.       ***     169   
   DTE Energy Co.       ***     306   
   Danaher Corp.       ***     1,042   
   Darden Restaurants, Inc.       ***     156   
   DaVita HealthCare Partners, Inc.       ***     259   
   Deere & Co.       ***     633   
   Delta Air Lines, Inc.       ***     823   
   Denbury Resources, Inc.       ***     59   
   Dentsply International, Inc.       ***     151   
   Devon Energy Corp.       ***     470   
   Diamond Offshore Drilling, Inc.       ***     50   
   Walt Disney Co.       ***     2,931   
   Discover Financial Services       ***     594   
   Discovery Communications, Inc.       ***     110   
   Discovery Communications, Inc. Series C       ***     177   
   DirecTV       ***     869   
   Dollar General Corp.       ***     428   
   Dollar Tree, Inc.       ***     290   
   Dominion Resources, Inc.       ***     894   
   Dover Corp.       ***     237   

 

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

 

F-20


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Dow Chemical Co.       ***   $ 1,010   
   Dr. Pepper Snapple Group       ***     280   
   E.I. DuPont de Nemours & Co.       ***     1,337   
   Duke Energy Corp.       ***     1,177   
   Dun & Bradstreet Corp.       ***     88   
   EMC Corp.       ***     1,207   
   EOG Resources, Inc.       ***     1,007   
   EQT Corp.       ***     228   
   E*Trade Financial Corp.       ***     141   
   Eastman Chemical Co.       ***     227   
   eBay, Inc.       ***     1,265   
   Ecolab, Inc.       ***     562   
   Edison International       ***     427   
   Edwards Lifesciences Corp.       ***     273   
   Electronic Arts, Inc.       ***     293   
   Emerson Electric Co.       ***     852   
   Entergy Corp.       ***     318   
   Equifax, Inc.       ***     195   
   Equity Residential Properties Trust REIT       ***     520   
   Essex Property Trust, Inc. REIT       ***     266   
   Exelon Corp.       ***     637   
   Expedia, Inc.       ***     169   
   Expeditors International of Washington, Inc.       ***     173   
   Express Scripts Holding Co.       ***     1,239   
   Exxon Mobil Corp.       ***     7,810   
   FLIR Systems, Inc.       ***     91   
   FMC Corp.       ***     153   
   FMC Technologies, Inc.       ***     218   
   Facebook, Inc.       ***     3,257   
   Family Dollar Stores, Inc.       ***     152   
   Fastenal Co.       ***     259   
   FedEx Corp.       ***     913   
   F5 Networks, Inc.       ***     193   
   Fidelity National Information Services, Inc.       ***     352   
   Fifth Third Bancorp       ***     336   
   First Solar, Inc.       ***     68   
   Fiserv, Inc.       ***     346   
   FirstEnergy Corp.       ***     329   
   Fluor Corp.       ***     190   
   Flowserve Corp.       ***     164   
   Ford Motor Co.       ***     1,190   
   Fossil Group, Inc.       ***     101   
   Franklin Resources, Inc.       ***     432   
   Freeport-McMoRan, Inc.       ***     486   
   Frontier Communications Co.       ***     135   
   GameStop Corp. Class A       ***     74   
   Gannett Co., Inc.       ***     145   
   Gap, Inc.       ***     225   

 

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

 

F-21


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   General Dynamics Corp.       ***   $ 866   
   General Electric Co.       ***     5,060   
   General Growth Properties, Inc.       ***     351   
   General Mills, Inc.       ***     641   
   General Motors Co.       ***     941   
   Genuine Parts Co.       ***     325   
   Genworth Financial, Inc.       ***     88   
   Gilead Sciences, Inc.       ***     2,840   
   Goldman Sachs Group, Inc.       ***     1,568   
   Goodyear (The) Tire & Rubber Co.       ***     158   
   Google, Inc. Class A       ***     3,026   
   Google, Inc. Class C       ***     2,985   
   W.W. Grainger, Inc.       ***     307   
   HCP, Inc. REIT       ***     403   
   Halliburton Co.       ***     666   
   Harley-Davidson, Inc.       ***     282   
   Harman International Industries, Inc.       ***     147   
   Harris Corp.       ***     149   
   Hasbro, Inc.       ***     125   
   Health Care REIT, Inc.       ***     496   
   Helmerich & Payne, Inc.       ***     147   
   Hershey Co.       ***     306   
   Hess Corp.       ***     376   
   Hewlett-Packard Co.       ***     1,495   
   Home Depot, Inc.       ***     2,759   
   Honeywell International, Inc.       ***     1,558   
   Hormel Foods Corp.       ***     140   
   Hospira, Inc.       ***     208   
   Host Hotels & Resorts, Inc. REIT       ***     361   
   Hudson City Bancorp, Inc.       ***     98   
   Humana, Inc.       ***     441   
   Huntington Bancshares, Inc.       ***     175   
   Illinois Tool Works, Inc.       ***     679   
   Intel Corp.       ***     3,502   
   Integrys Energy Group, Inc.       ***     125   
   Intercontinental Exchange, Inc.       ***     493   
   IBM Corp.       ***     2,945   
   International Flavors & Fragrances, Inc.       ***     166   
   International Paper Co.       ***     454   
   Interpublic Group of Cos., Inc.       ***     176   
   Intuit, Inc.       ***     526   
   Intuitive Surgical, Inc.       ***     383   
   Iron Mountain, Inc.       ***     146   
   J.P. Morgan Chase & Co.       ***     4,669   
   Jacobs Engineering Group, Inc.       ***     117   
   Johnson & Johnson       ***     5,841   
   Johnson Controls, Inc.       ***     642   
   Joy Global, Inc.       ***     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.

 

F-22


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
  

Juniper Networks, Inc.

      ***   $ 172   
  

KLA-Tencor Corp.

      ***     232   
  

Kansas City Southern

      ***     270   
  

Kellogg Co.

      ***     328   
  

Keurig Green Mountain, Inc.

      ***     322   
  

KeyCorp

      ***     244   
  

Kimberly-Clark Corp.

      ***     858   
  

Kimco Realty Corp. REIT

      ***     208   
  

Kinder Morgan, Inc.

      ***     1,436   
  

Kohl’s Corp.

      ***     247   
  

Kraft Foods Group, Inc.

      ***     736   
  

Kroger (The) Co.

      ***     631   
  

L Brands, Inc.

      ***     424   
  

L-3 Communications Holdings, Inc.

      ***     217   
  

Laboratory Corp. of America Holdings

      ***     183   
  

Lam Research Corp.

      ***     253   
  

Estee Lauder Co., Inc.

      ***     342   
  

Leggett & Platt, Inc.

      ***     118   
  

Legg Mason, Inc.

      ***     109   
  

Lennar Corp.

      ***     161   
  

Leucadia National Corp.

      ***     142   
  

Level 3 Communications, Inc.

      ***     276   
  

Eli Lilly & Co.

      ***     1,349   
  

Lincoln National Corp.

      ***     314   
  

Linear Technology Corp.

      ***     217   
  

Lockheed Martin Corp.

      ***     1,031   
  

Loews Corp.

      ***     269   
  

Lorillard, Inc.

      ***     453   
  

Lowe’s Cos., Inc.

      ***     1,335   
  

M&T Bank Corp.

      ***     332   
  

Macerich Co. REIT

      ***     236   
  

Macy’s, Inc.

      ***     454   
  

Marathon Oil Corp.

      ***     382   
  

Marathon Petroleum Corp.

      ***     506   
  

Marsh & McLennan Cos., Inc.

      ***     636   
  

Marriott International, Inc. Class A

      ***     333   
  

Martin Marietta Materials, Inc.

      ***     138   
  

Masco Corp.

      ***     180   
  

MasterCard, Inc.

      ***     1,684   
  

Mattel, Inc.

      ***     210   
  

McCormick & Co., Inc.

      ***     191   
  

McDonald’s Corp.

      ***     1,815   
  

McGraw Hill Financial, Inc.

      ***     483   
  

McKesson Corp.

      ***     959   
  

Mead Johnson Nutrition Co.

      ***     406   
  

MeadWestvaco Corp.

      ***     150   
  

Medtronic, Inc.

      ***     1,418   
  

Merck & Co., Inc.

      ***     3,231   

 

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

 

F-23


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
  

MetLife, Inc.

      ***   $ 1,244   
  

Microsoft Corp.

      ***     7,644   
  

Microchip Technology, Inc.

      ***     181   
  

Micron Technology, Inc.

      ***     752   
  

Mohawk Industries, Inc.

      ***     193   
  

Molson Coors Brewing Co.

      ***     239   
  

Mondelez International, Inc.

      ***     1,217   
  

Monsanto Co.

      ***     1,154   
  

Monster Beverage Corp.

      ***     312   
  

Moody’s Corp.

      ***     352   
  

Morgan Stanley

      ***     1,182   
  

Mosaic Co.

      ***     289   
  

Motorola Solutions, Inc.

      ***     282   
  

Murphy Oil Corp.

      ***     169   
  

Mylan, Inc.

      ***     423   
  

NRG Energy, Inc.

      ***     183   
  

NASDAQ (The) OMX Group

      ***     115   
  

National Oilwell Varco, Inc.

      ***     563   
  

Navient Corp.

      ***     178   
  

NetApp, Inc.

      ***     259   
  

Netflix, Inc.

      ***     412   
  

Newell Rubbermaid, Inc.

      ***     207   
  

Newfield Exploration Co.

      ***     76   
  

Newmont Mining Corp.

      ***     186   
  

News Corp. Class A

      ***     157   
  

NextEra Energy, Inc.

      ***     923   
  

NIKE, Inc. Class B

      ***     1,338   
  

NiSource, Inc.

      ***     269   
  

Noble Energy, Inc.

      ***     341   
  

Nordstrom, Inc.

      ***     223   
  

Norfolk Southern Corp.

      ***     678   
  

Northeast Utilities

      ***     338   
  

Northern Trust Corp.

      ***     229   
  

Northrop Grumman Corp.

      ***     595   
  

Nucor Corp.

      ***     312   
  

NVIDIA Corp.

      ***     207   
  

O’Reilly Automotive, Inc.

      ***     391   
  

Occidental Petroleum Corp.

      ***     1,247   
  

Omnicom Group, Inc.

      ***     384   
  

Oneok, Inc.

      ***     207   
  

Oracle Corp.

      ***     2,901   
  

Owens-Illinois, Inc.

      ***     90   
  

PG&E Corp.

      ***     506   
  

PNC Financial Services Group, Inc.

      ***     958   
  

PPG Industries, Inc.

      ***     634   
  

PPL Corp.

      ***     483   
  

PVH Corp.

      ***     211   
  

PACCAR, Inc.

      ***     482   

 

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

 

F-24


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Pall Corp.       ***   $ 216   
   Parker-Hannifin Corp.       ***     384   
   Patterson Cos., Inc.       ***     83   
   Paychex, Inc.       ***     302   
   People’s United Financial, Inc.       ***     96   
   Pepco Holdings, Inc.       ***     136   
   PepsiCo, Inc.       ***     2,820   
   PerkinElmer, Inc.       ***     99   
   PetSmart, Inc.       ***     162   
   Pfizer, Inc.       ***     3,917   
   Philip Morris International, Inc.       ***     2,522   
   Phillips 66       ***     793   
   Pinnacle West Capital Corp.       ***     153   
   Pioneer Natural Resources Co.       ***     443   
   Pitney Bowes, Inc.       ***     99   
   Plum Creek Timber Co., Inc. REIT       ***     151   
   Praxair, Inc.       ***     750   
   Precision Castparts Corp.       ***     684   
   T. Rowe Price Group, Inc.       ***     446   
   Priceline (The) Group, Inc.       ***     1,193   
   Principal Financial Group, Inc.       ***     304   
   Procter & Gamble Co.       ***     4,910   
   Progressive Corp.       ***     309   
   ProLogis L.P. REIT       ***     427   
   Prudential Financial, Inc.       ***     844   
   Public Service Enterprise Group, Inc.       ***     420   
   Public Storage REIT       ***     533   
   Pulte Group, Inc.       ***     144   
   QEP Resources, Inc.       ***     68   
   Qualcomm, Inc.       ***     2,465   
   Quanta Services, Inc.       ***     124   
   Quest Diagnostics, Inc.       ***     195   
   Ralph Lauren Corp.       ***     224   
   Range Resources Corp.       ***     179   
   Raytheon Co.       ***     666   
   Red Hat, Inc.       ***     260   
   Regeneron Pharmaceuticals, Inc.       ***     608   
   Regions Financial Corp.       ***     293   
   Republic Services, Inc.       ***     202   
   Reynolds American, Inc.       ***     395   
   Robert Half International, Inc.       ***     160   
   Rockwell Automation, Inc.       ***     302   
   Rockwell Collins, Inc.       ***     225   
   Roper Industries, Inc.       ***     311   
   Ross Stores, Inc.       ***     396   
   Ryder System, Inc.       ***     101   
   Safeway, Inc.       ***     163   
   St. Jude Medical, Inc.       ***     372   

 

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

 

F-25


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Salesforce.com, Inc.       ***   $ 695   
   SanDisk Corp.       ***     433   
   Scana Corp.       ***     173   
   Schlumberger Ltd.       ***     2,191   
   Charles Schwab Corp.       ***     693   
   Scripps Networks Interactive Class A       ***     152   
   Sealed Air Corp.       ***     181   
   Sempra Energy       ***     512   
   Sherwin-Williams Co.       ***     428   
   Sigma-Aldrich Corp.       ***     328   
   Simon Property Group, Inc. REIT       ***     1,127   
   J.M. Smucker Co.       ***     205   
   Snap-On, Inc.       ***     160   
   Southern Co.       ***     880   
   Southwest Airlines Co.       ***     574   
   Southwestern Energy Co.       ***     193   
   Spectra Energy Corp.       ***     485   
   Stanley Black & Decker, Inc.       ***     302   
   Staples, Inc.       ***     233   
   Starbucks Corp.       ***     1,224   
   Starwood Hotels & Resorts, Inc.       ***     290   
   State Street Corp.       ***     655   
   Stericycle, Inc.       ***     221   
   Stryker Corp.       ***     561   
   SunTrust Banks, Inc.       ***     437   
   Symantec Corp.       ***     355   
   Sysco Corp.       ***     467   
   TECO Energy, Inc.       ***     98   
   TJX Cos., Inc.       ***     942   
   Target Corp.       ***     964   
   Tenet Healthcare Corp.       ***     100   
   Teradata Corp.       ***     134   
   Tesoro Corp.       ***     189   
   Texas Instruments, Inc.       ***     1,126   
   Textron, Inc.       ***     233   
   Thermo Fisher Scientific, Inc.       ***     1,000   
   3M Co.       ***     2,100   
   Tiffany & Co.       ***     241   
   Time Warner, Inc.       ***     1,429   
   Time Warner Cable, Inc.       ***     851   
   Torchmark Corp.       ***     159   
   Total System Services, Inc.       ***     112   
   Tractor Supply Co.       ***     215   
   Travelers Cos., Inc.       ***     721   
   TripAdvisor, Inc.       ***     167   
   Twenty-First Century Fox, Inc.       ***     1,421   
   Tyson Foods, Inc. Class A       ***     236   
   U.S. Bancorp       ***     1,603   

 

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

 

F-26


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Under Armour, Inc. Class A       ***   $ 226   
   Union Pacific Corp.       ***     2,113   
   United Parcel Service, Inc. Class B       ***     1,544   
   United Rentals, Inc.       ***     205   
   U.S. Treasury       ***     293   
   United Technologies Corp.       ***     1,942   
   UnitedHealth Group, Inc.       ***     1,935   
   Universal Health Services, Inc. Class B       ***     204   
   Unum Group       ***     193   
   Urban Outfitters, Inc.       ***     71   
   V.F. Corp.       ***     514   
   Valero Energy Corp.       ***     516   
   Varian Medical Systems, Inc.       ***     172   
   Ventas, Inc. REIT       ***     421   
   VeriSign, Inc.       ***     124   
   Verizon Communications, Inc.       ***     3,872   
   Vertex Pharmaceuticals, Inc.       ***     570   
   Viacom, Inc. Class B       ***     556   
   Visa, Inc.       ***     2,556   
   Vornado Realty Trust REIT       ***     411   
   Vulcan Materials Co.       ***     173   
   Wal-Mart Stores, Inc.       ***     2,704   
   Walgreens Boots Alliance Inc.       ***     1,324   
   Waste Management, Inc.       ***     434   
   Waters Corp.       ***     188   
   Wells Fargo & Co.       ***     5,163   
   Western Digital Corp.       ***     484   
   Western Union Co.       ***     188   
   Weyerhaeuser Co. REIT       ***     378   
   Whirlpool Corp.       ***     302   
   Whole Foods Market, Inc.       ***     363   
   Williams Cos., Inc.       ***     605   
   Windstream Holdings, Inc.       ***     101   
   Wisconsin Energy Corp.       ***     239   
   Wyndham Worldwide Corp.       ***     212   
   Wynn Resorts Ltd.       ***     242   
   Xcel Energy, Inc.       ***     363   
   Xilinx, Inc.       ***     229   
   Xerox Corp.       ***     299   
   Xylem, Inc.       ***     138   
   Yahoo!, Inc.       ***     890   
   Yum! Brands, Inc.       ***     635   
   Zimmer Holdings, Inc.       ***     384   
   Zions Bancorporation       ***     118   
   Zoetis, Inc.       ***     431   
   TE Connectivity Ltd.       ***     512   
   S&P 500 (E-Mini) Future       ***     3,181   
   Actavis plc       ***     1,363   

 

* 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.

 

F-27


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

 

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
 

Allegion plc

      ***   $ 107   
 

Aon plc

      ***     554   
 

Accenture plc Class A

      ***     1,116   
 

Covidien plc

      ***     925   
 

Delphi Automotive plc

      ***     429   
 

Eaton Corp. plc

      ***     644   
 

Ensco plc

      ***     141   
 

Ingersoll-Rand plc

      ***     337   
 

Invesco Ltd.

      ***     341   
 

Mallinckrodt plc

      ***     231   
 

Michael Kors Holdings Ltd.

      ***     309   
 

Nabors Industries Ltd.

      ***     75   
 

Noble Corp. PLC

      ***     85   
 

Seagate Technology plc

      ***     436   
 

Pentair plc

      ***     248   
 

Tyco International plc

      ***     582   
 

Perrigo Co. plc

      ***     685   
 

XL Group plc

      ***     200   
 

ACE Ltd.

      ***     780   
 

Garmin Ltd.

      ***     128   
 

Transocean, Inc.

      ***     126   
 

LyondellBasell Industries Class A

      ***     660   
 

Nielsen NV

      ***     288   
 

Royal Caribbean Cruises Ltd.

      ***     276   
 

Avago Technologies Ltd.

      ***     508   
         

 

 

 
Subtotal Hartford Index Fund   368,163   
         

 

 

 

Separately managed accounts:

Columbus Circle

Columbus Circle Large Cap Growth Fund

Equity Securities

Alcoa Inc

***   2,090   

Alexion Pharmaceuticals Inc

***   989   

 

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

 

F-28


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost   (e) Current
Value
 
   Apple Inc       ***   $ 10,626   
   Biogen Idec Inc       ***     3,787   
   Bristol Myers Squibb       ***     3,663   
   Brookdale Senior Living Inc       ***     810   
   Canadian Pacific Railway LTD       ***     3,766   
   Capital One Financial Corp       ***     2,576   
   Celegene Corp       ***     1,329   
   Chipotle Mexican Grill Inc       ***     2,958   
   Constellation Brands Inc       ***     2,046   
   Delta Air Lines Inc       ***     4,687   
   Discover Financial Services       ***     4,242   
   Edwards Lifesciences Corp       ***     1,274   
   Facebook Inc       ***     5,389   
   Fleetcor Technologies Inc       ***     2,800   
   Gilead Sciences Inc       ***     7,274   
   Google Inc       ***     3,500   
   HCA Holdings Inc       ***     5,101   
   Illumina Inc       ***     1,871   
   Intuitive Surgical Inc       ***     1,758   
   Kohls Corop       ***     2,204   
   L Brands Inc       ***     2,785   
   Lam Research Corp       ***     3,141   
   Estee Lauder Companies       ***     2,158   
   Lululemon Athletica Inc       ***     881   
   Mastercard Inc       ***     5,317   
   Mcgraw Hill Financial Inc       ***     1,669   
   Mckesson Corp       ***     5,089   
   Morgan Stanley       ***     4,683   
   Nike Inc       ***     7,151   
   PPG Industries Inc       ***     6,824   
   Pioneer Natural Resources Co       ***     2,188   
   Salesforce.com Inc       ***     1,836   
   Servicenow Inc       ***     2,193   
   Splunk Inc       ***     1,861   
   Starbucks Corp       ***     4,122   
   Tableau Software Inc       ***     1,449   
   Target Corp       ***     2,330   
   Tiffany & Co       ***     1,847   
   Ulta Salon Cosmetics       ***     3,520   
   Under Armour Inc       ***     2,114   
   United Continental Holdings       ***     4,576   
   United States Steel Corp       ***     1,276   
   Visa Inc       ***     5,299   
   Western Digital Corp       ***     2,552   
   Workday Inc       ***     2,040   
   Actavis PLC       ***     4,049   
   Garmin LTD       ***     1,638   
   Lyondellbasell       ***     2,597   

 

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

 

F-29


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

    

(d) Cost

   (e) Current
Value
 
   NXP Semiconductors          ***    $ 3,048   
   Royal Caribbean Cruises LTD          ***      3,527   

*

   State Street Bank and Trust    State Street Cash Fund – STIF       ***      4,147   
                 

 

 

 
  Subtotal Columbus Circle               172,647   
                 

 

 

 

*

The Hartford ISP High Yield Bond Fund
     Bond Investments   

Interest Rate

  

Maturity

   Par Value              
  

AES Corp

   7.375%    07/01/21      279       ***      315   
  

AK Steel Corp

   8.750%    12/01/18      273       ***      287   
  

AMC Entertainment Inc

   5.875%    02/15/22      204       ***      207   
  

Access Midstream Partner Company

   4.875%    05/15/23      200       ***      203   
  

Activision Blizzard Company

   6.125%    09/05/23      125       ***      135   
  

Advanced Micro Devices

   7.000%    07/01/24      296       ***      251   
  

Air Med Hldgs LLC

   0.010%    05/21/18      447       ***      440   
  

Albea Beauty Holdings

   8.375%    11/01/19      430       ***      452   
  

Alere Inc

   7.250%    07/01/18      370       ***      385   
  

Allegiant Travel Co

   5.500%    07/15/19      158       ***      161   
  

Ally Financial Inc

   4.750%    09/10/18      280       ***      290   
  

Alcoa Inc

   6.750%    01/15/28      190       ***      214   
  

American Gilsonite Co

   11.500%    09/01/17      369       ***      363   
  

American Seafoods Grp

   10.750%    05/15/16      288       ***      258   
  

Amerigas Finance LLC

   7.000%    05/20/22      185       ***      191   
  

Antero Resources Finance Company

   6.000%    12/01/20      212       ***      211   
  

Arcelormittal

   10.350%    06/01/19      533       ***      644   
  

Ardagh

   7.000%    11/15/20      199       ***      201   
  

Ardagh Finance Holdings

   8.625%    06/15/19      219       ***      216   
  

Armored Autogroup Inc

   9.250%    11/01/18      312       ***      310   
  

Ashtead Capital Inc

   6.500%    07/15/22      270       ***      287   
  

Audatex North America

   6.000%    06/15/21      310       ***      319   
  

Avaya Inc

   9.000%    04/01/19      315       ***      322   
  

BCP Singapore

   8.000%    04/15/21      210       ***      212   
  

Blueline Rental Finance

   7.000%    02/01/19      180       ***      185   
  

Bombardier Inc

   6.125%    01/15/23      200       ***      204   
  

Breitburn

   7.875%    04/15/22      342       ***      264   
  

CCO Hldgs LLC

   6.500%    04/30/21      510       ***      536   
  

CCO Hldgs LLC

   6.625%    01/31/22      500       ***      531   
  

Cemex Finance LLC

   9.375%    10/12/22      212       ***      236   
  

CIT Group Inc

   5.000%    08/15/22      405       ***      416   
  

CIT Group Inc

   5.000%    08/01/23      221       ***      227   
  

CSC Holdings LLC

   6.750%    11/15/21      440       ***      486   
  

Calpine Corp

   7.875%    01/15/23      142       ***      157   
  

Calpine Corp

   5.875%    01/15/24      78       ***      83   
  

Cenveo Corp

   6.000%    08/01/19      436       ***      395   
  

Chassix Inc

   9.250%    08/01/18      477       ***      322   
  

Chemtura Corp

   5.750%    07/15/21      317       ***      309   
  

Chesapeake Energy Corp

   2.750%    11/15/35      265       ***      265   

 

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

 

F-30


Table of Contents

EIN# 06-0383750

Plan# 100

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

   (c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value
     (d) Cost    (e) Current
Value
 
          Interest Rate     Maturity    Par Value              
   Chesapeake Energy Corp      2.250   12/15/38      339       ***    $ 304   
   Access Midstream Partner Company      6.125   07/15/22      185       ***      197   
   Chinos Intermed Hldgs      7.750   05/01/19      410       ***      363   
   Chiquita Brands Intl      7.875   02/01/21      316       ***      340   
   Chrysler Co      8.250   06/15/21      240       ***      266   
   Frontier Communications      9.000   08/15/31      580       ***      612   
   Claires Stores Inc      9.000   03/15/19      207       ***      204   
   Iheart Communications Inc      11.250   03/01/21      295       ***      304   
   Clear Channel Communications      6.500   11/15/22      285       ***      290   
   CNL Lifestyle Properties Company      7.250   04/15/19      556       ***      564   
   HCA Inc      7.500   11/15/95      1,175       ***      1,122   
   Concho Resources Inc      7.000   01/15/21      195       ***      204   
   Consolidated Comm Co      10.875   06/01/20      260       ***      294   
   Consolidated Comm Co      6.500   10/01/22      81       ***      81   
   Crestwood Midstream Part Company      6.000   12/15/20      215       ***      206   
   Darling Ingredients Inc      5.375   01/15/22      196       ***      193   
   Davita Healthcare      5.125   07/15/24      80       ***      82   
   Dell Inc      6.500   04/15/38      170       ***      171   
   Denali Borrower      5.625   10/15/20      252       ***      262   
   Dish DBS Corp Company      6.750   06/01/21      615       ***      661   
   Quapaw Downstream      10.500   07/01/19      264       ***      246   
   Drill Rigs Inc      6.500   10/01/17      426       ***      351   
   Dynegy Inc Company      7.625   11/01/24      475       ***      485   
   Kinder Morgan Inc      7.800   08/01/31      140       ***      170   
   Endo Fin LLC      5.375   01/15/23      209       ***      205   
   Energy Transfer      7.500   10/15/20      83       ***      92   
   Energy Transfer      5.875   01/15/24      437       ***      444   
   Equinix Inc      5.375   04/01/23      271       ***      271   
   Fairpoint Communications      8.750   08/15/19      253       ***      254   
   Ferrell Gas      6.500   05/01/21      530       ***      517   
   First Data Corporation      6.750   11/01/20      250       ***      267   
   Forestar USA      8.500   06/01/22      379       ***      370   
   Ally Financial Inc      8.000   11/01/31      387       ***      493   
   Ally Financial Inc      8.000   12/31/18      269       ***      305   
   Gannett Co Inc      5.500   09/15/24      83       ***      83   
   Gencorp Inc      7.125   03/15/21      383       ***      401   
   General Motors Co      4.875   10/02/23      359       ***      384   
   Gibson Energy Inc      6.750   07/15/21      185       ***      185   
   Gulfport Energy Corp      7.750   11/01/20      190       ***      186   
   Halcon Resources Corp      9.750   07/15/20      489       ***      367   
   Harland Clarke Holdings      6.875   03/01/20      93       ***      91   
   Harland Clarke Holdings      9.250   03/01/21      310       ***      295   
   Hercules Offshore Inc      8.750   07/15/21      356       ***      164   
   Hexion US Finance Corp      6.625   04/15/20      263       ***      258   
   Hologic Inc Company      6.250   08/01/20      290       ***      302   
   Hospira Inc      5.800   08/12/23      129       ***      144   

 

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

 

F-31


Table of Contents

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, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

   (c) Description of investment including maturity date,
rate of interest, collateral, par or  maturity value
     (d) Cost    (e) Current
Value
 
          Interest Rate     Maturity    Par Value              
   K Hovnanian Enterprises      7.250   10/15/20      315       ***    $ 326   
   K Hovnanian Enterprises      9.125   11/15/20      121       ***      129   
   Icahn Enterprises      6.000   08/01/20      380       ***      392   
   Imperial Metals Corp      7.000   03/15/19      200       ***      184   
   Intelsat Jackson Hldg      7.250   10/15/20      395       ***      417   
   Intelsat Jackson Hldg      7.500   04/01/21      230       ***      246   
   INTL Lease Finance Corp      3.875   04/15/18      260       ***      260   
   Iron Mountain Inc      5.750   08/15/24      322       ***      324   
   JBS USA LLC      7.250   06/01/21      310       ***      319   
   JC Penney Corp Inc      0.010   05/22/18      269       ***      263   
   Jaguar Holding Co      9.500   12/01/19      165       ***      177   
   Jaguar Land Rover      5.625   02/01/23      350       ***      368   
   J2 Global Communications      8.000   08/01/20      577       ***      621   
   Ladder Cap      7.375   10/01/17      508       ***      523   
   Landry S Inc      9.375   05/01/20      616       ***      653   
   Level 3 Financing Inc      6.125   01/15/21      256       ***      265   
   Level 3 Financing Inc      5.375   08/15/22      117       ***      118   
   Liberty Mutual Group Inc      10.750   06/15/88      125       ***      193   
   Light Tower Rentals Inc      8.125   08/01/19      128       ***      100   
   L Brands Inc      7.600   07/15/37      334       ***      366   
   Linn Energy LLC      8.625   04/15/20      82       ***      71   
   Linn Energy LLC      7.750   02/01/21      318       ***      268   
   MEG Energy Corp      6.500   03/15/21      360       ***      329   
   MGM Resorts INTL Co      7.750   03/15/22      170       ***      188   
   MGM Resorts INTL Co      11.375   03/01/18      275       ***      326   
   Magnetation LLC      11.000   05/15/18      610       ***      421   
   Mallinckrodt Fin      5.750   08/01/22      157       ***      161   
   Markwest Energy      6.250   06/15/22      181       ***      187   
   Mattamy Group      6.500   11/15/20      441       ***      443   
   Mcclatchy Co      9.000   12/15/22      272       ***      296   
   Mcgraw Hill      9.750   04/01/21      372       ***      411   
   Mem Prod      6.875   08/01/22      239       ***      182   
   Mirant Mid Atlantic      10.060   12/30/28      195       ***      209   
   Modular Space Corp      10.250   01/31/19      192       ***      166   
   Mohegan Tribal Gaming Co      9.750   09/01/21      302       ***      308   
   Momentive Performance      10.000   10/15/20      185       ***      149   
   Momentive Performance      3.880   10/24/21      185       ***      157   
   NRG Energy Inc      6.625   03/15/23      310       ***      322   
   NRG Energy Inc      6.250   07/15/22      605       ***      619   
   NSG Holdings LLC      7.750   12/15/25      103       ***      109   
   NXP      5.750   03/15/23      200       ***      211   
   Nationstar Mort      7.875   10/01/20      456       ***      438   
   Navios Maritime Hlds      7.375   01/15/22      254       ***      232   
   JO Ann Stores Inc      8.125   03/15/19      285       ***      265   
   New Gold Inc      7.000   04/15/20      190       ***      190   
   Nexteer Auto Group LTD      5.875   11/15/21      200       ***      200   
   Niska Gas Storage      6.500   04/01/19      215       ***      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.

 

F-32


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

   (c) Description of investment including maturity date,
rate of interest, collateral, par or  maturity value
     (d) Cost    (e) Current
Value
 
          Interest Rate     Maturity    Par Value              
   PBF Holding Co LLC      8.250   02/15/20      261       ***    $ 262   
   Caesars Ent Resort      8.000   10/01/20      250       ***      245   
   Patriot Coal Corp      0.010   12/15/18      196       ***      187   
   PVH Corp      7.750   11/15/23      93       ***      114   
   Post Holdings Inc      7.375   02/15/22      290       ***      290   
   Qwest Capital Funding Company      7.750   02/15/31      495       ***      502   
   RJS Power Holdings LLC      5.125   07/15/19      79       ***      78   
   RSI Home Products Inc      6.875   03/01/18      287       ***      300   
   RR Donnelley & Sons Co      7.875   03/15/21      180       ***      199   
   Realogy Group LLC      7.625   01/15/20      175       ***      187   
   Regency Energy Partners      6.500   07/15/21      310       ***      316   
   Rentech NIT      6.500   04/15/21      410       ***      365   
   Reynolds Grp      5.750   10/15/20      385       ***      395   
   Rialto Hlds LLC      7.000   12/01/18      200       ***      203   
   Rockwood Specialties Co      4.625   10/15/20      142       ***      147   
   Royal Bk Scotlnd Grp PLC      6.125   12/15/22      530       ***      577   
   SBA Communications Corp      5.625   10/01/19      310       ***      317   
   Navient Corp      7.250   01/25/22      585       ***      635   
   SPL Logistics Escrow LLC      8.875   08/01/20      506       ***      536   
   Sabine Pass      6.500   11/01/20      310       ***      313   
   Sabre Glbl Inc      8.500   05/15/19      178       ***      190   
   Salix Pharmaceuticals LT Company      6.000   01/15/21      188       ***      192   
   Sandridge Energy Inc      7.500   03/15/21      350       ***      224   
   Sappi Papier Holdng      8.375   06/15/19      216       ***      231   
   Sealed Air Corp      6.875   07/15/33      236       ***      241   
   Sirius XM Radio Inc      6.000   07/15/24      280       ***      287   
   Springleaf Finance Corp      8.250   10/01/23      275       ***      308   
   Sprint Capital Corp Company      8.750   03/15/32      610       ***      590   
   Sprint Communications Company      9.000   11/15/18      420       ***      478   
   Sprint Communications Company      11.500   11/15/21      130       ***      156   
   Steel Dynamics Inc      6.375   08/15/22      180       ***      191   
   Stockbridge      0.010   05/02/17      163       ***      148   
   Suncoke Enrgy      7.375   02/01/20      30       ***      31   
   Suncoke Enrgy      7.375   02/01/20      74       ***      77   
   Sungard Avail Serv Cap Company      8.750   04/01/22      244       ***      144   
   Tenet Healthcare Corp      6.000   10/01/20      256       ***      275   
   Telecom Italia Capital Company      7.175   06/18/19      120       ***      137   
   T Mobile USA Inc      6.625   04/01/23      825       ***      845   
   Trac Intermodal LLC      11.000   08/15/19      165       ***      178   
   Telecom Italia Capital Company      7.721   06/04/38      120       ***      134   
   Tenet Healthcare Corp      6.875   11/15/31      53       ***      50   
   Tenet Healthcare Corp      8.125   04/01/22      290       ***      324   
   Toys R US Property      8.500   12/01/17      292       ***      290   
   TPC Group Inc      8.750   12/15/20      145       ***      141   
   Tronox Finance LLC      6.375   08/15/20      416       ***      417   
   USG Corp Company      5.875   11/01/21      196       ***      198   
   United Continental Hldgs Company      6.000   07/15/28      495       ***      471   

 

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

 

F-33


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,
rate of interest, collateral,  par or maturity value

     (d) Cost    (e) Current
Value
 
   United Rentals North    6.125%    06/15/23      193       ***    $ 203   
   Qwest Corp    6.875%    09/15/33      180       ***      181   
   Univision Communications    6.750%    09/15/22      390       ***      417   
   VTR Finance    6.875%    01/15/24      600       ***      690   
   Valeant Pharmaceuticals    7.250%    07/15/22      703       ***      750   
   Vanguard Nat Res    7.875%    04/01/20      532       ***      459   
   Viasat Inc    6.875%    06/15/20      395       ***      411   
   Viking Cruises Ltd    8.500%    10/15/22      240       ***      260   
   Walter Investment MGMT Company    7.875%    12/15/21      326       ***      291   
   Wellcare Health Plans    5.750%    11/15/20      309       ***      319   
   Wells Enterprises Inc    6.750%    02/01/20      257       ***      263   
   Western Refining Inc    6.250%    04/01/21      298       ***      291   
   Tri Pointe Holdings Inc    5.875%    06/15/24      115       ***      115   
   WPX Energy Inc    5.250%    09/15/24      207       ***      193   
   Wynn Macau Ltd    5.250%    10/15/21      200       ***      188   
   XPO Logistics Inc    7.875%    09/01/19      191       ***      200   
   Zebra Technologies Corp    7.250%    10/15/22      51       ***      54   
   Bluewater Holding Company    10.000%    12/10/19      400       ***      377   
   Sun Prods Corp    0.010%    03/23/20      268       ***      248   
   Supervalue Inc    0.010%    03/21/19      182       ***      179   
   WP CPP Hldgs LLC    0.010%    04/30/21      328       ***      310   
   Fortescue Metals Group Ltd    0.010%    06/30/19      122       ***      111   
   Affinion Group Inc    0.010%    10/12/18      210       ***      186   
   Cengage Learning Acquisitions    1.000%    03/31/20      165       ***      163   
   Fieldwood Energy LLC    0.010%    09/30/20      354       ***      257   
   Koosharem LLC    1.000%    05/15/20      206       ***      202   
   Sungard Availability    1.000%    03/31/19      228       ***      202   
   Connacher Oil & Gas Ltd    0.100%    05/23/18      277       ***      246   

*

   State Street Bank and Trust    State Street Cash Fund – STIF       ***      1,097   
                 

 

 

 
Subtotal ISP High Yield Bond Fund   60,783   
                 

 

 

 
Chartwell Chartwell Investment Partners Small Cap Value Fund   
Equity Securities
Acxiom Corp ***   1,228   
Altra Industrial Motion Corp ***   1,134   
American Equity Invt ***   1,495   
Analogic Corp ***   1,045   
Anixter International Inc ***   712   
Avista Corp ***   876   
Barnes Group Inc ***   1,289   
BBCN Bancorp Inc ***   1,147   
Black Hills Corp ***   952   
Blount International Inc ***   866   
Bristow Group Inc ***   1,788   
Cleco Corporation ***   1,634   
Calgon Carbon Corp ***   1,266   

 

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

 

F-34


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost    (e) Current
Value
 
  

Cardtronics Inc

      ***    $ 1,445   
  

Casey S General Stores Inc

      ***      2,285   
  

Chesapeake Lodging Trust

      ***      1,208   
  

Clarcor Inc

      ***      1,733   
  

Diodes Inc

      ***      971   
  

Dupont Fabros Technology

      ***      894   
  

Education Realty Trust Inc

      ***      1,236   
  

El Paso Electric Co

      ***      1,134   
  

Enpro Industries Inc

      ***      1,257   
  

Esco Technologies Inc

      ***      1,666   
  

FNB Corp

      ***      998   
  

FTD Cos Inc

      ***      860   
  

First Industrial Realty

      ***      957   
  

First Midwest Bancorp Inc

      ***      1,048   
  

G + K Services Inc

      ***      1,380   
  

Gatx Gorp

      ***      1,328   
  

Generac Holdings Inc

      ***      1,611   
  

Greatbatch Inc

      ***      1,172   
  

Gulfmark Offshore Inc

      ***      1,031   
  

Haemonetics Corp

      ***      1,265   
  

Harsco Corp

      ***      1,111   
  

Healthcare Realty Trust Inc

      ***      1,487   
  

Innophos Holdings Inc

      ***      1,280   
  

Key Energy Services Inc

      ***      229   
  

Kite Realty Group

      ***      1,219   
  

Knoll Inc

      ***      1,248   
  

Knight Transportation Inc

      ***      1,827   
  

Koppers Holdings Inc

      ***      740   
  

LegacyTexas Financial Group

      ***      962   
  

Matthews Intl Corp

      ***      904   
  

Mid America Apartment

      ***      956   
  

Minerals Technologies Inc

      ***      906   
  

Northwestern Corp

      ***      1,260   
  

PS Business Park Inc

      ***      1,133   
  

Pacwest Bancorp

      ***      1,291   
  

Pinnacle Financial Partners

      ***      1,196   
  

Plexus Corp

      ***      1,531   
  

Progress Software Corp

      ***      996   
  

Rush Enterprises Inc

      ***      845   
  

Selective Insurance Group

      ***      1,452   
  

Silicon Graphics

      ***      1,320   
  

Synders Lance Inc

      ***      2,013   
  

South State Corp

      ***      1,154   
  

Stage Stores Inc

      ***      1,215   
  

Sykes Enterprises Inc

      ***      1,162   
  

Treehouse Foods Inc

      ***      1,559   
  

Trueblue Inc

      ***      820   
  

UMB Financial Corp

      ***      1,079   

 

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

 

F-35


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost    (e) Current
Value
 
   Umpqua Holdings Corp       ***    $ 1,123   
   United Community Banks       ***      870   
   United Bankshares Inc       ***      1,070   
   United Stationers Inc       ***      742   
   West Pharmaceuticals Services       ***      1,346   
   Wolverine World Wide Inc       ***      1,216   
   Zebra Technologies Corp       ***      1,552   
   Argo Group International       ***      1,660   
   Fabrinet       ***      1,207   

*

   State Street Bank and Trust    State Street Cash Fund – STIF    ***      313   
           

 

 

 
Subtotal Chartwell Investment Partners Small Cap Value Fund   84,905   
           

 

 

 
Lee Munder LMCG Investments Mid Cap Value Fund
Equity Securities
AGL Resources Inc ***   1,788   
Air Products & Chemicals Inc ***   1,580   
Albemarle Crop ***   1,819   
Alexandria Real Estate ***   2,204   
Allegheny Technologies Inc ***   2,094   
Allstate Corp ***   1,325   
American Campus Communities ***   2,104   
American Eagle Outfitters ***   1,378   
Ameriprise Financial Inc ***   1,708   
Bed Bath & Beyond Inc ***   1,590   
Bemis Company ***   1,293   
Brixmor Property Group ***   1,900   
Cabela S Inc ***   1,956   
Cadence Design Sys Inc ***   2,157   
Carefusion Corp ***   1,722   
Charles River Laboratories ***   1,701   
Cintas Corp ***   1,602   
Citrix Systems Inc ***   1,957   
Clean Harbors Inc ***   1,405   
Coca Cola Enterprises ***   1,547   
Cooper Cos Inc ***   1,999   
Darling Ingredients Inc ***   1,729   
Dentsply International Inc ***   901   
Diebold Inc ***   1,518   
Dollar General Corp ***   1,318   
Dover Corp ***   1,639   
EQT Corp ***   1,468   
Edison International ***   1,703   
FMC Corp ***   1,590   
Fidelity National Information ***   2,223   
Fifth Thrid Bancorp ***   2,093   
Fluor Corp ***   1,317   
Great Plains Energy Inc ***   1,987   
Americourcebergen Corp ***   1,154   

 

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

 

F-36


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor,

or similar party

  

(c) Description of investment including maturity date,

rate of interest, collateral, par or maturity value

   (d) Cost    (e) Current
Value
 
   Hancock Holding Co       ***    $ 1,247   
   Hanover Insurance Group Inc       ***      1,840   
   Harley Davidson Inc       ***      1,231   
   Hasbro Inc       ***      1,445   
   Host Hotels & Resorts Inc       ***      1,950   
   IAC/Interactive Corp       ***      1,554   
   Ingredion Inc       ***      1,039   
   Interpublic Group of Cos Inc       ***      1215   
   Investors Bancorp Inc       ***      1,703   
   Ishares Russell       ***      2,411   
   Juniper Networks Inc       ***      1,253   
   Kar Auction Services Inc       ***      1,908   
   Kroger Co       ***      2,141   
   Micropchip Technology Inc       ***      1,970   
   Molson Coors Brewing Co       ***      1,829   
   Newfield Exploration Co       ***      808   
   Oasis Petroleum Inc       ***      547   
   Parker Hannifin Corp       ***      1,519   
   Patterson Cos Inc       ***      2,189   
   Petsmart Inc       ***      1,187   
   Pioneer Natural Resources Co       ***      1,377   
   Portland General Electric Co       ***      2,118   
   Quest Diagnostics Inc       ***      1,843   
   Range Resources Corp       ***      373   
   Regal Beloit Corp       ***      1,633   
   Reinsurance Group of America       ***      1,330   
   Sally Beauty Holdings Inc       ***      1,892   
   Scana Corp       ***      1,737   
   Silgan Holdings Inc       ***      1,294   
   JM Smucker Co       ***      2,147   
   Solera Holdings Inc       ***      1,938   
   Spectra Energy Corp       ***      1,109   
   Stanley Black & Decker Inc       ***      2,094   
   Suntrust Banks Inc       ***      1,898   
   Synopsys Inc       ***      2,305   
   Sysco Corp       ***      1,325   
   TCF Financial Corp       ***      1,614   
   Unum Group       ***      1,947   
   Xcel Energy Inc       ***      2,166   
   Xylem Inc       ***      1,129   
   Zions Bancorporation       ***      1,457   
   Endurance Specialty       ***      1,306   
   Pentair PLC       ***      635   
   Willis Group Holdings PLC       ***      1,280   

*

   State Street Bank and Trust    State Street Cash Fund – STIF    ***      317   
           

 

 

 
Subtotal LMCG Investments Mid Cap Value   126,719   
           

 

 

 

 

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

 

F-37


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

   (c) Description of investment including
maturity date, rate of interest, collateral,
par or maturity value
     (d) Cost    (e) Current
value
 
        Total Seperately managed accounts          $ 445,054   
                

 

 

 
Stable Value Fund
BNY Mellon   Stable Value Fund, including the following contracts:   
Transamerica Premier Life  
 
Stable Value Contract
#MDA1097TR, 2.79%**
  
  
***   237,933   
         Shared Holdings (aa)    Interest
rate
    Maturity      Par Value              
   US Long Bond      0.000     03/20/15         800,000       ***      1,156   
   ABN Amro Bank      1.375     01/22/16         600,000       ***      602   
   AT&T Inc      2.625     02/01/22         645,000       ***      614   
   Abbvie Inc      1.750     11/06/17         359,000       ***      360   
   Ace INA Holdings      2.700     03/13/23         725,000       ***      704   
   Xerox Business Services      5.200     06/01/15         235,000       ***      239   
   Ally Auto Receivables Trust      2.230     03/15/16         17,753       ***      18   
   Ally Auto Receivables Trust      0.930     02/16/16         3,409       ***      3   
   Altria Group Inc      2.950     05/02/23         745,000       ***      720   
   American Express Co      6.150     08/28/17         101,000       ***      113   
   American Express Credit      2.375     03/24/17         434,000       ***      444   
   American Express Credit      0.743     07/29/16         500,000       ***      502   
   American Express Credit      2.125     03/18/19         630,000       ***      629   
   American Intl Group      5.850     01/16/18         850,000       ***      950   
   Anadarko Petroleum Corp      3.450     07/15/24         790,000       ***      771   
   Anheuser Busch      1.250     01/17/18         520,000       ***      515   
   Apple Inc      2.400     05/03/23         685,000       ***      666   
   Assurant Inc      2.500     03/15/18         570,000       ***      576   
   Aventura Mall Trust      3.743     12/05/32         400,000       ***      425   
   BB+T Corporation      2.450     01/15/20         600,000       ***      598   
   BP Capital Markets PLC Co      3.814     02/10/24         655,000       ***      659   
   Burlington NO      3.743     01/15/23         385,174       ***      420   
   Bank of America      6.000     06/15/16         350,000       ***      372   
   Bank of America Corp      3.300     01/11/23         750,000       ***      750   
   Bank of America Corp      2.650     04/01/19         500,000       ***      504   
   Bank of America Corp      4.200     08/26/24         1,000,000       ***      1,019   
   Bank of Montreal      1.400     09/11/17         500,000       ***      500   
   Bank of New York Mellon      3.250     09/11/24         885,000       ***      885   
   Barclays Bank PLC      5.140     10/14/20         500,000       ***      538   
   Bayer US Finance LLC      2.375     10/08/19         545,000       ***      547   
   Bayer US Finance LLC      3.375     10/08/24         820,000       ***      835   
   Branch Banking & Trust      2.850     04/01/21         510,000       ***      513   
   Berkshire Hathaway Inc      1.550     02/09/18         630,000       ***      630   
   British Columbia      2.650     09/22/21         330,000       ***      340   
   Burlington North      3.050     09/01/22         266,000       ***      268   

 

* 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) See F-47 for definition.

 

F-38


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

   (c) Description of investment including
maturity date, rate of interest,

collateral, par or maturity value
     (d) Cost    (e)
Current
value
 
         Shared Holdings (aa)    Interest
rate
    Maturity      Par Value              
   Burlingtn North Santa Fe      3.400     09/01/24         480,000       ***    $ 489   
   Cd Commercial Mortgage Trust      5.886     11/15/44         322,127       ***      351   
   Cigna Corp      4.500     03/15/21         300,000       ***      328   
   Cigna Corp      4.000     02/15/22         290,000       ***      306   
   Comm Mortgage Trust      1.873     04/12/35         102,458       ***      100   
   Comm Mortgage Trust      3.012     05/10/47         575,000       ***      595   
   CVS Caremark Corp      5.750     06/01/17         140,000       ***      155   
   CVS Caremark Corp      2.250     12/05/18         319,000       ***      322   
   Canadian Pacific Rr Co      7.250     05/15/19         250,000       ***      299   
   Capital One Financial Co      1.000     11/06/15         474,000       ***      474   
   Capital One Financial Co      2.450     04/24/19         635,000       ***      634   
   Duke Energy Progress Inc      2.800     05/15/22         240,000       ***      240   
   Caterpillar Financial Se      2.650     01/06/00         465,000       ***      476   
   Caterpillar Financial Se      2.750     08/20/21         335,000       ***      338   
   Catholic Health      2.950     11/01/22         370,000       ***      363   
   CD Commerical Mortgage Trust      5.617     10/15/48         355,203       ***      373   
   Celgene Corp      1.900     08/15/17         175,000       ***      176   
   Centerpoint Ener Transition      2.161     10/15/21         190,000       ***      191   
   Chase Issuance Trust      1.580     08/16/21         467,000       ***      457   
   Chevron Corp      2.355     12/05/22         640,000       ***      621   
   Chevron Corp      2.427     06/24/20         280,000       ***      281   
   Cisco Systems Inc      2.125     03/01/19         700,000       ***      703   
   Citigroup Inc      5.500     02/15/17         500,000       ***      537   
   Citigroup Inc      2.550     04/08/19         500,000       ***      503   
   Citigroup Inc      2.500     07/29/19         650,000       ***      651   
   Citibank Credit Card Issuance      5.350     02/07/20         500,000       ***      556   
   Citigroup Commercial Mortgage      5.771     03/15/49         275,000       ***      290   
   Comerica Inc      3.000     09/16/15         232,000       ***      235   
   GCCFC Commericial Mortgage Trust      5.819     07/10/38         476,704       ***      498   
   Commonwealth Edison      1.950     09/01/16         608,000       ***      618   
   Connecticut Light + Pwr      5.000     04/01/15         825,000       ***      834   
   Consumers Energy Company      5.150     02/15/17         220,000       ***      238   
   Rabobank Nederland      2.250     01/14/19         355,000       ***      358   
   Dbubs Mortgage Trust      3.642     08/10/44         300,000       ***      310   
   Delta Air Lines      4.950     11/23/20         328,283       ***      351   
   DirecTV      4.600     02/15/21         250,000       ***      268   
   Discover Bank      2.000     02/21/18         875,000       ***      873   
   Discover Card      1.390     04/15/20         965,000       ***      963   
   Walt Disney Company      2.350     12/01/22         650,000       ***      637   
   Dominion Resources Inc      2.557     09/30/66         755,000       ***      710   
   Eaton Corp Company      1.500     11/02/17         565,000       ***      562   
   Energy Transfer Partners      5.200     02/01/22         525,000       ***      562   
   Enterprise Products      1.250     08/13/15         466,000       ***      467   
   Fanniemae Aces      3.346     03/25/24         870,000       ***      916   
   Fed Hm Ln Pc Pool G01629      6.000     10/01/33         23,438       ***      27   

 

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

 

F-39


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

   (c) Description of investment including
maturity date, rate of interest,
collateral,  par or maturity value
     (d) Cost    (e)
Current
value
 
           
         Shared Holdings (aa)    Interest
rate
    Maturity    Par Value              
   Fed Hm Ln Pc Pool G11657      4.500   12/01/18      127,525       ***    $ 134   
   Fed Hm Ln Pc Pool A77952      5.000   05/01/38      21,226       ***      24   
   Fed Hm Ln Pc Pool G14174      5.000   03/01/25      153,169       ***      163   
   Fed Hm Ln Pc Pool J00617      5.500   12/01/20      67,208       ***      73   
   Fed Hm Ln Pc Pool J00921      5.000   12/01/20      18,036       ***      19   
   Fed Hm Ln Pc Pool J01060      5.000   01/01/21      21,675       ***      23   
   Fed Hm Ln Pc Pool J01201      5.000   02/01/21      19,843       ***      21   
   Fed Hm Ln Pc Pool C03506      6.000   05/01/40      380,493       ***      430   
   Fed Hm Ln Pc Pool A11544      5.500   06/01/33      17,714       ***      20   
   Fed Hm Ln Pc Pool A15942      6.000   11/01/33      23,531       ***      27   
   Fed Hm Ln Pc Pool B19557      5.500   07/01/20      222,739       ***      241   
   Fed Hm Ln Pc Pool A26586      6.000   09/01/34      21,853       ***      25   
   Fed Hm Ln Pc Pool Q02688      4.000   08/01/41      228,115       ***      246   
   Fed Hm Ln Pc Pool G11868      5.500   07/01/20      70,038       ***      74   
   Freddie Mac      6.000   03/15/17      120,216       ***      126   
   FNMA Pool 253880      6.500   07/01/16      15,682       ***      16   
   FNMA Pool 357821      6.000   05/01/35      409,641       ***      468   
   Freddie Mac      3.500   11/15/25      805,000       ***      856   
   Freddie Mac      3.500   12/15/25      1,956,857       ***      2,085   
   Freddie Mac      3.500   12/15/25      2,348,143       ***      2,497   
   FNMA Pool 532577      7.000   07/01/15      3,225       ***      3   
   FNMA Pool 535675      7.000   01/01/16      9,905       ***      10   
   FNMA Pool 535740      7.000   12/01/15      1,871       ***      2   
   FNMA Pool 555417      6.000   05/01/33      79,176       ***      91   
   FNMA Pool 555545      5.000   06/01/18      70,246       ***      74   
   FNMA Pool 555591      5.500   07/01/33      93,527       ***      105   
   FNMA Pool 574924      7.000   04/01/16      3,860       ***      4   
   FNMA Pool 611020      6.500   01/01/17      10,110       ***      10   
   FNMA Pool AJ5733      3.500   12/01/41      2,627,695       ***      2,752   
   FNMA Pool Al0194      4.000   01/01/41      1,459,857       ***      1,574   
   FNMA Pool AO1736      4.000   05/01/42      3,487,294       ***      3,736   
   FNMA Pool AO1802      4.500   06/01/42      1,654,265       ***      1,818   
   FNMA Pool AP0632      2.500   07/01/27      777,900       ***      794   
   FNMA Pool AR9436      4.000   08/01/43      23,229       ***      25   
   FNMA Pool AU1687      4.000   08/01/43      2,349,903       ***      2,511   
   FNMA Pool AV0694      4.500   12/01/43      897,983       ***      994   
   FNMA Pool 651377      6.000   07/01/17      33,548       ***      35   
   FNMA Pool 712104      5.000   05/01/18      16,542       ***      17   
   FNMA Pool 725704      6.000   08/01/34      61,349       ***      70   
   FNMA Pool 730716      6.000   08/01/33      56,786       ***      65   
   FNMA Pool 734059      5.500   08/01/33      19,327       ***      22   
   FNMA Pool 745932      6.500   11/01/36      147,130       ***      168   
   FNMA Pool 756154      6.000   11/01/33      65,834       ***      76   
   FNMA Pool 792191      5.500   09/01/34      71,983       ***      81   
   FNMA Pool 805176      5.500   01/01/20      102,391       ***      108   

 

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

 

F-40


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

   (c) Description of investment including
maturity date, rate of interest,
collateral, par or maturity value
     (d) Cost    (e) Current
value
 
         Shared Holdings (aa)    Interest
rate
    Maturity    Par Value              
   FNMA Pool 908560      5.500   01/01/22      14,494       ***    $ 16   
   FNMA Pool 944026      6.500   08/01/37      331,701       ***      397   
   FNMA Pool AA4266      4.500   05/01/24      55,465       ***      60   
   FNMA Pool AB0536      6.000   02/01/37      139,047       ***      158   
   FNMA Pool AB3423      4.500   08/01/41      3,242,099       ***      3,522   
   FNMA Pool MA1543      3.500   08/01/33      2,281,048       ***      2,407   
   FNMA Pool 890528      5.500   06/01/39      211,288       ***      237   
   FNMA Pool 888022      5.000   02/01/36      214,556       ***      238   
   Fifth Third Bank      2.875   10/01/21      635,000       ***      634   
   Fico Strip Prin      0.010   05/11/18      580,000       ***      551   
   Ford Credit Auto Owner Trust      1.000   09/15/17      120,000       ***      120   
   Ford Credit Auto Owner Trust      2.260   11/15/25      360,000       ***      362   
   Ford Motor Credit Co Llc      3.000   06/12/17      702,000       ***      720   
   Ford Motor Credit Co Llc      4.250   09/20/22      525,000       ***      557   
   GNMA Pool 569327      6.500   04/15/32      175,276       ***      203   
   GNMA Pool 580880      6.500   11/15/31      22,257       ***      25   
   GNMA II Pool 003624      5.500   10/20/34      84,863       ***      96   
   GNMA II Pool 004599      5.000   12/20/39      356,476       ***      398   
   GNMA II Pool 004800      4.000   09/20/40      728,925       ***      784   
   GNMA II Pool 004833      4.000   10/20/40      1,573,237       ***      1,692   
   GNMA Pool 434787      8.000   05/15/30      11,550       ***      12   
   GNMA Pool 485856      6.500   10/15/31      29,928       ***      34   
   GNMA Pool 726316      5.000   09/15/39      403,895       ***      449   
   GNMA Pool 728974      5.000   12/15/39      752,240       ***      832   
   GNMA Pool 737651      5.000   11/15/40      154,740       ***      171   
   GNMA Pool 510403      5.000   01/15/35      28,341       ***      31   
   GNMA Pool 510844      8.000   12/15/29      1,125       ***      1   
   GNMA Pool 518044      8.000   12/15/29      415       ***      —     
   GNMA Pool 526364      8.000   07/15/30      4,436       ***      4   
   GNMA Pool 533946      6.500   04/15/32      8,257       ***      10   
   GNMA Pool 550887      5.000   08/15/35      35,803       ***      40   
   GNMA Pool 551077      6.500   11/15/31      13,100       ***      15   
   GNMA Pool 551120      6.500   08/15/31      64,470       ***      76   
   GNMA Pool 552571      6.500   05/15/32      20,402       ***      23   
   GNMA Pool 271940      5.500   08/15/18      101,896       ***      108   
   GNMA Pool 781410      5.500   03/15/17      66,237       ***      70   
   GS Mortgage Securities Trust      5.553   04/10/38      550,000       ***      564   
   GNMA Pool 622278      5.000   04/15/35      27,455       ***      30   
   GNMA Pool 631242      5.500   06/15/35      134,893       ***      152   
   GNMA Pool 641601      5.000   03/15/35      46,402       ***      51   
   GNMA Pool 646865      5.000   08/15/35      20,451       ***      23   
   GE Commercial Mortgage Corp      0.000   03/10/44      934,808,092       ***      9   
   General Electric Co      5.250   12/06/17      390,000       ***      433   
   Aust & NZ Banking      1.875   10/06/17      500,000       ***      505   
   Monsanto Co      3.375   07/15/24      375,000       ***      381   

 

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

 

F-41


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

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

Shared Holdings (aa)

   Interest rate     Maturity      Par Value              
   General Electric Co      3.375     03/11/24         875,000       ***    $ 904   
   General Electric Cap Corp      4.375     09/16/20         372,000       ***      407   
   General Electric Cap Corp      2.900     01/09/17         500,000       ***      517   
   General Electric Cap Corp      3.100     01/09/23         1,250,000       ***      1,266   
   General Electric Cap Corp      0.880     07/12/16         570,000       ***      574   
   Gilead Sciences Inc      3.700     04/01/24         550,000       ***      577   
   Glaxosmithkline Cap Inc      2.800     03/18/23         470,000       ***      464   
   Glencore Funding LLC      1.396     05/27/16         900,000       ***      904   
   Goldman Sachs Group Inc      2.375     01/22/18         840,000       ***      848   
   Goldman Sachs Group Inc      4.000     03/03/24         560,000       ***      581   
   Government National Mortgage      3.500     07/20/23         421,784       ***      448   
   Government National Mortgage      5.000     08/20/39         150,949       ***      162   
   Government STIF 18      0.012     12/31/30         7,176,073       ***      7,176   
   Great River Energy 1st Mortgage      5.829     07/01/17         311,294       ***      331   
   Conseco Financial Corp      7.050     01/15/19         10,343       ***      11   
   HCP Inc      3.750     02/01/16         379,000       ***      390   
   HSBC Bank USA      1.625     01/16/18         660,000       ***      657   
   HSBC Bank USA      4.875     08/24/20         570,000       ***      629   
   Health Care Reit      4.950     01/15/21         296,000       ***      325   
   Canada Government      0.875     02/14/17         543,000       ***      543   
   Howard Hughes Medical In      3.500     09/01/23         345,000       ***      361   
   Husky Energy Inc      4.000     04/15/24         390,000       ***      383   
   Hydro Quebec      1.375     06/19/17         476,000       ***      479   
   Hyundai Auto Recevables Trust      1.650     02/15/17         63,770       ***      64   
   Hyundai Capital America      2.125     10/02/17         596,000       ***      599   
   Incitec Pivot Ltd Company      4.000     12/07/15         500,000       ***      511   
   IBM Corp      0.750     05/11/15         500,000       ***      501   
   JP Morgan Chase      4.400     07/22/20         315,000       ***      341   
   JP Morgan Chase      4.350     08/15/21         1,250,000       ***      1,358   
   JP Morgan Chase      3.250     09/23/22         290,000       ***      292   
   JP Morgan Chase Commercial      3.364     11/13/44         160,000       ***      166   
   JPMBB Commercial      3.046     04/15/47         480,000            497   
   Kaiser Foundation Hospit Company      3.500     04/01/22         431,000       ***      445   
   Kansas Gas + Electric Co      6.700     06/15/19         147,000       ***      174   
   Key Bank      1.650     02/01/18         330,000       ***      329   
   Kroger Co      4.950     01/15/15         237,000       ***      237   
   Kroger Co      4.950     11/01/21         237,000       ***      149   
   Ladder Capital      3.388     05/15/31         580,000       ***      597   
   LG&E and KU Energy LLC      2.125     11/15/15         610,000       ***      615   
   Liberty Mutual Group Inc      5.000     06/01/21         400,000       ***      436   
   Lloyds Bank Plc      5.800     01/13/20         490,000       ***      566   
   Lockheed Martin Corp      2.125     09/15/16         215,000       ***      219   
   Loews Corp      2.625     05/15/23         280,000       ***      265   
   Manuf & Traders Trust      1.250     01/30/17         1,050,000       ***      1,048   
   Ml Cfc Commercial Mortgage      5.172     12/12/49         382,905       ***      405   
   Mckesson Corp      2.700     12/15/22         145,000       ***      139   

 

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

 

F-42


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

   (c) Description of investment including
maturity date, rate of interest, collateral,
par or maturity value
     (d) Cost    (e)
Current
value
 
         Shared Holdings (aa)    Interest
rate
    Maturity      Par Value              
   Mckesson Corp      3.796     03/15/24         795,000       ***    $ 817   
   Medco Health Solutions Company      4.125     09/15/20         332,000       ***      353   
   Medtronic Inc      3.150     03/15/22         565,000       ***      572   
   Mellon Funding Corp Company      5.500     11/15/18         460,000       ***      518   
   Morgan Stanley      2.916     02/15/47         460,000       ***      474   
   Morgan Stanley      2.125     04/28/18         1,235,000       ***      1,236   
   Morgan Stanley Captial I Trust      5.042     08/13/42         465,000       ***      472   
   Morgan Stanley      5.625     09/23/19         250,000       ***      282   
   Morgan Stanley Captial I Trust      5.592     04/12/49         178,866       ***      180   
   Morgan Stanley      1.875     01/05/18         375,000       ***      374   
   Murray St Inv Trust I Company      4.647     03/09/17         295,000       ***      311   
   Ncua Guaranteed Notes      2.900     10/29/20         339,000       ***      348   
   Nationwide Financial Services      5.375     03/25/21         329,000       ***      370   
   Nbc Universal Media Llc Company      4.375     04/01/21         409,000       ***      450   
   21St Century Fox America Company      4.500     02/15/21         650,000       ***      711   
   Niagara Mohawk Power      3.508     10/01/24         735,000       ***      757   
   Nippon Telegr + Teleph      1.400     07/18/17         500,000       ***      499   
   Nissan Auto Receivables Owner      1.940     09/15/17         180,939       ***      182   
   Noble Energy Inc      8.250     03/01/19         342,000       ***      410   
   Noble Energy Inc      4.150     12/15/21         220,000       ***      224   
   Omnicom Group Inc      3.650     11/01/24         250,000       ***      250   
   Oracle Corp      2.375     01/15/19         900,000       ***      916   
   Oracle Corp      3.400     07/08/24         875,000       ***      894   
   PNC Bank      3.800     07/25/23         520,000       ***      536   
   PNC Bank      2.200     01/28/19         635,000       ***      635   
   Penske Truck Leasing      3.750     05/11/17         500,000       ***      523   
   Penske Truck Leasing      4.250     01/17/23         255,000       ***      265   
   Peoples United Fin Inc      3.650     12/06/22         595,000       ***      600   
   Pepco Holdings Inc      2.700     10/01/15         265,000       ***      268   
   Pernod Ricard      4.250     07/15/22         335,000       ***      354   
   Plains All Amer Pipeline      3.600     11/01/24         855,000       ***      839   
   Precision Castparts Corp      2.500     01/15/23         480,000       ***      462   
   Province of Quebec      2.750     08/25/21         390,000       ***      398   
   Ryder System Inc      3.150     03/02/15         220,000       ***      221   
   Santander Holdings      4.625     04/19/16         127,000       ***      132   
   Santander Holdings      3.000     09/24/15         120,000       ***      121   
   Sempra Energy      9.800     02/15/19         170,000       ***      218   
   Shell International      2.250     01/06/23         950,000       ***      908   
   Small Business Administration      5.200     11/01/15         73,210       ***      75   
   Small Business Administration      4.090     11/01/29         393       ***      421   
   Small Business Administration      2.860     03/01/20         490,193       ***      505   
   Small Business Administration      2.870     05/01/20         686,056       ***      707   
   Small Business Administration      2.440     07/01/20         859,061       ***      875   
   Small Business Administration      1.970     9/1/2020         819,754       ***      826   
   Small Business Administration      2.210     02/01/33         722,435       ***      712   

 

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

 

F-43


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

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

State Street Corp

     2.875   03/07/16      400,000       ***    $ 410   
  

State Street Corp

     3.100   05/15/23      575,000       ***      567   
  

Lehman Brothers Small Balance

     5.520   09/25/30      113,150       ***      114   
  

Suncorp Metway

     1.700   03/28/17      1,000,000       ***      999   
  

Svenska Handelsbanken

     3.125   07/12/16      300,000       ***      310   
  

Svenska Handelsbanken

     2.250   06/17/19      630,000       ***      633   
  

Synchrony Financial

     1.875   08/15/17      150,000       ***      150   
  

Synchrony Financial

     3.750   08/15/21      755,000       ***      771   
  

Teck Resources Limited

     4.750   01/15/22      165,000       ***      161   
  

Telefonica Emisiones

     3.192   04/27/18      275,000       ***      283   
  

Texas Instruments Inc

     2.375   05/16/16      465,000       ***      476   
  

Time Warner Inc

     4.000   01/15/22      70,000       ***      73   
  

Time Warner Inc

     3.550   06/01/24      400,000       ***      398   
  

Time Warner Inc

     8.250   04/01/19      283,000       ***      346   
  

Total Capital

     0.802   08/10/18      935,000       ***      940   
  

Toyota Motor Credit Corp

     2.750   05/17/21      580,000       ***      589   
  

Trans Canada Pipelines

     0.937   06/30/16      750,000       ***      754   
  

Travelers Cos Inc

     3.900   11/01/20      146,000       ***      157   
  

Tyco Electronics Group

     6.550   10/01/17      161,000       ***      181   
  

UBS

     2.375   08/14/19      1,115,000       ***      1,115   
  

Mufg Union Bank

     5.950   05/11/16      385,000       ***      408   
  

US Bancorp

     2.200   11/15/16      500,000       ***      510   
  

US Treasury

     2.750   02/15/24      401,000       ***      422   
  

US Treasury

     1.500   08/31/18      4,580,000       ***      4,602   
  

US Treasury

     1.000   08/31/16      16,000,000       ***      16,120   
  

US Treasury

     1.750   10/31/18      1,392,000       ***      1,410   
  

US Treasury

     1.000   03/31/17      8,792,000       ***      8,829   
  

US Treasury

     0.250   07/15/15      6,867,000       ***      6,871   
  

US Treasury

     0.625   08/31/17      3,870,000       ***      3,833   
  

US Treasury

     1.000   08/31/19      10,750,000       ***      10,457   
  

US Treasury

     0.250   10/15/15      13,280,000       ***      13,281   
  

US Treasury

     0.750   10/31/17      9,168,000       ***      9,095   
  

US Treasury

     0.875   01/31/18      695,000       ***      6,899   
  

US Treasury

     1.750   05/15/23      5,290,000       ***      5,151   
  

United Technologies Corp

     6.125   02/01/19      175,000       ***      203   
  

United Technologies Corp

     0.734   06/01/15      363,000       ***      364   
  

Valero Energy Corp Company

     9.375   03/15/19      114,000       ***      142   
  

Vanderbilt University

     5.250   04/01/19      650,000       ***      735   
  

Verizon Communications

     2.450   11/01/22      750,000       ***      704   
  

Verizon Communications

     2.625   02/21/20      1,034,000       ***      1,022   
  

Vodafone Group Plc

     5.625   02/27/17      455,000       ***      493   
  

Walmart Stores Inc

     3.300   04/22/24      380,000       ***      392   
  

Walgreens Boots Alliance

     3.300   11/18/21      855,000       ***      861   
  

Wells Fargo Bank

     3.300   09/09/24      1,030,000       ***      1,036   
  

FNMA Pool 888341

     5.000   02/01/37      143,359       ***      159   

 

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

 

F-44


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or
similar party

  

(c) Description of investment including

maturity date, rate of interest, collateral,

par or maturity value

     (d) Cost    (e) Current
value
 
         Shared Holdings (aa)   

Interest rate

   Maturity      Par Value              
   Wells Fargo Bank    0.442%      05/16/16         1,000,000       ***    $ 997   
   Westlake Chemical Corp Company    3.600%      07/15/22         576,000       ***      569   
   Westpac Banking Corp    4.200%      02/27/15         440,000       ***      442   
   WF RBS Commercial    2.862%      03/15/47         640,000       ***      657   
   Williams Partners LP    4.300%      03/04/24         295,000       ***      294   
   Glencore Finance Canada Co    4.950%      11/15/21         552,000       ***      582   
   Yara International    7.875%      06/11/19         285,000       ***      340   
                 

 

 

 
Subtotal HIMCO bond fund      237,933   
                 

 

 

 
BNY Mellon Stable Value Fund, including the following contracts:   
    American General Life

Stable Value Contract

#1646368, 1.82%**

  

  

***   97,126   
    American General Life

Stable Value Contract

#1635582, 1.14%**

  

  

***   63,507   
    Prudential

Stable Value Contract

#GA62433, 2.76%**

  

  

***   164,884   
    RGA

Stable Value Contract

#RGA00058, 2.76%**

  

  

***   40,994   
         Shared Holdings (bb)                               
   BlackRock    BlackRock Intermediate Term Credit Bond Index Fund        ***      15,199   
   BlackRock    BlackRock Commerical Mortgage-Backed Securities Index        ***      3,474   
   BlackRock    BlackRock Intermediate Government Bond Index Fund        ***      2,770   
   BlackRock    BlackRock Mortgage-Backed Securities Index Fund        ***      32,055   
   BlackRock    BlackRock 1-3 Year Government Bond Index Fund        ***      27,505   
   BlackRock    BlackRock Asset-Backed Securities Index Fund        ***      24,817   
   BlackRock    BlackRock 1-3 Year Credit Bond Index Fund        ***      32,270   
         Shared Holdings (bb)   

Interest rate

   Maturity      Par Value              
   Banc of America Commercial    5.728%      05/10/45         2,600,000       ***      2,707   
   Caisee Centrale Desjardn    2.650%      09/16/15         600,000       ***      608   
   California Republic Auto    0.910%      08/15/18         2,370,000       ***      2,366   
   Chase Issuance    1.150%      01/15/19         3,000,000            2,999   
   GCCFC Commercial Mortgage    5.381%      03/10/39         807,285       ***      810   
   Credit Suisse Mortgage Trust    5.970%      02/15/41         649,070       ***      647   
   Detroit Edison Securitization    6.620%      03/01/16         1,212,503       ***      1,225   
   Discover Card Execution Note    1.040%      04/15/19         3,600,000       ***      3,596   
   Fannie Mae    2.000%      03/25/25         575,258       ***      583   
   Fannie Mae    2.000%      08/25/26         1,330,793       ***      1,345   
   Fannie Mae    2.000%      05/25/25         2,866,863       ***      2,908   
   Freddie Mac    3.000%      06/15/39         1,873,293       ***      1,932   
   Freddie Mac    3.000%      07/15/39         2,003,079       ***      2,036   
   Freddie Mac    2.500%      08/15/25         1,303,367       ***      1,337   

 

* 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.
(bb) See F-47 for definition.

 

F-45


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

  

(c) Description of investment including

maturity date, rate of interest, collateral, par

or maturity value

     (d)
Cost
   (e) Current
value
 
         Shared Holdings (bb)   

Interest rate

   Maturity      Par Value              
   Freddie Mac    2.000%      02/15/40         1,212,524       ***    $ 1,227   
   Freddie Mac    2.000%      11/15/21         2,934,037       ***      2,954   
   Freddie Mac    4.000%      07/15/17         773,335       ***      780   
   Freddie Mac    5.000%      09/15/38         215,457       ***      224   
   Freddie Mac    4.500%      09/15/37         237,985       ***      243   
   Fannie Mae    2.250%      03/25/39         2,112,067       ***      2,144   
   Fannie Mae    4.000%      03/25/25         1,531,177       ***      1,600   
   FNMA Pool    2.500%      02/01/23         1,460,168       ***      1,502   
   Government National Mortgage    5.000%      02/16/32         168,598       ***      173   
   Government National Mortgage    2.000%      08/20/35         851,401       ***      855   
   Government National Mortgage    1.000%      12/16/36         1,685,438       ***      1,679   
   Government National Mortgage    2.000%      09/16/51         3,315,230       ***      3,300   
   Government National Mortgage    2.000%      01/16/46         2,956,404       ***      2,958   
   Government National Mortgage    3.000%      03/20/39         2,709,127       ***      2,764   
   Government STIF    0.012%      12/31/30         912,559       ***      913   
   JP Morgan Chase    1.855%      04/15/46         2,750,000       ***      2,749   
   LB UBS    4.954%      09/15/30         2,097,469       ***      2,108   
   LB UBS    5.866%      09/15/45         2,809,326       ***      3,086   
   NCUA Guaranteed    1.600%      10/29/20         86,498       ***      87   
   New York Life Global    3.000%      05/04/15         415,000       ***      419   
   Nissan Auto Receivables    0.950%      02/16/16         223,665       ***      224   
   US Treasury    1.000%      12/15/17         3,496,000       ***      3,618   
   Volkswagen Auto Loan    0.700%      04/20/18         2,600,000       ***      2,592   
   World Omni Auto Receivables    0.960%      08/15/16         238,566       ***      239   
   Prudential    0.000%         12,758,564       ***      164,884   
                 

 

 

 
Subtotal BNY Mellon Bond Fund   366,511   
                 

 

 

 
Separate Account Guaranteed Investment Contract
New York Life

Stable Value Contract

#GA29021, 2.41%**

  

  

***   91,195   
Wrapper Contracts
Transamerica Premier Life #MDA01097TR, 2.79%**    ***   80   
American General Life #1646368, 1.82%**    ***   (102
American General Life #1635582, 1.14%**    ***   (46
RGA #RGA00058, 2.95%**    ***   —     
Prudential #GA62433, 2.76%**    ***   59   
                 

 

 

 
  Subtotal Wrapper Contracts   (9
                 

 

 

 

 

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

 

F-46


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 2014 (continued)

($ IN THOUSANDS, except for par value)

 

(a)

  

(b) Identity of issue, borrower, lessor, or similar party

  

(c) Description of investment including maturity date, rate
of interest, collateral, par or maturity

   (d) Cost     (e) Current
value
 

*

   State Street Bank and Trust    State Street Cash Fund – STIF      ***      $ 9,651   
          

 

 

 
Subtotal Stable Value Fund   9,651   
          

 

 

 

Clearing Account

*

State Street Bank and Trust Clearing Account   ***      873   
          

 

 

 
Subtotal Clearing Account   873   
          

 

 

 

Master Expense Account

*

State Street Bank and Trust Master Expense Account   ***      6   
          

 

 

 
Subtotal Master Expense Account   6   
          

 

 

 
Investments Total $ 3,490,841   
          

 

 

 

Loan Fund

*

Plan Members Notes Receivable from Participants, maturing in
2015 through 2028 bearing interest at rates from
4.25% – 10.50%   N/A      57,145   
          

 

 

 
Subtotal Loan Fund   57,145   
          

 

 

 
Grand Total $ 3,547,986   
          

 

 

 

 

* 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.

 

F-47


Table of Contents

SIGNATURE

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

THE HARTFORD INVESTMENT AND SAVINGS PLAN

 

BY: /s/Erin Ridge

Erin Ridge

Plan Administrator

June 29, 2015

 

F-48