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, 2015
OR
¨ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission file number 001-13958
A. | Full title of the Plan and the address of the Plan, if different from that of the issuer named below: |
THE HARTFORD INVESTMENT AND SAVINGS PLAN
B. | Name of issuer of the securities held pursuant to the Plan and the address of its principal executive office: |
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
One Hartford Plaza, Hartford, Connecticut 06155
The Hartford Investment and Savings Plan
December 31, 2015 and 2014
Page No(s). | ||||
F-1 | ||||
Financial Statements: |
||||
Statements of Net Assets Available for Benefits as of December 31, 2015 and 2014 |
F-2 | |||
Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2015 |
F-3 | |||
F-4 - F-13 | ||||
Supplemental Schedule: |
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F-14 F-45 | ||||
F-46 | ||||
F-47 |
All other schedules required by Section 2520.103-10 of the Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable.
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan 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, 2015 and 2014, and the related statement of changes in net assets available for benefits for the year ended December 31, 2015. These financial statements are the responsibility of the Plans 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 Plans 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, 2015 and 2014, and the changes in net assets available for benefits for the year ended December 31, 2015, 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, 2015, has been subjected to audit procedures performed in conjunction with the audit of the Plans financial statements. The supplemental schedule is the responsibility of the Plans management. Our audit procedures included determining whether the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 27, 2016
F-1
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2015 AND 2014
($ IN THOUSANDS)
2015 | 2014 | |||||||
Assets |
||||||||
Investments: |
||||||||
Investments, at fair value (Note 4) |
$ | 2,794,579 | $ | 2,785,560 | ||||
Investments, at contract value (Note 3) |
701,223 | 683,525 | ||||||
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Total investments |
3,495,802 | 3,469,085 | ||||||
Receivables: |
||||||||
Notes receivable from Members |
59,699 | 57,145 | ||||||
Dividends and interest receivable |
4,835 | 5,431 | ||||||
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|
|||||
Total receivables |
64,534 | 62,576 | ||||||
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|
|||||
Total assets |
3,560,336 | 3,531,661 | ||||||
Liabilities |
||||||||
Investment management expenses payable |
613 | 613 | ||||||
Administrative expenses payable |
40 | 43 | ||||||
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|
|
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Total liabilities |
653 | 656 | ||||||
Net assets available for benefits |
$ | 3,559,683 | $ | 3,531,005 | ||||
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See Notes to Financial Statements.
F-2
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2015
($ IN THOUSANDS)
2015 | ||||
Additions to net assets attributed to: |
||||
Investment gain: |
||||
Net appreciation in fair value of investments |
$ | 1,370 | ||
Dividends |
9,693 | |||
|
|
|||
Total investment gain |
11,063 | |||
|
|
|||
Investment income on notes receivable from participants |
2,480 | |||
|
|
|||
Contributions: |
||||
Employee contributions |
133,422 | |||
Employer contributions |
112,636 | |||
Rollover contributions |
22,751 | |||
|
|
|||
Total contributions |
268,809 | |||
|
|
|||
Total additions |
282,352 | |||
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|
|||
Deductions from net assets attributed to: |
||||
Benefits paid to Members |
250,090 | |||
Investment management fees |
3,341 | |||
Administrative expenses |
243 | |||
|
|
|||
Total deductions |
253,674 | |||
|
|
|||
Net increase in net assets |
28,678 | |||
Net assets available for benefits: |
||||
Beginning of year |
3,531,005 | |||
|
|
|||
End of year |
$ | 3,559,683 | ||
|
|
See Notes to Financial Statements.
F-3
THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2015 AND 2014
AND FOR THE YEAR ENDED DECEMBER 31, 2015
($ IN THOUSANDS)
Note 1. Description of the Plan
The following description of The Hartford Investment and Savings Plan (the Plan or ISP) as of December 31, 2015 is provided for general information purposes only. Members should refer to the Plan document for more complete information. Members refers to eligible participants of the Plan.
The Hartford Financial Services Group, Inc. (HFSG, together with its subsidiaries, The Hartford, the Company) is an insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States of America. The Hartford is also a provider of mutual funds to investors and The Hartford continues to manage life and annuity products previously sold. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of The Hartford.
Information with regard to eligibility, contributions, distributions, vesting, trustees, withdrawals, loans, fund redistribution and certain definitions are contained in the Plan Document. A Summary Plan Description (SPD) setting forth the highlights of the Plan is available to Members on the Fidelity Net Benefits website. Fidelity Workplace Services LLC serves as the record keeper of the Plan.
Plan Changes
See Note 10 for a general description of amendments made to the Plan Document during 2014. There were no amendments during 2015.
General
The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan Document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (ERISA).
The Trust, as defined in the Plan Document, is the aggregate funds held by the trustee, State Street Bank and Trust Company (the Trustee), under the trust agreement established for the purposes of the Plan. The Investment and Savings Plan Investment Committee (ISPIC) is responsible for the management of Plan assets except with respect to matters that are the responsibility of Evercore Trust Company as fiduciary with respect to the common stock of HFSG (Hartford Stock) held in The Hartford Stock Fund. The ISPIC may from time to time add investment funds to, or eliminate investment funds from, the group of investment funds available under the Plan, provided, however, that the ISPIC has no authority with respect to the Hartford Stock in The Hartford Stock Fund.
Contributions
Members may elect to save a percentage of their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their savings as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, savings may be elected based on 1% to 30% of eligible compensation. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the IRC). If Members do not elect otherwise, they will be automatically enrolled to make before-tax contributions equal to 6% (3% prior to January 1, 2016) of eligible compensation.
The Companys contributions include a non-elective contribution of 2% of eligible compensation and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (Matching Company contributions).
Members savings in excess of 6% of the applicable compensation are Supplemental Savings that are not matched by the Company.
F-4
Note 1. Description of the Plan (continued)
Administrative Costs
The Trust pays certain administrative expenses of the Plan out of the assets of the Trust. Expenses not paid by the Trust are borne by the Company.
Member Accounts
Individual accounts are maintained for each Member of the Plan. Each Members account is credited with that Members contributions and allocations of (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 Members vested account balance.
Vesting
Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members first hired prior to January 1, 2016 are 100% vested in Matching Company and Non-Elective Company contributions made after January 1, 2013 after two years of service. Effective January 1, 2016, Members first hired on or after January 1, 2016 are 100% vested in Matching Company Contributions and Non-Elective Company contributions after three years of service.
Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions (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 Members Matching Company contribution account upon retirement (for retirement eligible Members), disability, death, reaching age 65, or upon the complete discontinuance of Company contributions or termination of the Plan.
Investment Options
Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. As of December 31, 2015, Member contributions and Matching 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 9 for further discussion.
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, reduced by any pre-existing outstanding loan amounts during the last 12 months. Loan transactions are treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Members account. The interest rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan. Principal and interest is paid ratably through payroll deductions.
Payment of Benefits
On termination of service due to death, disability, or certain other reasons, Members or their designated beneficiaries may elect to receive either a lump sum amount equal to the value of their vested account balance, or, in the case of Members meeting certain requirements, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipients life expectancy.
F-5
Note 1. Description of the Plan (continued)
Distributions may be paid in cash or, with respect to The Hartford Stock Fund, in stock distributions. Members or their designated beneficiaries may also elect to defer distributions subject to certain conditions.
Forfeitures
When a Member terminates employment before he or she has vested in his or her Matching Company and Non-Elective Company contributions, the non-vested portion of the Members account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future employer contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2015 and 2014, forfeited non-vested account balances totaled $748 and $131, respectively.
These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2015, Matching Company contributions were reduced by $2,722 from forfeitures.
Note 2. Accounting Policies
Basis of Accounting
The accompanying financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America (U.S. GAAP) and the Department of Labors Rules and Regulations for Reporting and Disclosure under ERISA.
Use of Estimates
The preparation of financial statements in conformity with U.S. GAAP requires management of the Plan to make estimates and assumptions that affect the reported amounts of assets and liabilities and changes therein, and disclosure of contingent assets and liabilities as of the date of the financial statements and the reported amounts of additions and deductions during the reporting period. Actual results could differ from those estimates.
Investment Valuation and Income Recognition
The Plans investments are stated at fair value, except for fully benefit-responsive guaranteed investment contracts (GICs), which are reported at contract value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. Contract value is the amount Plan participants would receive if they were to initiate permitted transactions under the terms of the Plan (see Note 3). See Note 4 for discussion on fair value measurements.
Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date.
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, 2015 and 2014 there were no unfunded commitments or redemption restrictions on collective investment trusts and mutual funds.
Payment of Benefits
Benefits paid to Members are recorded when distributed.
F-6
Note 2. Accounting Policies (continued)
Contributions
Member and Matching Company contributions are recorded in the period during which the Company makes payroll deductions from Members compensation.
Excess Contribution Payable
The Plan is required to return contributions received during the Plan year in excess of the IRC limits.
Notes Receivable from Members
Notes receivable from Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent Member loans are recorded as deemed distributions based on the terms of the Plan Document.
New Accounting Standards
On May 1, 2015, the Financial Accounting Standards Board (FASB) issued Accounting Standards Update (ASU) No. 2015-07, Disclosures for Investments in Certain Entities That Calculate Net Asset Value per Share (or Its Equivalent) (ASU 2015-07) which removes the requirement to present within the fair value hierarchy table certain investments for which the practical expedient is used to measure fair value at net asset value. Instead, a Plan would be required to include those investments as a reconciling item so that the total fair value amount of investments in the disclosure is consistent with the fair value investment balance on the statement of net assets available for benefits. ASU 2015-07 is effective for public companies for fiscal years beginning after December 15, 2015, with early adoption permitted. The Plan elected to early adopt ASU 2015-07 as of December 31, 2015, as permitted, and has applied ASU 2015-07 retrospectively, as required. The Plan presents the investment disclosure required by this new guidance in Note 4, Fair Value Measurements. There are no effects on the Statements of Net Assets Available for Benefits or the changes therein.
In July 2015, the FASB issued ASU 2015-12, Plan Accounting: Defined Benefit Pension Plans (Topic 960), Defined Contribution Pension Plans (Topic 962), Health and Welfare Benefit Plans (Topic 965): (Part I) Fully Benefit-Responsive Investment Contracts, (Part II) Plan Investment Disclosures, (Part III) Measurement Date Practical Expedient. Part I eliminates the requirement to measure the fair value of fully benefit-responsive investment contracts and provide certain disclosures. Contract value is the only required measure to disclose for fully benefit-responsive investment contracts. Part II eliminates the requirements to disclose individual investments that represent 5 percent or more of net assets available for benefits and the net appreciation or depreciation in fair value of investments by general type. Part II also simplifies the level of disaggregation of investments that are measured using fair value. Plans will continue to disaggregate by general type investments that are measured using fair value; however, plans are no longer required to also disaggregate investments by nature, characteristics and risks. Part III is not applicable to the Plan. ASU 2015-12 is effective for fiscal years beginning after December 15, 2015, with early adoption permitted. Parts I and II are to be applied retrospectively. The Plan has elected to early adopt ASU 2015-12 as of December 31, 2015, as permitted, and has applied the provisions of ASU 2015-12 retrospectively, as required. Parts I and II are reflected in the statements of assets available for benefits and in the notes to the financial statements. The adoption resulted in the reclassification of the adjustment from fair value to contract value for fully benefit-responsive investment contracts totaling $21,756, in the Statements of Net Assets Available for Benefits. Certain historical disclosures that are no longer required were removed.
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions
The Plans 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 return. The GICs are backed by a portfolio of financial instruments which are held in a trust that is owned by the Plan. The interest rate return is provided under benefit responsive wrap contracts (or wrapper). Standish Mellon Asset Management Company LLC, a wholly owned subsidiary of The Bank of New York Mellon Corporation, provides investment management services to the Stable Value Fund. The fair value of the benefit-responsive wrapper contracts was $51 at December 31, 2015 and $(9) at December 31, 2014. 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 contract 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.
F-7
Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
The Plan Sponsor does not believe that it is probable that any such events would limit the ability of the Plan to transact at contract value.
The relationship of future crediting rates and the contract values reported on the Statements of Net Assets Available for Benefits are provided through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses. Gains and losses are defined as the difference between the market value of the underlying securities and contract value of the 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 2015 or 2014.
During 2015, there were no changes in contracts within the Stable Value Fund.
Average yields: |
2015 | 2014 | ||||||
Based on annualized earnings (1) |
2.36 | % | 2.32 | % | ||||
Based on interest rate credited to participants (2) |
2.44 | % | 2.41 | % |
(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, 2015 and 2014, 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, 2015 and 2014, respectively. |
The following table represents the contract value for each of the contracts as of December 31, 2015:
Contract Issuer |
Contract Number |
Major Credit Ratings |
Investments at Contract Value |
|||||||
Transamerica Premier Life |
MDA01097TR | AA- / Aa2 | $ | 223,638 | ||||||
American General Life |
1646368 | AA / Aa2 | 98,118 | |||||||
American General Life |
1635582 | AA+ / Aaa | 64,412 | |||||||
RGA |
RGA00058 | AA / Aa2 | 40,495 | |||||||
New York Life |
GA29021 | AA+ / Aaa | 90,857 | |||||||
Prudential |
GA62433 | AA / Aa1 | 163,827 | |||||||
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Total |
$ | 681,347 | ||||||||
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The Stable Value Fund also held cash and cash equivalents totaling $19,876 as of December 31, 2015.
The following table represents the contract value for each of the contracts as of December 31, 2014:
Contract Issuer |
Contract Number |
Major Credit Ratings |
Investments at Contract Value |
|||||||
Transamerica Premier Life |
MDA01097TR | AA- / Aa2 | $ | 227,472 | ||||||
American General Life |
1646368 | AA / Aa2 | 96,058 | |||||||
American General Life |
1635582 | AA+ / Aaa | 63,527 | |||||||
RGA |
RGA00058 | AA / Aa2 | 39,401 | |||||||
New York Life |
GA29021 | AA+ / Aaa | 88,449 | |||||||
Prudential |
GA62433 | AA / Aa1 | 158,967 | |||||||
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|
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Total |
$ | 673,874 | ||||||||
|
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The Stable Value Fund also held cash and cash equivalents totaling $9,651 as of December 31, 2014.
F-8
Note 4. Fair Value Measurements
The Plan estimates of fair value are based on ASC 820, Fair Value Measurements and Disclosures, which provides a framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value and requires that observable inputs be used in valuations when available.
The disclosure of fair value estimates in the fair value accounting guidance hierarchy is based on whether the significant inputs into the valuation are observable. In determining the level of the hierarchy in which the estimate is disclosed, the highest priority is given to unadjusted quoted prices in active markets and the lowest priority to unobservable inputs that reflect the Plans significant market assumptions. The level in the fair value hierarchy within which the fair value measurement is reported is based on the 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 Plans own assumptions about the inputs that market participants would use in a current market exchange absent actual market exchanges. |
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, 2015 and 2014.
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.
Debt Securities:
For most of the Plans debt securities, the following inputs are typically used in the Plans 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. Inputs also include observations of credit default swap curves related to the issuer. This includes basing value on yields currently available on comparable securities of issuers with similar credit ratings. When quoted prices are not available for identical or similar bonds, the bond is valued 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.
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.
F-9
Note 4. Fair Value Measurements (continued)
Collective Investment Trusts Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner.
Equity Securities Valued at the closing price reported on the active market on which the individual securities are traded.
The following tables set forth by level within the fair value hierarchy a summary of the Plans investments measured at fair value on a recurring basis at December 31, 2015 and 2014.
Investment Assets at Fair Value as of December 31, 2015 | ||||||||||||||||
Active Markets for Identical Assets (Level 1) |
Other Observable Inputs (Level 2) |
Significant Unobservable Inputs (Level 3) |
Total | |||||||||||||
Invested Assets |
||||||||||||||||
Short Term Investments |
$ | | $ | 5,864 | $ | | $ | 5,864 | ||||||||
Debt Securities |
5 | 55,778 | 982 | 56,765 | ||||||||||||
Mutual Funds |
876,691 | | | 876,691 | ||||||||||||
Equity Securities |
951,777 | | | 951,777 | ||||||||||||
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Total investments at fair value [1] |
$ | 1,828,473 | $ | 61,642 | $ | 982 | $ | 1,891,097 | ||||||||
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Investments at net asset value: |
||||||||||||||||
Collective investment trusts |
903,482 | |||||||||||||||
|
|
|||||||||||||||
Total investments |
$ | 2,794,579 | ||||||||||||||
|
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[1] | Excludes $1,423 of dividend receivable, $2,567 of interest receivable and $845 of other receivables recorded at fair value. |
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 |
$ | | $ | 7,440 | $ | | $ | 7,440 | ||||||||
Debt Securities |
| 58,474 | 1,212 | 59,686 | ||||||||||||
Mutual Funds |
899,477 | | | 899,477 | ||||||||||||
Equity Securities |
969,027 | 293 | | 969,320 | ||||||||||||
|
|
|
|
|
|
|
|
|||||||||
Total investments at fair value [2] |
$ | 1,868,504 | $ | 66,207 | $ | 1,212 | $ | 1,935,923 | ||||||||
|
|
|
|
|
|
|
|
|||||||||
Investments at net asset value: |
||||||||||||||||
Collective investment trusts |
849,637 | |||||||||||||||
|
|
|||||||||||||||
Total investments |
$ | 2,785,560 | ||||||||||||||
|
|
[2] | Excludes $1,332 of dividend receivable, $2,545 of interest receivable and $1,554 of other receivables recorded at fair value. |
F-10
Note 4. Fair Value Measurements (continued)
Transfers Between Levels The availability of observable market data is monitored to assess the appropriate classification of financial instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at the beginning of the reporting period.
We evaluate the significance of transfers between levels based upon the nature of the financial instrument and size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 2015 and 2014 there were no transfers between levels.
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 Plans Level 3 investments using significant unobservable inputs for the years ended December 31, 2015 and 2014. As reflected in the table below, the net unrealized gain/(loss) on Level 3 investment assets was $(35) and $(550) as of December 31, 2015 and 2014, respectively.
Level 3 Investment Assets and Investment Liabilities | ||||
Year Ended December 31, 2015 | ||||
Bond Investments | ||||
Balance, beginning of year |
$ | 1,212 | ||
Realized gains/(losses), net |
(16 | ) | ||
Change in unrealized gains/(losses), net |
(35 | ) | ||
Purchases |
887 | |||
Issuances |
| |||
Settlements |
| |||
Sales |
(274 | ) | ||
Transfers in to Level 3 |
| |||
Transfers out of Level 3 |
(792 | ) | ||
|
|
|||
Balance, end of year |
$ | 982 | ||
|
|
Level 3 Investment Assets and Investment Liabilities | ||||
Year Ended December 31, 2014 | ||||
Bond Investments | ||||
Balance, beginning of year |
$ | 2,374 | ||
Realized gains/(losses), net |
(567 | ) | ||
Change in unrealized gains/(losses), net |
(392 | ) | ||
Purchases |
1,123 | |||
Issuances |
| |||
Settlements |
| |||
Sales |
(1,326 | ) | ||
Transfers in to Level 3 |
| |||
Transfers out of Level 3 |
| |||
|
|
|||
Balance, end of year |
$ | 1,212 | ||
|
|
The change in unrealized gains/(losses) included in the Statement of Changes in Net Assets Available for Benefits related to Level 3 assets still held at the reporting date totaled $161 and $(158) as of December 31, 2015 and 2014, respectively.
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.
During the year ended December 31, 2015, transfers out of Level 3 are primarily attributable to the appearance of market observable information and the re-evaluation of the observability of pricing inputs.
F-11
Note 5. 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 Plans 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 days gains and losses are classified as derivatives receivable/payable for the investment portfolio, with a value of $0 and $2 at December 31, 2015 and December 31, 2014, respectively.
During 2015 and 2014, 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 were held by the Plans brokers as performance security on futures contracts. There were no investments of the Plan held by the Plans brokers as performance security on futures contracts at December 31, 2015.
During 2015, the Plan exited all investments in futures contracts for trading purposes. At December 31, 2014, 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, 2015 and 2014, as cash settlements are done daily. Changes in fair value are reflected in net appreciation in fair value of investments on the Statement of Changes in Net Assets Available for Benefits. For the year ended December 31, 2015 the net loss related to future contracts was ($18).
Note 6. 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 the applicable regulations of the IRC. The Plan has been amended since receiving the determination letter. The Company and Plan management believe that the Plan is currently designed and operated in compliance with the applicable requirements of the IRC and the Plan and related Trust continue to be tax-exempt. In January 2016, an application was submitted to the IRS for a new determination letter. GAAP requires Plan management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS. No provision for income taxes has been included in the Plans 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 2012.
Note 7. 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 in their accounts.
Note 8. 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, 2015 and 2014:
2015 | 2014 | |||||||
Net assets available for benefits per accompanying financial statements |
$ | 3,559,683 | $ | 3,531,005 | ||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts |
11,783 | 21,756 | ||||||
|
|
|
|
|||||
Net assets per Form 5500 |
$ | 3,571,466 | $ | 3,552,761 | ||||
|
|
|
|
F-12
Note 8. 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, 2015:
Total investment gain and contributions per accompanying financial statements |
$ | 282,352 | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year |
(21,756 | ) | ||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at the end of the year |
11,783 | |||
|
|
|||
Total income per Form 5500 |
$ | 272,379 | ||
|
|
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, 2015:
Benefits paid to Members per accompanying financial statements |
$ | 250,090 | ||
Deduct corrective distributions |
1 | |||
Deduct amounts allocated to deemed loan distributions |
48 | |||
|
|
|||
Benefits paid to Members per Form 5500 |
$ | 250,041 | ||
|
|
Note 9. Exempt Party-in-Interest Transactions
Certain plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services amounted to $70 for the year ended December 31, 2015. 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 $45 for the year ended December 31, 2015. In addition, certain Plan investments are shares of mutual funds that are sponsored by The Hartford and shares of Hartford Stock. At December 31, 2015 and 2014, the Plan held 5,026,863 shares and 5,316,940 shares of Hartford Stock with a cost basis of $167,805 and $177,210, respectively. During the year ended December 31, 2015, the Plan recorded dividend income from Hartford Stock and The Hartfords mutual funds of $9,631.
Note 10. Plan Amendments and Other Changes
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 $0.5, other than for hardship withdrawals).
Effective April 1, 2014, monthly periodic installment payments may be made to a Member, Deferred Member or Beneficiary who has attained age 55 and terminated employment in an amount requested by an investment manager appointed by, and with the consent of, a Member, Deferred Member or Beneficiary in accordance with Plan rules.
Effective April 1, 2014, the Plan was amended to clarify that the Plan Administrator has the full discretionary authority to determine all questions and to make all factual determinations regarding the correction of errors that result from the operation of Investment Options.
Note 11. Subsequent Events
Effective January 1, 2016, the Plan was amended to change the vesting period for Members hired on or after January 1, 2016, Members will be 100% vested in Matching Company and non-elective Company contributions made after January 1, 2016 after three years of service.
For the year ended December 31, 2015, subsequent events were evaluated through the date the financial statements were issued.
******
F-13
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015
($ 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 (5,026,863 shares) |
*** | $ | 219,298 | |||||
* |
State Street Bank and Trust | State Street Cash Fund STIF |
*** | 550 | ||||||
|
|
|||||||||
Subtotal Stock Fund |
219,848 | |||||||||
|
|
|||||||||
Mutual Funds: |
||||||||||
Total Return Bond HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. Total Return Bond HLS Fund, Class IA shares |
*** | 101,324 | ||||||
Dividend and Growth HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. Dividend and Growth HLS Fund, Class IA shares |
*** | 166,550 | ||||||
International Opportunities HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. International Opportunities HLS Fund, Class IA shares |
*** | 91,674 | ||||||
Dodge & Cox International Stock Fund |
||||||||||
Dodge & Cox |
Dodge & Cox International Stock Fund, Class IA shares |
*** | 90,893 | |||||||
Capital Appreciation HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. Capital Appreciation HLS Fund, Class IA shares |
*** | 166,929 | ||||||
Small Company HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. Small Company HLS Fund, Class IA shares |
*** | 77,561 | ||||||
MidCap HLS Fund |
||||||||||
* |
The Hartford |
Hartford Series Fund, Inc. MidCap HLS Fund, Class IA shares |
*** | 116,037 | ||||||
Prime Money Market |
||||||||||
Vanguard |
Vanguard Prime Money Market |
*** | 65,723 | |||||||
|
|
|||||||||
Subtotal Mutual Funds |
876,691 | |||||||||
|
|
* | 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-14
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 |
*** | $ | 10,944 | ||||||
Target Retirement Income Fund |
||||||||||
Vanguard |
Vanguard Target Retirement Income Fund |
*** | 34,251 | |||||||
Target Retirement 2010 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2010 Fund |
*** | 10,561 | |||||||
Target Retirement 2015 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2015 Fund |
*** | 90,375 | |||||||
Target Retirement 2020 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2020 Fund |
*** | 59,898 | |||||||
Target Retirement 2025 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2025 Fund |
*** | 209,927 | |||||||
Target Retirement 2030 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2030 Fund |
*** | 61,771 | |||||||
Target Retirement 2035 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2035 Fund |
*** | 206,593 | |||||||
Target Retirement 2040 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2040 Fund |
*** | 46,156 | |||||||
Target Retirement 2045 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2045 Fund |
*** | 110,969 | |||||||
Target Retirement 2050 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2050 Fund |
*** | 39,453 | |||||||
Target Retirement 2055 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2055 Fund |
*** | 14,940 | |||||||
Target Retirement 2060 Fund |
||||||||||
Vanguard |
Vanguard Target Retirement 2060 Fund |
*** | 7,644 | |||||||
|
|
|||||||||
Subtotal Collective Investment Trusts |
903,482 | |||||||||
|
|
* | 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-15
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 |
||||||||||
3M Co. |
*** | $ | 1,930 | |||||||
Abbott Laboratories |
*** | 1,393 | ||||||||
AbbVie, Inc. |
*** | 2,012 | ||||||||
Accenture PLC |
*** | 1,358 | ||||||||
Ace Ltd |
*** | 810 | ||||||||
Activision Blizzard Inc |
*** | 407 | ||||||||
Adobe Systems, Inc. |
*** | 974 | ||||||||
ADT Corp. |
*** | 114 | ||||||||
Advance Auto Parts Inc. |
*** | 231 | ||||||||
AES Corp |
*** | 135 | ||||||||
Aetna Inc. |
*** | 785 | ||||||||
Affiliated Managers Group |
*** | 180 | ||||||||
Aflac Inc. |
*** | 554 | ||||||||
Agilent Technologies Inc. |
*** | 288 | ||||||||
AGL Resources Inc. |
*** | 161 | ||||||||
Air Products + Chemicals |
*** | 525 | ||||||||
Airgas Inc. |
*** | 187 | ||||||||
Akamai Technologies Inc. |
*** | 196 | ||||||||
Alcoa Inc. |
*** | 271 | ||||||||
Alexion Pharmaceuticals Inc. |
*** | 894 | ||||||||
Allegion PLC |
*** | 131 | ||||||||
Allergan PLC |
*** | 2,563 | ||||||||
Alliance Data Systems Corp |
*** | 351 | ||||||||
Allstate Corp |
*** | 522 | ||||||||
Alphabet Inc. CL A |
*** | 4,713 | ||||||||
Alphabet Inc. CL C |
*** | 4,691 | ||||||||
Altria Group Inc |
*** | 2,374 | ||||||||
Amazon.com |
*** | 5,404 | ||||||||
Ameren Corporation |
*** | 219 | ||||||||
American Airlines Group Inc |
*** | 556 | ||||||||
American Electric Power |
*** | 595 | ||||||||
American Express Co. |
*** | 1,210 | ||||||||
American International Group |
*** | 1,620 | ||||||||
American Tower Corp |
*** | 854 | ||||||||
Ameriprise Financial Inc. |
*** | 384 | ||||||||
Amerisourcebergen Corp |
*** | 420 | ||||||||
Ametek Inc. |
*** | 265 | ||||||||
Amgen Inc |
*** | 2,547 | ||||||||
Amphenol Corp CL A |
*** | 332 | ||||||||
Anadarko Petroleum Corp |
*** | 514 | ||||||||
Analog Devices Inc |
*** | 359 | ||||||||
Anthem Inc |
*** | 757 | ||||||||
Aon PLC |
*** | 546 | ||||||||
Apache Corp |
*** | 350 | ||||||||
Apartment Invt & Mgmt Co |
*** | 131 | ||||||||
Apple Inc. |
*** | 12,206 |
* | 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
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, 2015 (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 |
||||||
Applied Materials Inc |
*** | $ | 446 | |||||||
Archer Daniels Midland Co |
*** | 457 | ||||||||
Assurant Inc |
*** | 129 | ||||||||
AT&T Inc |
*** | 4,401 | ||||||||
Autodesk Inc |
*** | 287 | ||||||||
Automatic Data Processing |
*** | 812 | ||||||||
Autonation Inc |
*** | 96 | ||||||||
Autozone Inc. |
*** | 469 | ||||||||
Avago Technologies Ltd |
*** | 792 | ||||||||
Avalonbay Communities Inc. |
*** | 523 | ||||||||
Avery Dennison Corp |
*** | 120 | ||||||||
Baker Hughes Inc |
*** | 419 | ||||||||
Ball Corp |
*** | 206 | ||||||||
Bank of America Corp |
*** | 3,646 | ||||||||
Bank of New York Mellon Corp |
*** | 936 | ||||||||
Baxalta Inc |
*** | 441 | ||||||||
Baxter International Inc |
*** | 433 | ||||||||
BB&T Corp |
*** | 613 | ||||||||
Becton Dickinson and Co |
*** | 674 | ||||||||
Bed, Bath & Beyond Inc |
*** | 165 | ||||||||
Berkshire Hathaway Inc. CL B |
*** | 5,143 | ||||||||
Best Buy Co Inc |
*** | 189 | ||||||||
Biogen Inc |
*** | 1,420 | ||||||||
Blackrock Inc |
*** | 895 | ||||||||
Boeing Co |
*** | 1,895 | ||||||||
Borgwarner Inc. |
*** | 201 | ||||||||
Boston Properties Inc |
*** | 407 | ||||||||
Boston Scientific Corp |
*** | 516 | ||||||||
Bristol Meyers Squibb Co |
*** | 2,387 | ||||||||
Broadcom Corp CL A |
*** | 674 | ||||||||
Brown Forman Corp |
*** | 210 | ||||||||
CH Robinson Worldwide Inc |
*** | 185 | ||||||||
CA Inc |
*** | 185 | ||||||||
Cablevision Systems Corp. |
*** | 149 | ||||||||
Cabot Oil & Gas Corp. |
*** | 150 | ||||||||
Cameron International Corp. |
*** | 252 | ||||||||
Campbell Soup Co. |
*** | 194 | ||||||||
Capital One Financial Corp. |
*** | 799 | ||||||||
Cardinal Health, Inc. |
*** | 610 | ||||||||
CarMax, Inc. |
*** | 226 | ||||||||
Carnival Corp. |
*** | 522 | ||||||||
Caterpillar, Inc. |
*** | 823 | ||||||||
CBRE Group Inc |
*** | 208 | ||||||||
CBS Corp |
*** | 425 | ||||||||
Celgene Corp |
*** | 1,957 | ||||||||
CenterPoint Energy, Inc. |
*** | 162 | ||||||||
CenturyLink, Inc. |
*** | 287 | ||||||||
Cerner Corp. |
*** | 382 |
* | 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
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, 2015 (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 |
||||||
CF Industries Holdings Inc |
*** | $ | 198 | |||||||
Chesapeake Energy Corp |
*** | 47 | ||||||||
Chevron Corp |
*** | 3,522 | ||||||||
Chipotle Mexican Grill Inc |
*** | 311 | ||||||||
Chubb Corp |
*** | 638 | ||||||||
Church & Dwight Co Inc |
*** | 225 | ||||||||
Cigna Corp |
*** | 784 | ||||||||
Cimarex Energy Co |
*** | 177 | ||||||||
Cincinnati Financial Corp |
*** | 204 | ||||||||
Cintas Corp |
*** | 165 | ||||||||
Cisco Systems Inc |
*** | 2,867 | ||||||||
Citigroup Inc |
*** | 3,207 | ||||||||
Citrix Systems Inc |
*** | 243 | ||||||||
Clorox Company |
*** | 340 | ||||||||
CME Group Inc |
*** | 636 | ||||||||
Coach Inc |
*** | 189 | ||||||||
Coca Cola Co |
*** | 3,496 | ||||||||
Coca Cola Enterprises |
*** | 214 | ||||||||
Cognizant Tech Solutions |
*** | 759 | ||||||||
Colgate Palmolive Co |
*** | 1,242 | ||||||||
Columbia Pipeline Group |
*** | 162 | ||||||||
Comcast Corp |
*** | 2,866 | ||||||||
Comerica Inc |
*** | 153 | ||||||||
Conagra Foods Inc |
*** | 379 | ||||||||
Conocophillips |
*** | 1,199 | ||||||||
Consol Energy Inc |
*** | 37 | ||||||||
Consolidated Edison Inc |
*** | 392 | ||||||||
Constellation Brands Inc. |
*** | 513 | ||||||||
Corning Inc |
*** | 451 | ||||||||
Costco Wholesale Corp |
*** | 1,468 | ||||||||
CR Bard Inc |
*** | 292 | ||||||||
Crown Castle Intl Corp |
*** | 599 | ||||||||
CSRA Inc |
*** | 85 | ||||||||
CSX Corp |
*** | 527 | ||||||||
Cummins Inc |
*** | 301 | ||||||||
CVS Health Corp |
*** | 2,251 | ||||||||
Danaher Corp W/D |
*** | 1,150 | ||||||||
Darden Restaurants Inc |
*** | 154 | ||||||||
Davita Healthcare Partners |
*** | 239 | ||||||||
Deere & Co |
*** | 494 | ||||||||
Delphi Automotive Plc |
*** | 499 | ||||||||
Delta Air Lines Inc |
*** | 829 | ||||||||
Dentsply International Inc |
*** | 179 | ||||||||
Devon Energy Corp |
*** | 259 | ||||||||
Diamond Offshore Drilling |
*** | 28 | ||||||||
Discover Financial Services |
*** | 477 | ||||||||
Discovery Communications A |
*** | 83 | ||||||||
Discovery Communications C |
*** | 135 |
* | 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
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, 2015 (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 |
||||||
Dollar General Corp |
*** | $ | 433 | |||||||
Dollar Tree Inc |
*** | 378 | ||||||||
Dominion Resources Inc |
*** | 837 | ||||||||
Dover Corp |
*** | 197 | ||||||||
Dow Chemical Co |
*** | 1,205 | ||||||||
Dr Horton Inc |
*** | 220 | ||||||||
Dr Pepper Snapple Group Inc |
*** | 367 | ||||||||
DTE Energy Company |
*** | 299 | ||||||||
Du Pont (E.I.) De Nemours |
*** | 1,214 | ||||||||
Duke Energy Corp |
*** | 1,021 | ||||||||
Dun & Bradstreet Corp |
*** | 79 | ||||||||
E Trade Financial Corp |
*** | 182 | ||||||||
Eastman Chemical Co |
*** | 209 | ||||||||
Eaton Corp Plc |
*** | 502 | ||||||||
Ebay Inc |
*** | 631 | ||||||||
Ecolab Inc |
*** | 632 | ||||||||
Edison International |
*** | 401 | ||||||||
Edwards Lifesciences Corp |
*** | 354 | ||||||||
Electronic Arts Inc |
*** | 445 | ||||||||
Eli Lilly & Co |
*** | 1,710 | ||||||||
EMC Corp |
*** | 1,036 | ||||||||
Emerson Electric Co |
*** | 650 | ||||||||
Endo International Plc |
*** | 267 | ||||||||
Ensco Plc Cl A |
*** | 77 | ||||||||
Entergy Corp |
*** | 252 | ||||||||
EOG Resources Inc |
*** | 809 | ||||||||
EQT Corp |
*** | 167 | ||||||||
Equifax Inc |
*** | 276 | ||||||||
Equinix Inc |
*** | 391 | ||||||||
Equity Residential |
*** | 617 | ||||||||
Essex Property Trust Inc |
*** | 328 | ||||||||
Estee Lauder Companies Cl A |
*** | 407 | ||||||||
Eversource Energy |
*** | 337 | ||||||||
Exelon Corp |
*** | 532 | ||||||||
Expedia Inc |
*** | 304 | ||||||||
Expeditors Intl Wash Inc |
*** | 174 | ||||||||
Express Scripts Holding Co |
*** | 1,301 | ||||||||
Exxon Mobil Corp |
*** | 6,749 | ||||||||
F5 Networks Inc |
*** | 141 | ||||||||
Facebook Inc A |
*** | 4,942 | ||||||||
Fastenal Co |
*** | 247 | ||||||||
Fedex Corp |
*** | 814 | ||||||||
Fidelity National Info Serv |
*** | 350 | ||||||||
Fifth Third Bancorp |
*** | 333 | ||||||||
First Solar Inc |
*** | 104 | ||||||||
Firstenergy Corp |
*** | 280 | ||||||||
Fiserv Inc |
*** | 435 | ||||||||
Flir Systems Inc |
*** | 79 |
* | 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
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, 2015 (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 |
||||||
Flowserve Corp |
*** | $ | 114 | |||||||
Fluor Corp |
*** | 140 | ||||||||
FMC Corp |
*** | 107 | ||||||||
FMC Technologies Inc |
*** | 136 | ||||||||
Ford Motor Co |
*** | 1,143 | ||||||||
Fossil Group Inc |
*** | 30 | ||||||||
Franklin Resources Inc |
*** | 288 | ||||||||
Freeport McMoran Inc |
*** | 164 | ||||||||
Frontier Communications Corp |
*** | 112 | ||||||||
GameStop Corp Class A |
*** | 62 | ||||||||
Gap Inc |
*** | 117 | ||||||||
Garmin Ltd |
*** | 90 | ||||||||
General Dynamics Corp |
*** | 847 | ||||||||
General Electric Co |
*** | 6,265 | ||||||||
General Growth Properties |
*** | 331 | ||||||||
General Mills Inc |
*** | 715 | ||||||||
General Motors Co |
*** | 1,001 | ||||||||
Genuine Parts Co |
*** | 268 | ||||||||
Gilead Sciences Inc |
*** | 3,034 | ||||||||
Goldman Sachs Group Inc |
*** | 1,489 | ||||||||
Goodyear Tire & Rubber Co |
*** | 183 | ||||||||
H&R Block Inc |
*** | 165 | ||||||||
Halliburton Co |
*** | 606 | ||||||||
Hanesbrands Inc |
*** | 239 | ||||||||
Harley Davidson Inc |
*** | 182 | ||||||||
Harman International |
*** | 140 | ||||||||
Harris Corp |
*** | 224 | ||||||||
Hasbro Inc |
*** | 158 | ||||||||
HCA Holdings Inc |
*** | 442 | ||||||||
HCP Inc |
*** | 369 | ||||||||
Helmerich & Payne |
*** | 119 | ||||||||
Henry Schein Inc |
*** | 274 | ||||||||
The Hershey Co |
*** | 267 | ||||||||
Hess Corp |
*** | 244 | ||||||||
Hewlett Packard Enterprises |
*** | 569 | ||||||||
Home Depot Inc |
*** | 3,489 | ||||||||
Honeywell International Inc |
*** | 1,661 | ||||||||
Hormel Foods Corp |
*** | 223 | ||||||||
Host Hotels & Resorts Inc |
*** | 241 | ||||||||
HP Inc |
*** | 446 | ||||||||
Humana Inc |
*** | 550 | ||||||||
Hunt (JB) Transport Services Inc |
*** | 137 | ||||||||
Huntington Bancshares Inc |
*** | 183 | ||||||||
Illinois Tool Works |
*** | 629 | ||||||||
Illumina Inc |
*** | 585 | ||||||||
Ingersoll Rand Plc |
*** | 302 | ||||||||
Intel Corp |
*** | 3,380 | ||||||||
Intercontinental Exchange In |
*** | 585 |
* | 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
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, 2015 (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 |
||||||
International Paper Co | *** | $ | 323 | |||||||
Interpublic Group of Cos Inc | *** | 198 | ||||||||
Intl Business Machines Corp | *** | 2,553 | ||||||||
Intl Flavors & Fragrances | *** | 198 | ||||||||
Intuit Inc | *** | 530 | ||||||||
Intuitive Surgical Inc | *** | 424 | ||||||||
Invesco Ltd | *** | 298 | ||||||||
Iron Mountain Inc | *** | 107 | ||||||||
Jacobs Engineering Group Inc | *** | 108 | ||||||||
JM Smucker Co | *** | 308 | ||||||||
Johnson & Johnson | *** | 5,910 | ||||||||
Johnson Controls Inc | *** | 533 | ||||||||
JPMorgan Chase & Co | *** | 5,057 | ||||||||
Juniper Networks Inc | *** | 205 | ||||||||
Kansas City Southern | *** | 170 | ||||||||
Kellogg Co | *** | 382 | ||||||||
Keurig Green Mountain Inc | *** | 217 | ||||||||
Keycorp | *** | 228 | ||||||||
Kimberly Clark Corp | *** | 961 | ||||||||
Kimco Realty Corp | *** | 229 | ||||||||
Kohls Corp | *** | 188 | ||||||||
Kraft Heinz Co | *** | 900 | ||||||||
Kroger Co | *** | 847 | ||||||||
L3 Communications Holdings | *** | 194 | ||||||||
L Brands Inc | *** | 507 | ||||||||
Laboratory Crp of Amer Hldgs | *** | 260 | ||||||||
LAM Research Corp | *** | 264 | ||||||||
Legg Mason Inc | *** | 89 | ||||||||
Leggett & Platt Inc | *** | 120 | ||||||||
Lennar Corp A | *** | 182 | ||||||||
Leucadia National Corp | *** | 120 | ||||||||
Level 3 Communications Inc | *** | 327 | ||||||||
Lincoln National Corp | *** | 271 | ||||||||
Linear Technology Corp | *** | 212 | ||||||||
Lockheed Martin Corp | *** | 1,195 | ||||||||
Loews Corp | *** | 245 | ||||||||
Lowe S Cos Inc | *** | 1,447 | ||||||||
Lyondellbasell Indu Cl A | *** | 651 | ||||||||
M&T Bank Corp | *** | 403 | ||||||||
Macerich Co, The | *** | 228 | ||||||||
Macys Inc | *** | 231 | ||||||||
Mallinckrodt Plc | *** | 180 | ||||||||
Marathon Oil Corp | *** | 178 | ||||||||
Marathon Petroleum Corp | *** | 575 | ||||||||
Marriot International Cl A | *** | 269 | ||||||||
Marsh & McLennan Cos | *** | 623 | ||||||||
Martin Marietta Materials | *** | 189 | ||||||||
Masco Corp | *** | 200 |
* | 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
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, 2015 (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 |
||||||
Mastercard Inc Class A | *** | $ | 2,005 | |||||||
Mattel Inc | *** | 192 | ||||||||
McCormick & Co Non Vtg Shares | *** | 208 | ||||||||
McDonalds Corp | *** | 2,255 | ||||||||
McGraw Hill Financial Inc | *** | 556 | ||||||||
McKesson Corp | *** | 943 | ||||||||
Mead Johnson Nutrition Co | *** | 322 | ||||||||
Metronic Plc | *** | 2,250 | ||||||||
Merck & Co Inc | *** | 3,069 | ||||||||
Metlife Inc | *** | 1,134 | ||||||||
Michael Kors Holdings Ltd | *** | 153 | ||||||||
Microchip Technology Inc | *** | 196 | ||||||||
Micron Technology Inc | *** | 320 | ||||||||
Microsoft Corp | *** | 9,218 | ||||||||
Mohawk Industries Inc | *** | 252 | ||||||||
Molson Coors Brewing Co B | *** | 308 | ||||||||
Mondelez International Inc A | *** | 1,483 | ||||||||
Monsanto Co | *** | 900 | ||||||||
Monster Beverage Corp | *** | 463 | ||||||||
Moodys Corp | *** | 358 | ||||||||
Morgan Stanley | *** | 1,000 | ||||||||
Mosaic Co, The | *** | 192 | ||||||||
Motorola Solutions Inc | *** | 229 | ||||||||
Murphy Oil Corp | *** | 76 | ||||||||
Mylan NV | *** | 465 | ||||||||
NASDAQ Inc | *** | 141 | ||||||||
National Oilwell Varco Inc | *** | 260 | ||||||||
Navient Corp | *** | 85 | ||||||||
Netapp Inc | *** | 160 | ||||||||
Netflix Inc | *** | 1,017 | ||||||||
Newell Rubbermaid Inc | *** | 244 | ||||||||
Newfield Exploration Co | *** | 110 | ||||||||
Newmont Mining Corp | *** | 196 | ||||||||
News Corp Class A | *** | 108 | ||||||||
News Corp Class B | *** | 32 | ||||||||
Nextera Energy Inc | *** | 995 | ||||||||
Nielsen Holdings Plc | *** | 352 | ||||||||
Nike Inc Cl B | *** | 1,755 | ||||||||
Nisource Inc | *** | 130 | ||||||||
Noble Energy Inc | *** | 292 | ||||||||
Nordstrom Inc | *** | 141 | ||||||||
Norfolk Southern Corp | *** | 524 | ||||||||
Northern Trust Corp | *** | 326 | ||||||||
Northrop Grumman Corp | *** | 716 | ||||||||
NRG Energy Inc | *** | 76 | ||||||||
Nucor Corp | *** | 268 | ||||||||
Nvidia Corp | *** | 351 | ||||||||
OReilly Automotive Inc | *** | 521 |
* | Indicates party-in-interest. |
** | These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
*** | Cost information is not required for Member directed investments, and therefore is not included. |
F-22
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 |
||||||
Occidental Petroleum Corp | *** | $ | 1,073 | |||||||
Omnicom Group | *** | 381 | ||||||||
Oneok Inc | *** | 107 | ||||||||
Oracle Corp | *** | 2,432 | ||||||||
Owens Illinois Inc | *** | 58 | ||||||||
P, G & E Corp | *** | 543 | ||||||||
Paccar Inc | *** | 350 | ||||||||
Packer Hannifin Corp | *** | 276 | ||||||||
Patterson Cos Inc | *** | 80 | ||||||||
Paychex Inc | *** | 351 | ||||||||
Paypal Holdings Inc | *** | 837 | ||||||||
Pentair Plc | *** | 187 | ||||||||
Peoples United Financial | *** | 105 | ||||||||
Pepco Holdings Inc | *** | 136 | ||||||||
Pepsico Inc | *** | 3,026 | ||||||||
Perkinelmer Inc | *** | 126 | ||||||||
Perrigo Co Plc | *** | 441 | ||||||||
Pfizer Inc | *** | 4,145 | ||||||||
Philip Morris International | *** | 2,832 | ||||||||
Phillips 66 | *** | 809 | ||||||||
Pinnacle West Capital | *** | 147 | ||||||||
Pioneer Natural Resources Co | *** | 389 | ||||||||
Pitney Bowes Inc | *** | 83 | ||||||||
Plum Creek Timber Co | *** | 173 | ||||||||
PNC Financial Services Group | *** | 1,008 | ||||||||
PPG Industries Inc | *** | 554 | ||||||||
PPL Corp | *** | 478 | ||||||||
Praxair Inc | *** | 606 | ||||||||
Precision Castparts Corp | *** | 662 | ||||||||
Priceline Group Inc, The | *** | 1,321 | ||||||||
Principal Financial Group | *** | 270 | ||||||||
Proctor & Gamble Co, The | *** | 4,492 | ||||||||
Progressive Corp | *** | 409 | ||||||||
Prologis Inc | *** | 468 | ||||||||
Prudential Financial Inc | *** | 776 | ||||||||
Public Service Enterprise Gp | *** | 407 | ||||||||
Public Storage | *** | 757 | ||||||||
Pultegroup Inc | *** | 119 | ||||||||
PVH Corp | *** | 125 | ||||||||
Qorvo Inc | *** | 150 | ||||||||
Qualcomm Inc | *** | 1,563 | ||||||||
Quanta Services Inc | *** | 66 | ||||||||
Quest Diagnostics Inc | *** | 214 | ||||||||
Ralph Lauren Corp | *** | 135 | ||||||||
Range Resources Corp | *** | 86 | ||||||||
Raytheon Company | *** | 779 | ||||||||
Realty Income Corp | *** | 266 | ||||||||
Red Hat Inc | *** | 315 |
* | 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
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, 2015 (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 |
||||||
Regeneron Pharmaceuticals | *** | $ | 877 | |||||||
Regions Financial Corp | *** | 260 | ||||||||
Republic Services Inc | *** | 217 | ||||||||
Reynolds American Inc | *** | 796 | ||||||||
Robert Half Intl Inc | *** | 129 | ||||||||
Rockwell Automation Inc | *** | 282 | ||||||||
Rockwell Collins Inc | *** | 251 | ||||||||
Roper Technologies Inc | *** | 396 | ||||||||
Ross Stores Inc | *** | 452 | ||||||||
Royal Caribbean Cruises Ltd | *** | 363 | ||||||||
Ryder System Inc | *** | 63 | ||||||||
S&P 500 Emini Fut Mar 16 | *** | 200 | ||||||||
Salesforce.com Inc | *** | 1,018 | ||||||||
Sandisk Corp | *** | 317 | ||||||||
Scana Corp | *** | 182 | ||||||||
Schlumberger Ltd | *** | 1,830 | ||||||||
Schwab (Charles) Corp | *** | 821 | ||||||||
Scripps Networks Inter Cl A | *** | 108 | ||||||||
Seagate Technology | *** | 229 | ||||||||
Sealed Air Corp | *** | 184 | ||||||||
Sempra Energy | *** | 461 | ||||||||
Sherwin Williams Co, The | *** | 427 | ||||||||
Signet Jewelers Ltd | *** | 206 | ||||||||
Simon Property Group Inc | *** | 1,251 | ||||||||
Skyworks Solutions Inc | *** | 306 | ||||||||
SL Green Realty Corp | *** | 235 | ||||||||
Snap On Inc | *** | 208 | ||||||||
Southern Co, The | *** | 883 | ||||||||
Southwest Airlines Co | *** | 582 | ||||||||
Southwestern Energy Co | *** | 56 | ||||||||
Spectra Energy Corp | *** | 335 | ||||||||
St Jude Medical Inc | *** | 363 | ||||||||
Stanley Black & Decker Inc | *** | 331 | ||||||||
Staples Inc | *** | 128 | ||||||||
Starbucks Corp | *** | 1,954 | ||||||||
Starwood Hotels & Resorts | *** | 244 | ||||||||
State Street Corp | *** | 556 | ||||||||
Stericycle Inc | *** | 213 | ||||||||
Stryker Corp | *** | 609 | ||||||||
Suntrust Banks Inc | *** | 455 | ||||||||
Symantec Corp | *** | 293 | ||||||||
Synchrony Financial | *** | 528 | ||||||||
Sysco Corp | *** | 446 | ||||||||
T. Rowe Price Group Inc | *** | 374 | ||||||||
Target Corp | *** | 930 | ||||||||
TE Connectivity Ltd | *** | 519 | ||||||||
Teco Energy Inc | *** | 130 | ||||||||
Tegna Inc | *** | 117 |
* | 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
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, 2015 (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 |
||||||
Tenet Healthcare Corp | *** | $ | 63 | |||||||
Teradata Corp | *** | 73 | ||||||||
Tesoro Corp | *** | 263 | ||||||||
Texas Instruments Inc | *** | 1,155 | ||||||||
Textron Inc | *** | 240 | ||||||||
Thermo Fisher Scientific Inc | *** | 1,177 | ||||||||
Tiffany & Co | *** | 176 | ||||||||
Time Warner Cable | *** | 1,093 | ||||||||
Time Warner Inc | *** | 1,075 | ||||||||
TJX Companies Inc | *** | 986 | ||||||||
Torchmark Corp | *** | 157 | ||||||||
Total System Services Inc | *** | 178 | ||||||||
Tractor Supply Company | *** | 239 | ||||||||
Transocean Ltd | *** | 88 | ||||||||
Travelers Cos Inc, The | *** | 736 | ||||||||
Tripadvisor Inc | *** | 201 | ||||||||
Twenty First Century Fox B | *** | 243 | ||||||||
Twenty First Century Fox A | *** | 662 | ||||||||
Tyco International Plc | *** | 280 | ||||||||
Tyson Foods Inc Cl A | *** | 328 | ||||||||
Under Armour Inc Class A | *** | 303 | ||||||||
Union Pacific Corp | *** | 1,388 | ||||||||
United Continental Holdings | *** | 446 | ||||||||
United Parcel Service Cl B | *** | 1,393 | ||||||||
United Rentals Inc | *** | 143 | ||||||||
United Technologies Corp | *** | 1,647 | ||||||||
United Health Group Inc | *** | 2,332 | ||||||||
Universal Health Services B | *** | 227 | ||||||||
Unum Group | *** | 186 | ||||||||
Urban Outfitters Inc | *** | 39 | ||||||||
US Bancorp | *** | 1,459 | ||||||||
Valero Energy Corp | *** | 709 | ||||||||
Vanguard S&P500 ETF | *** | 273 | ||||||||
Varian Medical Systems Inc | *** | 162 | ||||||||
Ventas Inc | *** | 390 | ||||||||
Verisign Inc | *** | 180 | ||||||||
Verisk Analytics Inc | *** | 249 | ||||||||
Verizon Communications Inc | *** | 3,910 | ||||||||
Vertex Pharmaceuticals Inc | *** | 643 | ||||||||
VF Corp | *** | 441 | ||||||||
Viacom Inc Class B | *** | 298 | ||||||||
Visa Inc Class A shares | *** | 3,139 | ||||||||
Vornado Realty Trust | *** | 369 | ||||||||
Vulcan Materials Co | *** | 266 | ||||||||
Walmart Stores Inc | *** | 1,999 | ||||||||
Walgreens Boots Alliance Inc | *** | 1,543 | ||||||||
Walt Disney Co, The | *** | 3,324 | ||||||||
Waste Management Inc | *** | 461 |
* | 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
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, 2015 (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 |
||||||
Waters Corp | *** | $ | 229 | |||||||
WEC Energy Group Inc | *** | 337 | ||||||||
Wells Fargo & Co | *** | 5,392 | ||||||||
Welltower Inc | *** | 500 | ||||||||
Western Digital Corp | *** | 290 | ||||||||
Western Union Co | *** | 189 | ||||||||
Westrock Co | *** | 242 | ||||||||
Weyerhaeuser Co | *** | 319 | ||||||||
Whirlpool Corp | *** | 240 | ||||||||
Whole Foods Market Inc | *** | 237 | ||||||||
Williams Cos Inc | *** | 365 | ||||||||
WW Grainger Inc | *** | 242 | ||||||||
Wyndham Worldwide Corp | *** | 174 | ||||||||
Wynn Resorts Ltd | *** | 117 | ||||||||
Xcel Energy Inc | *** | 379 | ||||||||
Xerox Corp | *** | 212 | ||||||||
Xilinx Inc | *** | 252 | ||||||||
XL Group Plc | *** | 266 | ||||||||
Xylem Inc | *** | 138 | ||||||||
Yahoo Inc | *** | 601 | ||||||||
Yum Brands Inc | *** | 655 | ||||||||
Zimmer Biomet Holdings Inc | *** | 365 | ||||||||
Zions Bancorporation | *** | 118 | ||||||||
Zoetis Inc | *** | 457 | ||||||||
CMS Energy Corp | *** | 208 | ||||||||
Kinder Morgan Inc | *** | 568 | ||||||||
KLA Tencor Corp | *** | 227 | ||||||||
S&P Index STIF | *** | 3,572 | ||||||||
|
|
|||||||||
Subtotal Hartford Index Fund |
376,794 | |||||||||
|
|
|||||||||
Separately managed accounts: | ||||||||||
Columbus Circle | Columbus Circle Large Cap Growth Fund | |||||||||
Equity Securities | ||||||||||
Activision Blizzard Inc. | *** | 2,505 | ||||||||
Alexion Pharmaceuticals Inc | *** | 2,581 |
* | 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
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, 2015 (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 |
||||||
Allergan PLC | *** | $ | 2,826 | |||||||
Alphabet Inc. | *** | 6,694 | ||||||||
Amazon.com Inc. | *** | 6,209 | ||||||||
Amerisourcebergen Corp. | *** | 1,836 | ||||||||
Apple Inc. | *** | 9,460 | ||||||||
Avago Technologies LTD | *** | 1,654 | ||||||||
Bristol Meyers Squibb Co. | *** | 5,486 | ||||||||
Capital One Financial Corp. | *** | 4,458 | ||||||||
Constellation Brands Inc | *** | 3,246 | ||||||||
Delta Air Lines Inc | *** | 4,003 | ||||||||
Dexcom Inc. | *** | 1,439 | ||||||||
Edwards Lifesciences Corp | *** | 3,101 | ||||||||
Eli Lilly + Co. | *** | 2,727 | ||||||||
Facebook Inc. | *** | 6,738 | ||||||||
Fleetcor Technologies Inc. | *** | 2,366 | ||||||||
Gilead Sciences Inc. | *** | 7,292 | ||||||||
Hilton Worldwide Holdings Inc. | *** | 2,145 | ||||||||
Intuitive Surgical Inc | *** | 1,999 | ||||||||
L Brands Inc | *** | 3,218 | ||||||||
Lam Research Corp | *** | 2,501 | ||||||||
Masco Corp. | *** | 2,074 | ||||||||
Mastercard Inc | *** | 6,022 | ||||||||
McDonalds Corp. | *** | 1,336 | ||||||||
Mcgraw Hill Financial Inc | *** | 2,627 | ||||||||
Mckesson Corp | *** | 3,297 | ||||||||
Mondelez International Inc. | *** | 1,729 | ||||||||
Netflix Inc. | *** | 1,562 | ||||||||
Nike Inc | *** | 6,615 | ||||||||
NXP Semiconductors NV | *** | 2,489 | ||||||||
Palo Alto Networks Inc. | *** | 2,140 | ||||||||
Paypal Holdings Inc. | *** | 1,629 | ||||||||
PPG Industries Inc. | *** | 5,669 | ||||||||
Priceline Group Inc. | *** | 3,344 | ||||||||
Royal Caribbean Cruises LTD | *** | 4,309 | ||||||||
Servicenow Inc. | *** | 2,755 | ||||||||
Splunk Inc. | *** | 1,728 | ||||||||
Starbucks Corp. | *** | 4,644 | ||||||||
Synchrony Financial | *** | 1,837 | ||||||||
Tableau Software Inc. | *** | 1,883 | ||||||||
Target Corp | *** | 3,908 | ||||||||
TJX Companies Inc. | *** | 2,241 | ||||||||
Ulta Salon Cosmetics + Fragrances | *** | 4,738 | ||||||||
Under Armour Inc. | *** | 2,085 | ||||||||
United Continental Holdings | *** | 3,650 | ||||||||
Visa Inc. | *** | 5,858 | ||||||||
* |
State Street Bank and Trust | State Street Cash Fund STIF | *** | 1,958 | ||||||
|
|
|||||||||
Subtotal Columbus Circle |
166,611 | |||||||||
|
|
* | 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
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, 2015 (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 | ISP High Yield Bond Fund | ||||||||||||||||
Bond Investments |
Interest Rate | Maturity | Par Value | |||||||||||||||
Activision Blizzard Company | 6.125 | % | 09/05/23 | 125 | *** | $ | 133 | |||||||||||
Aerojet Rocketdyne Hldg | 7.125 | % | 03/01/21 | 383 | *** | 398 | ||||||||||||
Albea Beauty Holdings | 8.375 | % | 11/01/19 | 430 | *** | 447 | ||||||||||||
Albertsons LLC | 0.010 | % | 12/21/22 | 182 | *** | 181 | ||||||||||||
Alcoa Inc | 6.750 | % | 01/01/28 | 190 | *** | 181 | ||||||||||||
Alere Inc | 7.250 | % | 07/01/18 | 370 | *** | 378 | ||||||||||||
Allegiant Travel Co | 5.500 | % | 07/01/19 | 303 | *** | 307 | ||||||||||||
Ally Financial Inc | 4.750 | % | 09/01/18 | 244 | *** | 250 | ||||||||||||
Ally Financial Inc | 8.000 | % | 11/01/31 | 524 | *** | 605 | ||||||||||||
Ally Financial Inc | 5.750 | % | 11/01/25 | 182 | *** | 184 | ||||||||||||
Ally Financial Inc | 8.000 | % | 12/01/18 | 222 | *** | 243 | ||||||||||||
Altice Financing SA | 6.625 | % | 02/01/23 | 200 | *** | 198 | ||||||||||||
Amerigas Finance LLC | 7.000 | % | 05/01/22 | 290 | *** | 281 | ||||||||||||
Antero Resources Corp. | 6.000 | % | 12/01/20 | 305 | *** | 255 | ||||||||||||
Arcelormittal | 10.850 | % | 06/01/19 | 343 | *** | 322 | ||||||||||||
Ardagh Finance Holdings | 8.625 | % | 06/01/19 | 239 | *** | 235 | ||||||||||||
Ardagh Finance Holdings | 7.000 | % | 11/01/20 | 199 | *** | 195 | ||||||||||||
Ashtead Capital Inc | 6.500 | % | 07/01/22 | 357 | *** | 372 | ||||||||||||
Audatex North America | 6.000 | % | 06/01/21 | 310 | *** | 312 | ||||||||||||
Avago Technologies Cayman | 0.010 | % | 06/15/19 | 255 | *** | 252 | ||||||||||||
Avaya Inc | 9.000 | % | 04/01/19 | 625 | *** | 480 | ||||||||||||
BCP Singapore | 8.000 | % | 04/15/21 | 372 | *** | 167 | ||||||||||||
BJs Wholesale Club Inc. | 0.010 | % | 03/26/20 | 254 | *** | 226 | ||||||||||||
Bombardier Inc | 7.750 | % | 03/01/20 | 360 | *** |
291 | ||||||||||||
Brocade Communications Company | 4.625 | % | 01/01/23 | 171 | *** | 162 | ||||||||||||
Cable One Inc. | 5.750 | % | 06/01/22 | 276 | *** | 275 | ||||||||||||
Caesars Ent Resort | 8.000 | % | 10/01/20 | 321 | *** | 305 | ||||||||||||
Calpine Corp | 7.875 | % | 01/15/23 | 245 | *** | 261 | ||||||||||||
Carmike Cinemas Inc. | 6.000 | % | 06/01/23 | 255 | *** | 261 | ||||||||||||
CB Momentive Performance | 10.000 | % | 10/01/20 | 185 | *** | | ||||||||||||
CCO Holdings LLC | 6.625 | % | 01/01/22 | 500 | *** | 527 | ||||||||||||
CCO Holdings LLC | 6.500 | % | 04/01/21 | 510 | *** | 530 | ||||||||||||
CCOH Safari LLC | 5.750 | % | 02/01/26 | 311 | *** | 312 | ||||||||||||
Cemex Finance LLC | 9.375 | % | 10/01/22 | 212 | *** | 223 | ||||||||||||
Cengage Learning Acquisitions | 1.000 | % | 03/31/20 | 164 | *** | 160 | ||||||||||||
Chesapeake Energy Corp | 2.250 | % | 12/01/38 | 315 | *** | 105 | ||||||||||||
Chesapeake Energy Corp | 8.000 | % | 12/01/22 | 156 | *** | 76 |
* | 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
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, 2015 (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 | ||||||||||||||||
Chiquita Brands Intl |
7.875 | % | 02/01/21 | 146 | *** | $ | 153 | |||||||||||
CIT Group Inc. |
5.000 | % | 08/01/22 | 377 | *** | 387 | ||||||||||||
CIT Group Inc. |
5.000 | % | 08/01/23 | 221 | *** | 224 | ||||||||||||
Clear Channel Worldwide Co. |
6.500 | % | 11/01/22 | 285 | *** | 275 | ||||||||||||
Clubcorp |
8.250 | % | 12/01/23 | 300 | *** | 294 | ||||||||||||
CNH Industrial Capital |
3.875 | % | 07/01/18 | 136 | *** | 132 | ||||||||||||
Communications Sales |
8.250 | % | 10/01/23 | 332 | *** | 281 | ||||||||||||
Communications Sales |
6.000 | % | 04/01/23 | 128 | *** | 121 | ||||||||||||
Concho Resources Inc |
7.000 | % | 01/01/21 | 385 | *** | 379 | ||||||||||||
Concho Resources Inc |
6.500 | % | 01/01/22 | 165 | *** | 158 | ||||||||||||
Consolidated Comm Co |
6.500 | % | 10/01/22 | 221 | *** | 186 | ||||||||||||
CSC Holdings LLC |
6.750 | % | 11/01/21 | 421 | *** | 414 | ||||||||||||
Darling Ingredients Inc |
5.375 | % | 01/01/22 | 186 | *** | 183 | ||||||||||||
Davita Healthcare Partners |
0.010 | % | 01/15/22 | 132 | *** | 132 | ||||||||||||
Dean Foods Co. |
6.500 | % | 03/01/23 | 312 | *** | 324 | ||||||||||||
Dell Inc |
6.500 | % | 04/01/38 | 412 | *** | 338 | ||||||||||||
Denali Borrower |
5.625 | % | 10/01/20 | 237 | *** | 248 | ||||||||||||
Dish DBS Corp Company |
6.750 | % | 06/01/21 | 630 | *** | 635 | ||||||||||||
Dupont Fabros Tech |
5.625 | % | 06/01/23 | 256 | *** | 259 | ||||||||||||
Dynegy Inc Company |
7.625 | % | 11/01/24 | 310 | *** | 265 | ||||||||||||
Endeavor Energy Resources |
8.125 | % | 09/01/23 | 320 | *** | 288 | ||||||||||||
Endo Fin LLC |
5.750 | % | 01/01/22 | 416 | *** | 404 | ||||||||||||
Energy Transfer |
5.875 | % | 01/01/24 | 167 | *** | 136 | ||||||||||||
Energy Transfer |
7.500 | % | 10/01/20 | 223 | *** | 206 | ||||||||||||
EP Energy LLC |
0.010 | % | 05/24/18 | 335 | *** | 259 | ||||||||||||
Equinix Inc |
5.375 | % | 04/01/23 | 148 | *** | 151 | ||||||||||||
Equinix Inc |
0.010 | % | 04/01/23 | 25 | *** | 25 | ||||||||||||
Fairpoint Communications |
8.750 | % | 08/15/19 | 253 | *** | 249 | ||||||||||||
Ferrell Gas |
6.500 | % | 05/01/21 | 530 | *** | 366 | ||||||||||||
First Data Corporation |
6.750 | % | 11/01/20 | 250 | *** | 262 | ||||||||||||
FMG Resources |
9.750 | % | 03/01/22 | 181 | *** | 166 | ||||||||||||
Forestar USA |
8.500 | % | 06/01/22 | 379 | *** | 370 | ||||||||||||
Frontier Communications |
9.000 | % | 09/15/25 | 329 | *** | 276 | ||||||||||||
Frontier Communications |
11.000 | % | 09/01/25 | 477 | *** | 472 | ||||||||||||
Gibson Energy Inc |
6.750 | % | 07/15/21 | 185 | *** | 177 | ||||||||||||
Gulfport Energy Corp |
7.750 | % | 11/01/20 | 380 | *** | 340 | ||||||||||||
Halcon Resources Corp |
8.625 | % | 02/01/20 | 410 | *** | 283 | ||||||||||||
Harland Clarke Holdings |
8.625 | % | 03/01/20 | 315 | *** | 261 | ||||||||||||
HCA Inc. |
7.500 | % | 11/01/95 | 1,125 | *** | 1,069 | ||||||||||||
Hexion US Finance Corp |
6.625 | % | 04/01/20 | 348 | *** | 271 | ||||||||||||
Hilcorp Energy |
7.625 | % | 04/01/21 | 389 | *** | 373 | ||||||||||||
Hughes Satellite Systems Co. |
7.625 | % | 06/01/21 | 285 | *** | 302 | ||||||||||||
Icahn Enterprises |
6.000 | % | 08/01/20 | 380 | *** | 383 | ||||||||||||
Iheart Communications Inc. |
11.250 | % | 03/01/21 | 295 | *** | 207 | ||||||||||||
Intelsat Jackson Hldg Co |
7.250 | % | 10/01/20 | 608 | *** | 532 |
* | 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
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, 2015 (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 | ||||||||||||||||
INTL Lease Finance Corp | 8.625 | % | 01/01/22 | 249 | *** | $ | 301 | |||||||||||
INTL Lease Finance Corp | 8.750 | % | 03/01/17 | 225 | *** | 240 | ||||||||||||
INTL Lease Finance Corp | 3.875 | % | 04/01/18 | 260 | *** | 262 | ||||||||||||
JC Penney Corp Inc | 0.010 | % | 05/22/18 | 266 | *** | 261 | ||||||||||||
J Crew Group Inc. | 0.010 | % | 03/05/21 | 384 | *** | 248 | ||||||||||||
J2 Global Communications | 8.000 | % | 08/01/20 | 577 | *** | 603 | ||||||||||||
Jaguar Land Rover | 5.625 | % | 02/01/23 | 500 | *** | 505 | ||||||||||||
JBS USA LLC | 8.250 | % | 02/01/20 | 150 | *** | 150 | ||||||||||||
JBS USA LLC | 7.250 | % | 06/01/21 | 296 | *** | 294 | ||||||||||||
Jo Ann Stores Inc | 8.125 | % | 03/01/19 | 285 | *** | 228 | ||||||||||||
K Hovnanian Enterprises | 9.125 | % | 11/01/20 | 292 | *** | 222 | ||||||||||||
K Hovnanian Enterprises | 7.250 | % | 10/01/20 | 315 | *** | 271 | ||||||||||||
KCG Holdings Inc. | 6.875 | % | 03/01/20 | 188 | *** | 169 | ||||||||||||
Koosharem LLC | 1.000 | % | 05/16/20 | 204 | *** | 189 | ||||||||||||
L Brands Inc | 7.600 | % | 07/01/37 | 388 | *** | 407 | ||||||||||||
Ladder Cap Fin LLP | 7.375 | % | 10/01/17 | 508 | *** | 506 | ||||||||||||
Landry S Inc. | 9.375 | % | 05/01/20 | 590 | *** | 621 | ||||||||||||
Lear Corp. | 5.250 | % | 01/01/25 | 177 | *** | 180 | ||||||||||||
Level 3 Financing Inc. | 0.010 | % | 01/15/20 | 109 | *** | 109 | ||||||||||||
Level 3 Financing Inc. | 6.125 | % | 01/01/21 | 239 | *** | 247 | ||||||||||||
Liberty Interactive LLC | 8.250 | % | 02/01/30 | 460 | *** | 458 | ||||||||||||
Liberty Mutual Group Inc. | 10.750 | % | 06/01/88 | 185 | *** | 276 | ||||||||||||
LKQ Corp. | 4.750 | % | 05/01/23 | 246 | *** | 231 | ||||||||||||
Mallinckrodt Fin | 5.750 | % | 08/01/22 | 489 | *** | 469 | ||||||||||||
Mattamy Group | 6.500 | % | 11/01/20 | 643 | *** | 611 | ||||||||||||
Mcgraw Hill | 9.750 | % | 04/01/21 | 402 | *** | 426 | ||||||||||||
MDC Holdings Inc. | 6.000 | % | 01/01/43 | 299 | *** | 236 | ||||||||||||
MGM Resorts Intl Company | 11.375 | % | 03/01/18 | 165 | *** | 189 | ||||||||||||
MGM Resorts Intl Company | 7.750 | % | 03/01/22 | 315 | *** | 335 | ||||||||||||
Micron Technology Inc. | 5.625 | % | 01/01/26 | 273 | *** | 236 | ||||||||||||
Mirant Mid Atlantic | 10.060 | % | 12/01/28 | 195 | *** | 189 | ||||||||||||
Mohegan Tribal Gaming Co | 9.750 | % | 09/01/21 | 442 | *** | 441 | ||||||||||||
Momentive Performance | 4.690 | % | 04/01/22 | 185 | *** | 92 | ||||||||||||
Momentive Performance | 3.880 | % | 10/01/21 | 185 | *** | 128 | ||||||||||||
MPLX LP | 5.500 | % | 02/01/23 | 260 | *** | 228 | ||||||||||||
MPM Escrow LLC | 8.875 | % | 10/15/20 | 185 | *** | | ||||||||||||
MSCI Inc. | 5.750 | % | 08/01/25 | 140 | *** | 144 | ||||||||||||
Nationstar Mort | 7.875 | % | 10/01/20 | 366 | *** | 350 | ||||||||||||
Navient Corp. | 8.450 | % | 06/01/18 | 236 | *** | 248 | ||||||||||||
Neptune Finco Corp | 6.625 | % | 10/01/25 | 300 | *** | 312 | ||||||||||||
Netflix Inc. | 5.500 | % | 02/01/22 | 227 | *** | 233 | ||||||||||||
New Gold Inc | 7.000 | % | 04/01/20 | 190 | *** | 171 | ||||||||||||
Nexteer Auto Group LTD | 5.875 | % | 11/01/21 | 200 | *** | 204 | ||||||||||||
NRG Energy Inc. | 6.625 | % | 03/01/23 | 310 | *** | 269 | ||||||||||||
NRG Energy Inc. | 6.250 | % | 07/01/22 | 605 | *** | 515 | ||||||||||||
NRG Yield Operating LLC | 5.375 | % | 08/01/24 | 200 | *** | 166 | ||||||||||||
NSG Holdings LLC | 7.750 | % | 12/01/25 | 96 | *** | 104 |
* | 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
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, 2015 (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 | ||||||||||||||||
NXP BV/NXP Funding LLC |
5.750 | % | 03/01/23 | 200 | *** | $ | 207 | |||||||||||
OneMain Fin Holdings Inc. |
7.250 | % | 12/01/21 | 319 | *** | 320 | ||||||||||||
PBF Holding Co LLC |
8.250 | % | 02/01/20 | 448 | *** | 464 | ||||||||||||
PBF Holding Co LLC |
7.000 | % | 11/01/23 | 353 | *** | 344 | ||||||||||||
Pilgrim Pride Corp |
5.750 | % | 03/01/25 | 182 | *** | 177 | ||||||||||||
Post Holdings Inc. |
7.370 | % | 02/01/22 | 249 | *** | 260 | ||||||||||||
Post Holdings Inc. |
7.750 | % | 03/01/24 | 104 | *** | 109 | ||||||||||||
Private Placement |
0.000 | % | 02/15/22 | 16 | *** | | ||||||||||||
Pulte Group Inc. |
6.375 | % | 05/01/33 | 228 | *** | 231 | ||||||||||||
Pulte Group Inc. |
7.875 | % | 06/01/32 | 266 | *** | 301 | ||||||||||||
PVH Corp |
7.750 | % | 11/01/23 | 93 | *** | 105 | ||||||||||||
Quapaw Downstream |
10.500 | % | 07/01/19 | 349 | *** | 358 | ||||||||||||
Quicken Loans Inc |
5.750 | % | 05/01/25 | 254 | *** | 242 | ||||||||||||
Qwest Capital Funding Co |
7.750 | % | 02/01/31 | 642 | *** | 544 | ||||||||||||
Rackspace Hostin Comp |
6.500 | % | 01/01/24 | 362 | *** | 349 | ||||||||||||
Regency Energy Part |
6.500 | % | 07/01/21 | 298 | *** | 299 | ||||||||||||
Reynolds Grp |
5.750 | % | 10/01/20 | 442 | *** | 450 | ||||||||||||
Rialto Hlds LLC |
7.000 | % | 12/01/18 | 200 | *** | 203 | ||||||||||||
Rite Aid Corp |
6.125 | % | 04/01/23 | 311 | *** | 322 | ||||||||||||
Royal Bk Scotland Grp |
6.100 | % | 06/01/23 | 495 | *** | 532 | ||||||||||||
RSI Home Products Inc |
6.500 | % | 03/01/23 | 298 | *** | 307 | ||||||||||||
Sabine Pass Lng LP |
6.500 | % | 11/01/20 | 366 | *** | 355 | ||||||||||||
SBA Communications Corp |
5.625 | % | 10/01/19 | 291 | *** | 303 | ||||||||||||
Sealed Air Corp |
6.875 | % | 07/15/33 | 303 | *** | 310 | ||||||||||||
Sensata Tech UK |
6.250 | % | 02/01/26 | 200 | *** | 208 | ||||||||||||
Sirius XM Radio Inc |
6.250 | % | 07/01/24 | 360 | *** | 376 | ||||||||||||
SPL Logistics |
8.875 | % | 08/01/20 | 751 | *** | 732 | ||||||||||||
Springleaf Finance Corp |
8.250 | % | 10/01/23 | 275 | *** | 278 | ||||||||||||
Sprint Capital Corp |
8.750 | % | 03/01/32 | 889 | *** | 667 | ||||||||||||
Sprint Communications Co |
9.000 | % | 11/01/18 | 558 | *** | 587 | ||||||||||||
Sprint Communications Co |
7.000 | % | 03/01/32 | 159 | *** | 159 | ||||||||||||
Steel Dynamics Inc |
6.375 | % | 08/01/22 | 180 | *** | 173 | ||||||||||||
Sun Prods |
0.010 | % | 03/23/20 | 266 | *** | 249 | ||||||||||||
Sungard Avail Serv Cap Company |
8.750 | % | 04/01/22 | 349 | *** | 214 | ||||||||||||
Supervalu Inc |
0.010 | % | 03/21/19 | 181 | *** | 178 | ||||||||||||
T Mobile USA Inc |
6.500 | % | 01/01/26 | 380 | *** | 384 | ||||||||||||
T Mobile USA Inc |
6.625 | % | 04/01/23 | 917 | *** | 935 | ||||||||||||
Targa Resources Partners |
6.875 | % | 02/01/21 | 302 | *** | 273 | ||||||||||||
Tegna Inc. |
6.375 | % | 10/01/23 | 108 | *** | 114 | ||||||||||||
Tegna Inc. |
5.500 | % | 09/01/24 | 83 | *** | 83 | ||||||||||||
Telecom Italia Capital Co |
7.175 | % | 06/01/19 | 120 | *** | 132 | ||||||||||||
Telecom Italia Capital Co |
7.721 | % | 06/01/38 | 120 | *** | 125 | ||||||||||||
Tenet Healthcare Corp |
6.000 | % | 10/01/20 | 276 | *** | 290 | ||||||||||||
Tenet Healthcare Corp |
8.125 | % | 04/01/22 | 290 | *** | 289 | ||||||||||||
Tesoro Logistics LP |
6.125 | % | 10/01/21 | 210 | *** | 200 | ||||||||||||
TPC Group Inc |
8.750 | % | 12/01/20 | 200 | *** | 130 | ||||||||||||
TRAC Intermodal LLC |
11.000 | % | 08/01/19 | 137 | *** | 149 |
* | 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
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, 2015 (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 |
||||||||||||||||
Transdigm Inc |
6.500 | % | 05/01/25 | 374 | *** | $ | 362 | |||||||||||||
Tri Pointe Holdings Inc |
5.875 | % | 06/01/24 | 258 | *** | 251 | ||||||||||||||
United Continental Hlgs |
6.000 | % | 12/01/20 | 416 | *** | 431 | ||||||||||||||
Univision Communications |
6.750 | % | 09/01/22 | 278 | *** | 288 | ||||||||||||||
USG Corp |
5.875 | % | 11/01/21 | 184 | *** | 191 | ||||||||||||||
Valeant Pharmaceuticals |
7.250 | % | 07/01/22 | 1203 | *** | 1,176 | ||||||||||||||
Vanguard Nat Res |
7.875 | % | 04/01/20 | 607 | *** | 161 | ||||||||||||||
Viasat Inc |
6.875 | % | 06/01/20 | 395 | *** | 410 | ||||||||||||||
VTR Finance |
6.875 | % | 01/01/24 | 300 | *** | 276 | ||||||||||||||
Walter Investment Mgmt |
7.875 | % | 12/01/21 | 708 | *** | 559 | ||||||||||||||
Wellcare Health Plans |
5.750 | % | 11/01/20 | 315 | *** | 324 | ||||||||||||||
Wells Enterprises Inc |
6.750 | % | 02/01/20 | 322 | *** | 332 | ||||||||||||||
Western Refining Inc |
6.250 | % | 04/01/21 | 384 | *** | 369 | ||||||||||||||
Whiting Petroleum Corp |
6.250 | % | 04/01/23 | 200 | *** | 144 | ||||||||||||||
WP CPP Hldgs LLC |
0.010 | % | 04/30/21 | 162 | *** | 145 | ||||||||||||||
WPX Energy Inc |
7.500 | % | 08/01/20 | 145 | *** | 117 | ||||||||||||||
WPX Energy Inc |
5.250 | % | 09/01/24 | 207 | *** | 137 | ||||||||||||||
Interval Acquisition Corp |
5.625 | % | 04/01/23 | 264 | *** | 262 | ||||||||||||||
XPO Logistics Inc. |
6.500 | % | 06/01/22 | 252 | *** | 233 | ||||||||||||||
* |
State Street Bank and Trust |
|
State Street Cash Fund STIF |
|
*** | 1,022 | ||||||||||||||
|
|
|||||||||||||||||||
Subtotal ISP High Yield Bond Fund |
57,787 | |||||||||||||||||||
|
|
|||||||||||||||||||
Chartwell |
|
Chartwell Investment Partners Small Cap Value Fund |
||||||||||||||||||
Equity Securities |
||||||||||||||||||||
Acxiom Corp |
*** | 1,533 | ||||||||||||||||||
Altra Industrial Motion Corp |
*** | 972 | ||||||||||||||||||
American Equity Invt |
*** | 1,193 | ||||||||||||||||||
Anixter International Inc |
*** | 965 | ||||||||||||||||||
Argo Group |
*** | 1,907 | ||||||||||||||||||
Avista Corp |
*** | 850 | ||||||||||||||||||
Barnes Group Inc |
*** | 1,194 | ||||||||||||||||||
BBCN Bancorp Inc |
*** | 1,330 | ||||||||||||||||||
Black Hills Corp |
*** | 808 | ||||||||||||||||||
Bristow Group Inc |
*** | 682 | ||||||||||||||||||
Calgon Carbon Corp |
*** | 1,019 | ||||||||||||||||||
Cardtronics Inc |
*** | 1,221 | ||||||||||||||||||
Chesapeake Lodging Trust |
*** | 791 | ||||||||||||||||||
Clarcor Inc |
*** | 1,251 | ||||||||||||||||||
Cleco Corp |
*** | 1,414 | ||||||||||||||||||
Columbia Banking System Inc |
*** | 1,451 | ||||||||||||||||||
CVB Financial Corp |
*** | 915 | ||||||||||||||||||
Deckers Outdoor Corp |
*** | 584 | ||||||||||||||||||
Diodes Inc |
*** | 784 | ||||||||||||||||||
Dupont Fabros Technology |
*** | 830 | ||||||||||||||||||
Eagle Materials Inc |
*** | 1,101 | ||||||||||||||||||
Education Realty Trust Inc |
*** | 1,241 |
* | 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
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, 2015 (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 |
||||||
El Paso Electric Co | *** | $ | 1,054 | |||||||
Enpro Industries Inc |
*** | 849 | ||||||||
Esco Technologies Inc |
*** | 1,580 | ||||||||
Essendant Inc. |
*** | 1,001 | ||||||||
Fabrinet |
*** | 1,509 | ||||||||
First Industrial Realty |
*** | 998 | ||||||||
First Midwest Bancorp Inc |
*** | 1,095 | ||||||||
FNB Corp |
*** | 969 | ||||||||
Franklin Electric Co Inc |
*** | 668 | ||||||||
FTD Cos Inc |
*** | 1,264 | ||||||||
G&K Services Inc |
*** | 958 | ||||||||
Gatx Corp |
*** | 953 | ||||||||
Generac Holdings Inc |
*** | 993 | ||||||||
Greatbatch Inc |
*** | 978 | ||||||||
Haemonetics Corp |
*** | 1,054 | ||||||||
Harsco Corp |
*** | 449 | ||||||||
Healthcare Realty Trust Inc |
*** | 1,494 | ||||||||
Innophos Holdings Inc |
*** | 614 | ||||||||
Kite Realty Group |
*** | 1,065 | ||||||||
Knoll Inc |
*** | 1,075 | ||||||||
Lancaster Colony Corp |
*** | 1,336 | ||||||||
Matthews Intl Corp |
*** | 961 | ||||||||
Mid America Apartment |
*** | 1,128 | ||||||||
Minerals Technologies Inc |
*** | 580 | ||||||||
Northwestern Corp |
*** | 1,693 | ||||||||
Oxford Industries |
*** | 707 | ||||||||
Pacwest Bancorp |
*** | 1,185 | ||||||||
Pinnacle Financial Partners |
*** | 1,507 | ||||||||
Plexus Corp |
*** | 1,255 | ||||||||
Progress Software Corp |
*** | 856 | ||||||||
PS Business Park Inc |
*** | 1,207 | ||||||||
Renasant Corp |
*** | 888 | ||||||||
RSP Permian Inc |
*** | 1,058 | ||||||||
Rush Enterprises Inc |
*** | 564 | ||||||||
Sanderson Farms Inc |
*** | 1,595 | ||||||||
Scholastic Corp |
*** | 673 | ||||||||
Selective Insurance Group |
*** | 1,352 | ||||||||
Silicon Graphics |
*** | 663 | ||||||||
Snyders Lance Inc |
*** | 763 | ||||||||
South State Corp |
*** | 1,402 | ||||||||
Sykes Enterprises Inc |
*** | 657 | ||||||||
Tri Pointe Group Inc |
*** | 1,022 | ||||||||
Trueblue Inc |
*** | 1,627 | ||||||||
UMB Financial Corp |
*** | 853 | ||||||||
Umpqua Holdings Corp |
*** | 1,016 | ||||||||
United Bankshares Inc |
*** | 1,022 | ||||||||
United Community Banks |
*** | 1,128 | ||||||||
VMR Corp |
*** | 1,568 | ||||||||
Wolverine World Wide Inc | *** | 669 | ||||||||
State Street Bank and Trust | State Street Cash Fund STIF | *** | 1,275 | |||||||
|
|
|||||||||
Subtotal Chartwell Investment Partners Small Cap Value Fund |
$ | 76,866 | ||||||||
|
|
* | 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
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, 2015 (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 |
||||||
Lee Munder | LMCG Investments Mid Cap Value Fund | |||||||||
Equity Securities |
||||||||||
AGL Resources Inc |
*** | $ | 878 | |||||||
Albemarle Crop |
*** | 1,903 | ||||||||
Alexandria Real Estate |
*** | 2,241 | ||||||||
Allegheny Technologies Inc |
*** | 677 | ||||||||
* |
Allstate Corp |
*** | 1,446 | |||||||
American Campus Communities |
*** | 1,944 | ||||||||
American Eagle Outfitters |
*** | 1,525 | ||||||||
Amerisourcebergen Corp |
*** | 1,014 | ||||||||
Ameriprise Financial Inc |
*** | 1,271 | ||||||||
Aramark |
*** | 1,163 | ||||||||
Bemis Company |
*** | 937 | ||||||||
Blackstone Mortgage |
*** | 1,671 | ||||||||
Borgwarner Inc |
*** | 1,761 | ||||||||
Brixmor Property Group Inc |
*** | 1,969 | ||||||||
Cabela's Inc |
*** | 1,534 | ||||||||
Cabot Corp |
*** | 1,521 | ||||||||
Cadence Design Sys Inc |
*** | 1,753 | ||||||||
Charles River Laboratories |
*** | 1,624 | ||||||||
Citrix Systems Inc |
*** | 1,852 | ||||||||
Clean Harbors Inc |
*** | 904 | ||||||||
Coca Cola Enterprises |
*** | 881 | ||||||||
Cooper Cos Inc, The |
*** | 2,164 | ||||||||
Darling Ingredients Inc |
*** | 1,308 | ||||||||
Dentsply International Inc |
*** | 1,891 | ||||||||
Diebold Inc |
*** | 1,350 | ||||||||
Dollar General Corp |
*** | 1,628 | ||||||||
Dover Corp |
*** | 1,289 | ||||||||
EQT Corp |
*** | 1,147 | ||||||||
E-Trade Financial Corp |
*** | 1,628 | ||||||||
Edison International |
*** | 1,828 | ||||||||
Equinix Inc |
*** | 1,787 | ||||||||
FMC Corp |
*** | 1,097 | ||||||||
Fidelity National Info |
*** | 1,883 | ||||||||
Fluor Corp |
*** | 1,102 | ||||||||
Great Plains Energy Inc |
*** | 1,943 | ||||||||
Hain Celestial Group Inc |
*** | 1,130 | ||||||||
Hancock Holding Co |
*** | 1,499 | ||||||||
Hanover Insurance Group Inc |
*** | 1,765 | ||||||||
Harley Davidson Inc |
*** | 1,243 | ||||||||
Hershey Co, The |
*** | 1,849 | ||||||||
Host Hotels & Resorts Inc |
*** | 1,537 | ||||||||
IAC/Interactive Corp |
*** | 1,163 |
* | 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
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, 2015 (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 |
||||||
Ingredion Inc | *** | $ | 1,600 | |||||||
Interpublic Group of Cos Inc | *** | 1,271 | ||||||||
Investors Bancorp Inc | *** | 1,747 | ||||||||
Ishares Russell | *** | 1,395 | ||||||||
Juniper Networks Inc | *** | 902 | ||||||||
Kar Auction Services Inc | *** | 1,929 | ||||||||
Kroger Co | *** | 943 | ||||||||
LKQ Corp | *** | 1,632 | ||||||||
M&T Bank Corp | *** | 1,724 | ||||||||
Micropchip Technology Inc | *** | 1,878 | ||||||||
Newfield Exploration Co | *** | 1,640 | ||||||||
Oasis Petroleum Inc | *** | 392 | ||||||||
Owens Corning | *** | 1,167 | ||||||||
Parker Hannifin Corp | *** | 1,062 | ||||||||
Patterson Cos Inc | *** | 1,590 | ||||||||
Pinnacle West Capital | *** | 1,975 | ||||||||
Pioneer Natural Resources Co | *** | 1,636 | ||||||||
Portland General Electric Co | *** | 1,897 | ||||||||
Qorvo Inc | *** | 2,064 | ||||||||
Quest Diagnostics Inc | *** | 1,724 | ||||||||
Regal Beloit Corp | *** | 1,448 | ||||||||
Reinsurance Group of America | *** | 1,652 | ||||||||
Scana Corp | *** | 1,615 | ||||||||
JM Smucker Co, The | *** | 1,955 | ||||||||
Spectra Energy Corp | *** | 676 | ||||||||
Suntrust Banks Inc | *** | 1,801 | ||||||||
Synopsys Inc | *** | 1,443 | ||||||||
Sysco Corp | *** | 1,573 | ||||||||
TCF Financial Corp | *** | 1,334 | ||||||||
Treehouse Foods Inc | *** | 1,430 | ||||||||
Unum Group | *** | 1,919 | ||||||||
Xylem Inc | *** | 1,523 | ||||||||
Zions Bancorporation | *** | 1,646 | ||||||||
Pentair PLC | *** | 440 | ||||||||
Aercap Holdings NV | *** | 2,118 | ||||||||
State Street Bank and Trust | State Street Cash Fund STIF | *** | 112 | |||||||
|
|
|||||||||
Subtotal LMCG Investments Mid Cap Value |
115,553 | |||||||||
|
|
|||||||||
Total Seperately managed accounts |
$ | 416,817 | ||||||||
|
|
* | 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
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, 2015 (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 |
||||||||||||||
Stable Value Fund |
||||||||||||||||||
BNY Mellon |
|
Stable Value Fund, including the following |
| |||||||||||||||
Transamerica Premier Life |
|
Stable Value Contract |
|
*** | $ | 229,869 | ||||||||||||
Shared Holdings (aa) | Interest rate |
Maturity | Par Value | |||||||||||||||
ABN Amro Bank |
1.375 | % | 01/22/16 | 600 | *** |
|
600 |
| ||||||||||
AT&T Inc |
2.625 | % | 02/01/22 | 645 | *** | 612 | ||||||||||||
Abbvie Inc |
1.750 | % | 11/06/17 | 219 | *** | 219 | ||||||||||||
Actavis Funding |
3.450 | % | 03/01/22 | 500 | *** | 501 | ||||||||||||
Altria Group Inc |
2.950 | % | 05/01/23 | 745 | *** | 725 | ||||||||||||
American Express Co |
6.150 | % | 08/01/17 | 101 | *** | 108 | ||||||||||||
American Express Credit |
2.375 | % | 03/01/17 | 434 | *** | 439 | ||||||||||||
American Express Credit |
2.125 | % | 03/01/19 | 630 | *** | 630 | ||||||||||||
American Express Credit |
1.137 | % | 05/01/20 | 750 | *** | 743 | ||||||||||||
Anadarko Petroleum Corp |
3.450 | % | 07/01/24 | 790 | *** | 702 | ||||||||||||
Anheuser Busch |
1.250 | % | 01/01/18 | 520 | *** | 515 | ||||||||||||
Apple Inc |
2.400 | % | 05/01/23 | 685 | *** | 667 | ||||||||||||
Aust & NZ Banking Grp |
1.875 | % | 10/01/17 | 500 | *** | 501 | ||||||||||||
Aventura Mall Trust |
3.743 | % | 12/05/32 | 400 | *** | 417 | ||||||||||||
BB+T Corporation |
2.450 | % | 01/15/20 | 600 | *** | 604 | ||||||||||||
BP Capital Markets PLC Co |
3.814 | % | 02/10/24 | 655 | *** | 655 | ||||||||||||
Burlington No |
4.830 | % | 01/01/23 | 344 | *** | 365 | ||||||||||||
Bank of America NA |
6.000 | % | 06/01/16 | 350 | *** | 357 | ||||||||||||
Bank of America Corp |
3.300 | % | 01/01/23 | 750 | *** | 738 | ||||||||||||
Bank of America Corp |
2.650 | % | 04/01/19 | 500 | *** | 501 | ||||||||||||
Bank of America Corp |
4.200 | % | 08/01/24 | 1,000 | *** | 992 | ||||||||||||
Bank of Montreal |
1.400 | % | 09/11/17 | 500 | *** | 500 | ||||||||||||
Bank of New York Mellon |
3.250 | % | 09/11/24 | 885 | *** | 891 | ||||||||||||
Baxalta Inc |
2.000 | % | 06/01/18 | 235 | *** | 233 | ||||||||||||
Bayer US Finance LLC |
3.375 | % | 10/08/24 | 820 | *** | 826 | ||||||||||||
Branch Banking & Trust |
2.850 | % | 04/01/21 | 510 | *** | 515 | ||||||||||||
Berkshire Hathaway Inc |
1.550 | % | 02/09/18 | 630 | *** | 631 | ||||||||||||
Biogen Inc |
4.050 | % | 09/01/25 | 840 | *** | 844 | ||||||||||||
British Columbia |
2.650 | % | 09/22/21 | 330 | *** | 337 | ||||||||||||
Burlington North Santa Fe |
3.400 | % | 09/01/24 | 480 | *** | 480 | ||||||||||||
Burlington North Santa Fe |
3.050 | % | 09/01/22 | 266 | *** | 266 | ||||||||||||
CD Commercial Mortgage Trust |
5.886 | % | 09/22/21 | 315 | *** | 326 | ||||||||||||
Celgene Corp |
3.875 | % | 08/01/25 | 670 | *** | 667 | ||||||||||||
Chubb INA Holdings Inc |
2.700 | % | 03/01/23 | 725 | *** | 708 | ||||||||||||
CIGNA Corp |
4.500 | % | 03/01/21 | 300 | *** | 318 | ||||||||||||
CIGNA Corp |
4.000 | % | 02/01/22 | 290 | *** | 300 |
* | 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-45 for definition. |
F-36
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 | |||||||||||||||
Comm Mortgage Trust |
3.795 | % | 09/01/24 | 340 | *** | $ | 347 | |||||||||||
Comm Mortgage Trust |
1.873 | % | 04/12/35 | 91 | *** | 89 | ||||||||||||
Comm Mortgage Trust |
3.012 | % | 05/10/47 | 575 | *** | 586 | ||||||||||||
CVS Health Corp |
5.750 | % | 06/01/17 | 140 | *** | 148 | ||||||||||||
CVS Health Corp |
2.250 | % | 12/01/18 | 319 | *** | 321 | ||||||||||||
CVS Health Corp |
3.500 | % | 07/01/22 | 390 | *** | 397 | ||||||||||||
Canadian Pacific Rr Co |
7.250 | % | 05/15/19 | 250 | *** | 285 | ||||||||||||
Capital One Financial Co |
2.450 | % | 04/24/19 | 635 | *** | 636 | ||||||||||||
Capital One Financial Co |
2.350 | % | 08/01/18 | 320 | *** | 321 | ||||||||||||
Duke Energy Progress Inc |
2.800 | % | 05/15/22 | 240 | *** | 240 | ||||||||||||
Caterpillar Financial Se |
2.650 | % | 04/01/16 | 465 | *** | 467 | ||||||||||||
Caterpillar Financial Se |
2.750 | % | 08/01/21 | 335 | *** | 333 | ||||||||||||
CD Commerical Mortgage Trust |
5.617 | % | 10/15/48 | 275 | *** | 278 | ||||||||||||
Celgene Corp |
1.900 | % | 08/15/17 | 175 | *** | 176 | ||||||||||||
Centerpoint Energy Transition |
2.161 | % | 10/15/21 | 190 | *** | 191 | ||||||||||||
Chase Issuance Trust |
1.580 | % | 08/16/21 | 467 | *** | 460 | ||||||||||||
Chevron Corp |
2.355 | % | 12/05/22 | 640 | *** | 611 | ||||||||||||
Chevron Corp |
2.427 | % | 06/24/20 | 280 | *** | 280 | ||||||||||||
Cisco Systems Inc |
2.125 | % | 03/01/19 | 700 | *** | 706 | ||||||||||||
Citigroup Inc |
2.550 | % | 04/08/19 | 500 | *** | 502 | ||||||||||||
Citigroup Inc |
1.700 | % | 04/01/18 | 750 | *** | 743 | ||||||||||||
Citibank Credit Card Issuance |
5.350 | % | 02/07/20 | 500 | *** | 538 | ||||||||||||
Citigroup Commercial Mortgage |
5.811 | % | 03/15/49 | 275 | *** | 277 | ||||||||||||
GCCFC Commericial Mortgage Trust |
5.826 | % | 07/10/38 | 355 | *** | 357 | ||||||||||||
Commonwealth Edison |
1.950 | % | 09/01/16 | 608 | *** | 609 | ||||||||||||
Consumers Energy Company |
5.150 | % | 02/15/17 | 220 | *** | 229 | ||||||||||||
Rabobank Nederland |
2.250 | % | 01/14/19 | 355 | *** | 356 | ||||||||||||
Credit Suisse New York |
1.700 | % | 04/01/18 | 1,000 | *** | 993 | ||||||||||||
Dbubs Mortgage Trust |
3.642 | % | 08/10/44 | 234 | *** | 235 | ||||||||||||
Delta Air Lines |
4.950 | % | 11/23/20 | 282 | *** | 296 | ||||||||||||
DirecTV Holdings |
3.950 | % | 01/01/25 | 225 | *** | 222 | ||||||||||||
Discover Card |
1.390 | % | 04/15/20 | 965 | *** | 963 | ||||||||||||
Walt Disney Company |
2.350 | % | 12/01/22 | 650 | *** | 642 | ||||||||||||
Dominion Resources Inc |
2.903 | % | 09/30/66 | 755 | *** | 522 | ||||||||||||
EMD Finance LLC |
2.950 | % | 03/01/22 | 840 | *** | 810 | ||||||||||||
Eaton Corp Company |
1.500 | % | 11/02/17 | 565 | *** | 561 | ||||||||||||
Fed Hm Ln Pc Pool G01629 |
6.000 | % | 10/01/33 | 18 | *** | 21 | ||||||||||||
Fed Hm Ln Pc Pool G11657 |
4.500 | % | 12/01/18 | 76 | *** | 78 | ||||||||||||
Fed Hm Ln Pc Pool A77952 |
5.000 | % | 05/01/38 | 15 | *** | 16 | ||||||||||||
Fed Hm Ln Pc Pool G14174 |
5.000 | % | 03/01/25 | 99 | *** | 103 | ||||||||||||
Fed Hm Ln Pc Pool J00617 |
5.500 | % | 12/01/20 | 57 | *** | 61 | ||||||||||||
Fed Hm Ln Pc Pool J00921 |
5.000 | % | 12/01/20 | 11 | *** | 11 | ||||||||||||
Fed Hm Ln Pc Pool J01060 |
5.000 | % | 01/01/21 | 17 | *** | 18 | ||||||||||||
Fed Hm Ln Pc Pool J01201 |
5.000 | % | 02/01/21 | 16 | *** | 16 | ||||||||||||
Fed Hm Ln Pc Pool C03506 |
6.000 | % | 05/01/40 | 299 | *** | 336 |
* | 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-45 for definition. |
F-37
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 A11544 |
5.500 | % | 06/01/33 | 9 | *** | $ | 10 | |||||||||||
Fed Hm Ln Pc Pool A15942 |
6.000 | % | 11/01/33 | 18 | *** | 20 | ||||||||||||
Fed Hm Ln Pc Pool B19557 |
5.500 | % | 07/01/20 | 158 | *** | 167 | ||||||||||||
Fed Hm Ln Pc Pool A26586 |
6.000 | % | 09/01/34 | 16 | *** | 18 | ||||||||||||
Fed Hm Ln Pc Pool Q02688 |
4.000 | % | 08/01/41 | 196 | *** | 209 | ||||||||||||
Fed Hm Ln Pc Pool G11868 |
5.500 | % | 07/01/20 | 51 | *** | 53 | ||||||||||||
Freddie Mac |
6.000 | % | 03/15/17 | 50 | *** | 51 | ||||||||||||
Fanniemae Aces |
3.346 | % | 05/01/40 | 870 | *** | 899 | ||||||||||||
FNMA Pool 253880 |
6.500 | % | 07/01/16 | 3 | *** | 3 | ||||||||||||
FNMA Pool 357821 |
6.000 | % | 05/01/35 | 245 | *** | 279 | ||||||||||||
Freddie Mac |
3.500 | % | 11/15/25 | 805 | *** | 850 | ||||||||||||
Freddie Mac |
3.500 | % | 12/15/25 | 1,957 | *** | 2,067 | ||||||||||||
Freddie Mac |
3.500 | % | 12/15/25 | 2,348 | *** | 2,477 | ||||||||||||
FNMA Pool 555417 |
6.000 | % | 05/01/33 | 62 | *** | 71 | ||||||||||||
FNMA Pool 555545 |
5.000 | % | 06/01/18 | 39 | *** | 41 | ||||||||||||
FNMA Pool 555591 |
5.500 | % | 07/01/33 | 73 | *** | 82 | ||||||||||||
FNMA Pool 611020 |
6.500 | % | 01/01/17 | 4 | *** | 4 | ||||||||||||
FNMA Pool AJ5733 |
3.500 | % | 12/01/41 | 2,234 | *** | 2,314 | ||||||||||||
FNMA Pool Al0194 |
4.000 | % | 01/01/41 | 1,262 | *** | 1,347 | ||||||||||||
FNMA Pool A01736 |
4.000 | % | 05/01/42 | 2,934 | *** | 3,117 | ||||||||||||
FNMA Pool A01802 |
4.500 | % | 06/01/42 | 1,498 | *** | 1,625 | ||||||||||||
FNMA Pool AP0632 |
2.500 | % | 07/01/27 | 692 | *** | 703 | ||||||||||||
FNMA Pool AR9436 |
4.000 | % | 08/01/43 | 21 | *** | 22 | ||||||||||||
FNMA Pool AU1687 |
4.000 | % | 08/01/43 | 1,909 | *** | 2,022 | ||||||||||||
FNMA Pool AV2357 |
4.000 | % | 01/01/44 | 1,974 | *** | 2,108 | ||||||||||||
FNMA Pool AW1007 |
4.000 | % | 05/01/44 | 1,900 | *** | 2,022 | ||||||||||||
FNMA Pool AW5067 |
4.500 | % | 07/01/44 | 5,568 | *** | 6,045 | ||||||||||||
FNMA Pool AY5415 |
4.000 | % | 03/01/45 | 2,699 | *** | 2,882 | ||||||||||||
FNMA Pool AY9029 |
4.000 | % | 05/01/45 | 2,078 | *** | 2,218 | ||||||||||||
FNMA Pool 651377 |
6.000 | % | 07/01/17 | 17 | *** | 17 | ||||||||||||
FNMA Pool 712104 |
5.000 | % | 05/01/18 | 9 | *** | 10 | ||||||||||||
FNMA Pool 725704 |
5.000 | % | 08/01/34 | 48 | *** | 55 | ||||||||||||
FNMA Pool 730716 |
6.000 | % | 08/01/33 | 51 | *** | 58 | ||||||||||||
FNMA Pool 734059 |
5.500 | % | 08/01/33 | 11 | *** | 12 | ||||||||||||
FNMA Pool 745932 |
6.500 | % | 11/01/36 | 112 | *** | 128 | ||||||||||||
FNMA Pool 756154 |
6.000 | % | 11/01/33 | 45 | *** | 51 | ||||||||||||
FNMA Pool 792191 |
5.500 | % | 09/01/34 | 54 | *** | 61 | ||||||||||||
FNMA Pool 805176 |
5.500 | % | 01/01/20 | 75 | *** | 78 | ||||||||||||
FNMA Pool 888341 |
5.000 | % | 02/01/37 | 110 | *** | 121 | ||||||||||||
FNMA Pool 888022 |
5.000 | % | 02/01/36 | 164 | *** | 181 | ||||||||||||
FNMA Pool 890528 |
5.500 | % | 06/01/39 | 160 | *** | 179 | ||||||||||||
FNMA Pool 908560 |
5.500 | % | 01/01/22 | 12 | *** | 12 | ||||||||||||
FNMA Pool 944026 |
6.500 | % | 08/01/37 | 252 | *** | 288 | ||||||||||||
FNMA Pool AA4266 |
4.500 | % | 05/01/24 | 39 | *** | 41 | ||||||||||||
FNMA Pool AB0536 |
6.000 | % | 02/01/37 | 103 | *** | 116 |
* | 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-45 for definition. |
F-38
EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2015 (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 |
||||||||||||||
Shared Holdings (aa) | Interest rate |
Maturity | Par Value | |||||||||||||||
FNMA Pool AB3423 |
4.500 | % | 08/01/41 | 1,647 | *** | $ | 1,783 | |||||||||||
FNMA Pool MA1543 |
3.500 | % | 08/01/33 | 1,940 | *** | 2,028 | ||||||||||||
FNMA Pool MA2354 |
3.500 | % | 05/01/24 | 3,516 | *** | 3,666 | ||||||||||||
Fifth Third Bank |
2.875 | % | 10/01/21 | 635 | *** | 632 | ||||||||||||
Fico Strip Prin |
0.010 | % | 05/01/18 | 580 | *** | 562 | ||||||||||||
Ford Credit Auto Owner Trust |
1.000 | % | 09/15/17 | 47 | *** | 47 | ||||||||||||
Ford Credit Auto Owner Trust |
2.260 | % | 09/01/17 | 360 | *** | 363 | ||||||||||||
Ford Motor Credit Co Llc |
3.000 | % | 06/12/17 | 702 | *** | 709 | ||||||||||||
Ford Motor Credit Co Llc |
4.250 | % | 09/20/22 | 525 | *** | 537 | ||||||||||||
GE Capital Intl Funding |
3.730 | % | 11/01/25 | 1,191 | *** | 1,213 | ||||||||||||
GNMA II Pool MA2754 |
3.500 | % | 04/01/45 | 3,202 | *** | 3,343 | ||||||||||||
GNMA II Pool MA2892 |
3.500 | % | 06/01/45 | 1,021 | *** | 1,066 | ||||||||||||
GNMA Pool 569327 |
6.500 | % | 04/15/32 | 152 | *** | 177 | ||||||||||||
GNMA Pool 580880 |
6.500 | % | 11/15/31 | 22 | *** | 25 | ||||||||||||
GNMA II Pool 003624 |
5.500 | % | 10/01/34 | 67 | *** | 75 | ||||||||||||
GNMA II Pool 004599 |
5.000 | % | 12/01/39 | 267 | *** | 295 | ||||||||||||
GNMA Pool 434787 |
8.000 | % | 05/01/30 | 11 | *** | 12 | ||||||||||||
GNMA Pool 485856 |
6.500 | % | 10/01/31 | 23 | *** | 26 | ||||||||||||
GNMA Pool 726316 |
5.000 | % | 09/01/39 | 313 | *** | 349 | ||||||||||||
GNMA Pool 728974 |
5.000 | % | 12/01/39 | 595 | *** | 653 | ||||||||||||
GNMA Pool 737651 |
5.000 | % | 11/01/40 | 118 | *** | 131 | ||||||||||||
GNMA Pool 510403 |
5.000 | % | 01/01/35 | 21 | *** | 23 | ||||||||||||
GNMA Pool 510844 |
8.000 | % | 12/15/29 | 1 | *** | 1 | ||||||||||||
GNMA Pool 521708 |
8.000 | % | 12/01/29 | | *** | | ||||||||||||
GNMA Pool 526364 |
8.000 | % | 07/01/30 | 4 | *** | 4 | ||||||||||||
GNMA Pool 533946 |
6.500 | % | 04/01/32 | 6 | *** | 7 | ||||||||||||
GNMA Pool 550887 |
5.000 | % | 08/01/35 | 27 | *** | 30 | ||||||||||||
GNMA Pool 551077 |
6.500 | % | 11/01/31 | 10 | *** | 11 | ||||||||||||
GNMA Pool 551120 |
6.500 | % | 08/01/31 | 46 | *** | 53 | ||||||||||||
GNMA Pool 552571 |
6.500 | % | 05/01/32 | 14 | *** | 15 | ||||||||||||
GNMA Pool 271940 |
5.500 | % | 08/01/18 | 66 | *** | 68 | ||||||||||||
GNMA Pool 781410 |
5.500 | % | 03/01/17 | 27 | *** | 27 | ||||||||||||
GNMA Pool 622278 |
5.000 | % | 04/01/35 | 22 | *** | 24 | ||||||||||||
GNMA Pool 631242 |
5.500 | % | 06/01/35 | 106 | *** | 119 | ||||||||||||
GNMA Pool 641601 |
5.000 | % | 03/01/35 | 41 | *** | 46 | ||||||||||||
GNMA Pool 646865 |
5.000 | % | 08/01/35 | 17 | *** | 19 | ||||||||||||
GE Commercial Mortgage Corp |
0.000 | % | 03/10/44 | 345,276 | *** | 3 | ||||||||||||
General Electric Co |
5.250 | % | 12/06/17 | 390 | *** | 416 | ||||||||||||
General Electric Co |
2.700 | % | 10/01/22 | 875 | *** | 871 | ||||||||||||
General Elec Cap Corp |
3.100 | % | 01/01/23 | 459 | *** | 466 | ||||||||||||
Gildead Sciences Inc |
3.250 | % | 09/15/22 | 950 | *** | 957 | ||||||||||||
Glaxosmithkline Cap Inc |
2.800 | % | 03/15/23 | 470 | *** | 469 | ||||||||||||
Goldman Sachs Group Inc |
2.375 | % | 01/15/18 | 840 | *** | 847 | ||||||||||||
Goldman Sachs Group Inc |
4.000 | % | 03/15/24 | 560 | *** | 575 | ||||||||||||
Government National Mortgage |
3.500 | % | 07/20/23 | 379 | *** | 398 |
* | 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-45 for definition. |
F-39
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, 2015 (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 |
||||||||||||||
Shared Holdings (aa) | Interest rate |
Maturity | Par Value | |||||||||||||||
Great River Energy 1st Mortgage |
5.829% | 07/15/17 | 205 | *** | $210 | |||||||||||||
Conseco Financial Corp |
7.050% | 01/15/19 | 5 | *** | 5 | |||||||||||||
HCP Inc |
3.750% | 02/15/16 | 379 | *** | 380 | |||||||||||||
HSBC USA Inc |
1.700% | 03/15/18 | 660 | *** | 656 | |||||||||||||
HSBC USA Inc |
2.350% | 03/15/20 | 500 | *** | 494 | |||||||||||||
Kraft Heinz Foods Co |
2.800% | 07/15/20 | 470 | *** | 469 | |||||||||||||
Canada Government |
0.875% | 02/15/17 | 543 | *** | 543 | |||||||||||||
HP Enterprise Co |
4.400% | 10/15/22 | 465 | *** | 463 | |||||||||||||
Howard Hughes Medical In |
3.500% | 09/15/23 | 345 | *** | 358 | |||||||||||||
Husky Energy Inc |
4.000% | 04/15/24 | 390 | *** | 357 | |||||||||||||
Hydro Quebec |
1.375% | 06/15/17 | 476 | *** | 477 | |||||||||||||
Hyundai Capital America |
2.125% | 10/15/17 | 596 | *** | 592 | |||||||||||||
JPMorgan Chase & Co |
3.250% | 09/15/22 | 1,540 | *** | 1,549 | |||||||||||||
JPMorgan Chase & Co |
2.250% | 01/15/20 | 250 | *** | 246 | |||||||||||||
JP Morgan Chase Commercial |
3.364% | 11/13/44 | 160 | *** | 162 | |||||||||||||
JPMBB Commercial |
3.046% | 04/15/47 | 480 | *** | 490 | |||||||||||||
Kaiser Foundation Hospit Company |
3.500% | 04/15/22 | 431 | *** | 438 | |||||||||||||
Kansas Gas + Electric Co |
6.700% | 06/15/19 | 147 | *** | 168 | |||||||||||||
Keycorp Gas & Electric Co |
6.700% | 09/15/20 | 750 | *** | 747 | |||||||||||||
Key Bank NA |
1.650% | 02/15/18 | 330 | *** | 329 | |||||||||||||
Kroger Co |
2.950% | 11/15/21 | 150 | *** | 148 | |||||||||||||
Ladder Capital |
3.388% | 05/15/31 | 580 | *** | 599 | |||||||||||||
Lam Research Corp |
2.750% | 03/15/20 | 500 | *** | 484 | |||||||||||||
Liberty Mutual Group Inc |
5.000% | 06/15/21 | 400 | *** | 428 | |||||||||||||
Lloyds Bank Plc |
5.800% | 01/15/20 | 490 | *** | 549 | |||||||||||||
Lockheed Martin Corp |
2.125% | 09/15/16 | 215 | *** | 216 | |||||||||||||
Manuf & Traders Trust |
1.250% | 01/15/17 | 1,050 | *** | 1,049 | |||||||||||||
Ml Cfc Commercial Mortgage |
5.172% | 12/12/49 | 330 | *** | 336 | |||||||||||||
McDonalds Corp |
3.700% | 01/15/26 | 393 | *** | 393 | |||||||||||||
Mckesson Corp |
2.700% | 12/01/22 | 145 | 138 | ||||||||||||||
Mckesson Corp |
3.796% | 03/01/24 | 795 | *** | 799 | |||||||||||||
Medco Health Solutions |
4.125% | 09/01/20 | 332 | *** | 348 | |||||||||||||
Medtronic Inc |
3.150% | 03/01/22 | 565 | *** | 571 | |||||||||||||
Mellon Funding Corp |
5.500% | 11/15/18 | 460 | *** | 504 | |||||||||||||
Morgan Stanley |
2.125% | 04/01/18 | 1,235 | *** | 1,237 | |||||||||||||
Morgan Stanley |
5.625% | 09/01/19 | 250 | *** | 276 | |||||||||||||
Morgan Stanley |
1.875% | 01/01/18 | 375 | *** | 375 | |||||||||||||
Murray St Inv Trust |
4.647% | 03/01/17 | 295 | *** | 304 | |||||||||||||
NCUA Guaranteed Notes |
2.900% | 10/29/20 | 191 | *** | 191 | |||||||||||||
Nationwide Financial |
5.375% | 03/01/21 | 329 | *** | 360 | |||||||||||||
NBCUniversal Media LLC |
4.375% | 04/01/21 | 409 | *** | 444 | |||||||||||||
Niagra Mohawk Power |
3.508% | 10/01/24 | 735 | *** | 738 | |||||||||||||
Noble Energy Inc |
8.250% | 03/01/19 | 342 | *** | 382 |
* | 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-45 for definition. |
F-40
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, 2015 (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 | |||||||||||||||
Nordea Bank |
4.875 | % | 05/15/21 | 500 | *** | $ | 540 | |||||||||||
Omnicom Group Inc |
3.650 | % | 11/15/24 | 250 | *** | 248 | ||||||||||||
Oracle Corp |
2.375 | % | 01/15/19 | 900 | *** | 914 | ||||||||||||
Oracle Corp |
3.400 | % | 07/15/24 | 875 | *** | 889 | ||||||||||||
PNC Bank |
3.800 | % | 07/15/23 | 520 | *** | 536 | ||||||||||||
PNC Bank |
2.200 | % | 01/15/19 | 635 | *** | 637 | ||||||||||||
Penske Truck Leasing |
3.750 | % | 05/11/17 | 500 | *** | 510 | ||||||||||||
Penske Truck Leasing |
4.250 | % | 01/17/23 | 255 | *** | 257 | ||||||||||||
Peoples United Fin Inc |
3.650 | % | 12/15/22 | 595 | *** | 586 | ||||||||||||
Pernod Ricard |
4.250 | % | 07/15/22 | 335 | *** | 344 | ||||||||||||
Province of Quebec |
2.750 | % | 08/15/21 | 390 | *** | 395 | ||||||||||||
Regency Energy |
5.500 | % | 04/15/23 | 450 | *** | 405 | ||||||||||||
Santander Holdings |
4.625 | % | 04/15/16 | 127 | *** | 128 | ||||||||||||
Sempra Energy |
9.800 | % | 02/15/19 | 170 | *** | 206 | ||||||||||||
Shell International |
2.250 | % | 01/15/23 | 950 | *** | 889 | ||||||||||||
Small Business Administration |
4.090 | % | 11/01/29 | 331 | *** | 353 | ||||||||||||
Small Business Administration |
2.860 | % | 03/01/20 | 304 | *** | 310 | ||||||||||||
Small Business Administration |
2.870 | % | 05/01/20 | 398 | *** | 407 | ||||||||||||
Small Business Administration |
2.440 | % | 07/01/20 | 675 | *** | 682 | ||||||||||||
Small Business Administration |
1.970 | % | 09/01/20 | 608 | *** | 611 | ||||||||||||
Small Business Administration |
2.210 | % | 02/01/33 | 661 | *** | 650 | ||||||||||||
Small Business Administration |
3.110 | % | 04/01/34 | 924 | *** | 953 | ||||||||||||
Small Business Administration |
2.870 | % | 05/01/20 | 671 | *** | 679 | ||||||||||||
Small Business Administration |
2.880 | % | 08/01/34 | 568 | *** | 575 | ||||||||||||
Small Business Administration |
2.720 | % | 03/01/35 | 417 | *** | 418 | ||||||||||||
Small Business Administration |
2.770 | % | 05/01/35 | 587 | *** | 585 | ||||||||||||
Small Business Administration |
2.880 | % | 07/01/35 | 1,125 | *** | 1,135 | ||||||||||||
Small Business Administration |
2.820 | % | 08/01/35 | 700 | *** | 702 | ||||||||||||
Small Business Administration |
2.820 | % | 08/01/35 | 700 | *** | 702 | ||||||||||||
Small Business Administration |
2.700 | % | 11/01/35 | 1,000 | *** | 1,003 | ||||||||||||
State Street Corp |
2.875 | % | 03/15/16 | 400 | *** | 401 | ||||||||||||
State Street Corp |
3.300 | % | 12/15/24 | 575 | *** | 580 | ||||||||||||
Lehman Brothers |
5.520 | % | 09/25/30 | 67 | *** | 66 | ||||||||||||
Svenska Handelsbanken |
3.125 | % | 07/15/16 | 300 | *** | 303 | ||||||||||||
Svenska Handelsbanken |
2.250 | % | 06/15/19 | 630 | *** | 630 | ||||||||||||
Synchrony Financial |
3.750 | % | 08/15/21 | 1,010 | *** | 1,009 | ||||||||||||
Telefonica Emisiones |
3.192 | % | 04/15/18 | 275 | *** | 280 | ||||||||||||
Texas Instruments Inc |
2.375 | % | 05/15/16 | 465 | *** | 468 | ||||||||||||
Time Warner Inc |
4.000 | % | 01/15/22 | 70 | *** | 73 | ||||||||||||
Time Warner Inc |
3.550 | % | 06/15/24 | 400 | *** | 392 | ||||||||||||
Time Warner Cable Inc |
8.250 | % | 04/15/19 | 283 | *** | 325 | ||||||||||||
Total Capital Intl SA |
0.911 | % | 08/15/18 | 935 | *** | 931 | ||||||||||||
Toyota Motor Credit Corp |
2.750 | % | 05/15/21 | 580 | *** | 586 | ||||||||||||
Trans Canada Pipelines |
1.283 | % | 6/15/16 | 750 | *** | 749 | ||||||||||||
Travelers Cos Inc |
3.900 | % | 11/15/20 | 146 | *** | 155 |
* | 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-45 for definition. |
F-41
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, 2015 (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 | |||||||||||||||
21st Century Fox America Company |
4.500 | % | 02/15/21 | 650 | *** | $ | 699 | |||||||||||
Tyco Electronics Group |
6.550 | % | 10/15/17 | 161 | *** | 174 | ||||||||||||
UBS AG Stamford CT |
2.375 | % | 08/15/19 | 1,115 | *** | 1,114 | ||||||||||||
Mufg Union Bank |
5.950 | % | 05/11/16 | 385 | *** | 391 | ||||||||||||
US Bancorp |
2.200 | % | 11/15/16 | 500 | *** | 505 | ||||||||||||
US Treasury |
1.625 | % | 12/01/19 | 5,250 | *** | 5,250 | ||||||||||||
US Treasury |
1.375 | % | 10/01/20 | 5,000 | *** | 4,912 | ||||||||||||
US Treasury |
1.500 | % | 08/01/18 | 4,580 | *** | 4,610 | ||||||||||||
US Treasury |
1.000 | % | 08/01/16 | 4,000 | *** | 4,008 | ||||||||||||
US Treasury |
1.750 | % | 10/01/18 | 1,392 | *** | 1,410 | ||||||||||||
US Treasury |
1.000 | % | 03/01/17 | 8,792 | *** | 8,806 | ||||||||||||
US Treasury |
0.625 | % | 08/01/17 | 1,870 | *** | 1,858 | ||||||||||||
US Treasury |
1.000 | % | 08/01/19 | 1,750 | *** | 1,715 | ||||||||||||
US Treasury |
0.750 | % | 10/01/17 | 9,168 | *** | 9,119 | ||||||||||||
US Treasury |
0.875 | % | 01/01/18 | 6,955 | *** | 6,920 | ||||||||||||
US Treasury |
1.500 | % | 05/01/20 | 200 | *** | 198 | ||||||||||||
TSY Infl Ix |
0.375 | % | 07/15/25 | 2,377 | *** | 2,301 | ||||||||||||
United Technologies Corp |
6.125 | % | 02/15/19 | 175 | *** | 195 | ||||||||||||
Unitedhealth Group Inc |
6.000 | % | 02/15/18 | 1,000 | *** | 1,088 | ||||||||||||
Valero Energy Corp Company |
9.375 | % | 03/15/19 | 114 | *** | 135 | ||||||||||||
Vanderbilt University |
5.250 | % | 04/15/19 | 650 | *** | 713 | ||||||||||||
Verizon Communications |
2.450 | % | 11/15/22 | 750 | *** | 710 | ||||||||||||
Verizon Communications |
2.625 | % | 02/15/20 | 1,034 | *** | 1,038 | ||||||||||||
Walmart Stores Inc |
3.300 | % | 04/15/24 | 380 | *** | 392 | ||||||||||||
Walgreens Boots Alliance |
3.300 | % | 11/15/21 | 855 | *** | 839 | ||||||||||||
Wells Fargo & Co |
3.300 | % | 09/15/24 | 1,030 | *** | 1,025 | ||||||||||||
Wells Fargo Bank |
0.572 | % | 05/15/16 | 1,000 | *** | 999 | ||||||||||||
Wells Fargo Commercial |
3.789 | % | 06/01/18 | 270 | *** | 276 | ||||||||||||
Welltower Inc |
4.950 | % | 01/01/21 | 296 | *** | 317 | ||||||||||||
Westlake Chemical Corp |
3.600 | % | 07/15/22 | 576 | *** | 562 | ||||||||||||
WF RBS Commercial Mortgage |
2.862 | % | 03/15/47 | 640 | *** | 651 | ||||||||||||
Williams Partners LP |
4.300 | % | 03/15/24 | 295 | *** | 234 | ||||||||||||
Glencore Finance Canada |
4.950 | % | 11/15/21 | 552 | *** | 444 | ||||||||||||
S&P Global Inc |
2.500 | % | 08/01/18 | 650 | *** | 654 | ||||||||||||
Morgan Stanley |
2.916 | % | 04/01/17 | 460 | *** | 469 | ||||||||||||
Government STIF |
0.111 | % | 12/31/30 | 25,655 | *** | 25,576 | ||||||||||||
Government National Mortgage |
5.000 | % | 08/20/39 | 113 | *** | 121 | ||||||||||||
Yara International |
7.875 | % | 06/15/19 | 285 | *** | 322 | ||||||||||||
|
|
|||||||||||||||||
Subtotal HIMCO bond fund |
229,869 | |||||||||||||||||
|
|
* | 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-45 for definition. |
F-42
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, 2015 (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 |
||||||||||||||||
BNY Mellon | |
Stable Value Fund, including the |
||||||||||||||||||
American General Life |
Stable Value Contract | *** | $ | 98,301 | ||||||||||||||||
American General Life |
Stable Value Contract | *** | 64,243 | |||||||||||||||||
Prudential |
Stable Value Contract | *** | 167,019 | |||||||||||||||||
RGA |
Stable Value Contract | *** | 41,335 | |||||||||||||||||
Shared Holdings (bb) | ||||||||||||||||||||
BlackRock | BlackRock Intermediate Term Credit Bond Index Fund |
|
*** | 15,317 | ||||||||||||||||
BlackRock | BlackRock Commerical Mortgage-Backed Securities Index Fund |
|
*** | 3,463 | ||||||||||||||||
BlackRock | BlackRock Mortgage-Backed Securities Index Fund |
|
*** | 32,063 | ||||||||||||||||
BlackRock | BlackRock 1-3 Year Government Bond Index Fund |
|
*** | 30,630 | ||||||||||||||||
BlackRock | BlackRock Asset-Backed Securities Index Fund |
|
*** | 25,015 | ||||||||||||||||
BlackRock | BlackRock 1-3 Year Credit Bond Index Fund |
|
*** | 32,812 | ||||||||||||||||
Shared Holdings (bb) | Interest rate | Maturity | Par Value | |||||||||||||||||
AEP Texas Central |
1.976 | % | 06/01/21 | 2,500 | *** | 2,503 | ||||||||||||||
Appalachian Consumer |
2.008 | % | 02/01/24 | 2,301 | *** | 2,440 | ||||||||||||||
Banc of America |
5.834 | % | 05/10/45 | 929 | *** | 930 | ||||||||||||||
California Republic Auto |
0.910 | % | 08/15/18 | 1,964 | *** | 1,959 | ||||||||||||||
Chase Issuance Trust |
1.150 | % | 01/15/19 | 3,000 | *** | 2,998 | ||||||||||||||
Credit Suisse Mortgage |
6.067 | % | 02/15/41 | 123 | *** | 123 | ||||||||||||||
Discover Card Execution Note |
1.040 | % | 04/15/19 | 3,600 | *** | 3,598 | ||||||||||||||
Fannie Mae |
2.000 | % | 03/25/25 | 347 | *** | 350 | ||||||||||||||
Fannie Mae |
2.000 | % | 08/25/26 | 768 | *** | 773 | ||||||||||||||
Fannie Mae |
2.000 | % | 05/25/25 | 1,902 | *** | 1,921 | ||||||||||||||
Fannie Mae |
3.000 | % | 06/15/39 | 2,110 | *** | 2,177 | ||||||||||||||
Freddie Mac |
3.000 | % | 07/15/39 | 1,451 | *** | 1,491 | ||||||||||||||
Freddie Mac |
3.000 | % | 07/15/39 | 1,279 | *** | 1,290 | ||||||||||||||
Freddie Mac |
2.500 | % | 08/15/25 | 902 | *** | 916 | ||||||||||||||
Freddie Mac |
2.000 | % | 02/15/40 | 868 | *** | 876 | ||||||||||||||
Freddie Mac |
2.000 | % | 11/15/21 | 2,189 | *** | 2,194 | ||||||||||||||
Freddie Mac |
3.000 | % | 07/15/17 | 1,838 | *** | 1,897 | ||||||||||||||
Freddie Mac |
5.000 | % | 09/15/38 | 95 | *** | 97 | ||||||||||||||
Freddie Mac |
4.500 | % | 09/15/37 | 98 | *** | 99 | ||||||||||||||
Fannie Mae |
2.250 | % | 03/25/39 | 1,723 | *** | 1,732 | ||||||||||||||
Fannie Mae |
4.000 | % | 03/25/25 | 1,081 | *** | 1,117 | ||||||||||||||
FNMA Pool MA1341 |
2.500 | % | 02/15/23 | 1,160 | *** | 1,181 |
* | 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-45 for definition. |
F-43
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, 2015 (continued)
($ IN THOUSANDS, except for par value)
(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 | |||||||||||||
Government National Mortgage |
5.000 | % | 02/16/32 | 61 | *** | $ | 62 | |||||||||
Government National Mortgage |
3.000 | % | 03/20/39 | 2,038 | *** | 2,101 | ||||||||||
Government National Mortgage |
1.000 | % | 12/16/36 | 1,284 | *** | 1,275 | ||||||||||
Government National Mortgage |
2.000 | % | 09/15/51 | 3,071 | *** | 3,176 | ||||||||||
Government National Mortgage |
2.000 | % | 01/16/46 | 2,312 | *** | 2,316 | ||||||||||
Government National Mortgage |
3.000 | % | 03/20/39 | 1,442 | *** | 1,471 | ||||||||||
Government National Mortgage |
4.000 | % | 08/20/27 | 2,864 | *** | 3,076 | ||||||||||
Government STIF |
0.012 | % | 12/31/30 | 2,018 | *** | 2,018 | ||||||||||
JP Morgan Chase |
1.855 | % | 04/15/46 | 2,750 | *** | 2,732 | ||||||||||
John Deere |
1.320 | % | 06/17/19 | 2,000 | *** | 1,989 | ||||||||||
LB UBS |
5.866 | % | 09/15/45 | 2,753 | *** | 2,889 | ||||||||||
Morgan Stanley |
2.916 | % | 02/15/47 | 1,000 | *** | 1,019 | ||||||||||
Morgan Stanley |
2.979 | % | 04/15/47 | 2,300 | *** | 2,446 | ||||||||||
US Treasury |
1.000 | % | 12/15/17 | 3,496 | *** | 3,491 | ||||||||||
Volkswagen Auto Loan |
0.700 | % | 04/20/18 | 1,764 | *** | 1,856 | ||||||||||
Prudential |
0.000 | % | 12,759 | *** | 167,019 | |||||||||||
|
|
|||||||||||||||
Subtotal BNY Mellon Bond Fund |
370,898 | |||||||||||||||
|
|
|||||||||||||||
Separate Account Guaranteed Investment Contract |
||||||||||||||||
New York Life |
Stable Value Contract | |||||||||||||||
#GA29021, 2.41%** | *** | 92,312 | ||||||||||||||
Wrapper Contracts |
||||||||||||||||
Transamerica Premier Life |
#MDA01097TR, 2.79%** | *** | 81 | |||||||||||||
American General Life |
#1646368, 1.82%** | *** | (104 | ) | ||||||||||||
American General Life |
#1635582, 1.14%** | *** | 12 | |||||||||||||
RGA |
#RGA00058, 2.95%** | *** | | |||||||||||||
Prudential |
#GA62433, 2.76%** | 62 | ||||||||||||||
|
|
|||||||||||||||
Subtotal Wrapper Contracts |
51 | |||||||||||||||
|
|
* | 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
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, 2015 (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 | *** | $ | 19,876 | |||||
|
|
|||||||||
Subtotal Stable Value Fund |
19,876 | |||||||||
|
|
|||||||||
Clearing Account | ||||||||||
* |
State Street Bank and Trust | Clearing Account | *** | 935 | ||||||
|
|
|||||||||
Subtotal Clearing Account |
935 | |||||||||
|
|
|||||||||
Master Expense Account | ||||||||||
* |
State Street Bank and Trust | Master Expense Account | *** | 12 | ||||||
|
|
|||||||||
Subtotal Master Expense Account |
12 | |||||||||
|
|
|||||||||
Investments Total |
$ | 3,507,585 | ||||||||
|
|
|||||||||
Loan Fund | ||||||||||
* |
Plan Members | Notes Receivable from Participants, maturing in 2016 through 2028 bearing interest at rates from 4.25% - 10.50% |
N/A | 59,699 | ||||||
|
|
|||||||||
Subtotal Loan Fund |
59,699 | |||||||||
|
|
|||||||||
Grand Total |
$ | 3,567,284 | ||||||||
|
|
* | 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-45
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on behalf of The Hartford Investment and Savings Plan by the undersigned thereunto duly authorized.
THE HARTFORD INVESTMENT AND SAVINGS PLAN
BY: | /s/ Erin Bill | |
Erin Bill | ||
Plan Administrator | ||
June 27, 2016 |
F-46