Form 11-K
Table of Contents

 

 

FORM 11-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

(Mark One)

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

For the fiscal year ended December 31, 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

 

 

 


Table of Contents

The Hartford Investment and Savings Plan

TABLE OF CONTENTS

December 31, 2015 and 2014

 

     Page No(s).  

Report of Independent Registered Public Accounting Firm

     F-1   

Financial Statements:

  

Statements of Net Assets Available for Benefits as of December  31, 2015 and 2014

     F-2   

Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2015

     F-3   

Notes to Financial Statements as of December  31, 2015 and 2014 and for the year ended December 31, 2015

     F-4 - F-13   

Supplemental Schedule:

  

Form 5500, Schedule H, Part IV, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2015

     F-14 – F-45   

Signature

     F-46   

Independent Registered Public Accounting Firm Consent

     F-47   

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


Table of Contents

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Plan Administrator and Members of

The Hartford Investment and Savings Plan

Hartford, Connecticut

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

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

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

/s/ DELOITTE & TOUCHE LLP

Hartford, Connecticut

June 27, 2016

 

F-1


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS

AS OF DECEMBER 31, 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   
  

 

 

    

 

 

 

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   
  

 

 

    

 

 

 

Total receivables

     64,534         62,576   
  

 

 

    

 

 

 

Total assets

     3,560,336         3,531,661   

Liabilities

     

Investment management expenses payable

     613         613   

Administrative expenses payable

     40         43   
  

 

 

    

 

 

 

Total liabilities

     653         656   

Net assets available for benefits

   $ 3,559,683       $ 3,531,005   
  

 

 

    

 

 

 

See Notes to Financial Statements.

 

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Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS

FOR THE YEAR ENDED DECEMBER 31, 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   
  

 

 

 

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


Table of Contents

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

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

 

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Table of Contents

Note 1. Description of the Plan (continued)

 

Administrative Costs

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

Member Accounts

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

Vesting

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

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

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

Investment Options

Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. As of December 31, 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 Member’s account. The interest rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan. Principal and interest is paid ratably through payroll deductions.

Payment of Benefits

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

 

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Note 1. Description of the Plan (continued)

 

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

Forfeitures

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

Use of Estimates

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

Investment Valuation and Income Recognition

The Plan’s investments are stated at fair value, 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


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Note 2. Accounting Policies (continued)

 

Contributions

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

Excess Contribution Payable

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

Notes Receivable from Members

Notes receivable from Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent 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 Plan’s Stable Value Fund is comprised primarily of synthetic GICs. A synthetic GIC is an investment contract issued by an insurance company or other financial institution where the contract issuer is contractually obligated to provide a specified interest rate 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.

 

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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   
        

 

 

 

Total

         $ 681,347   
        

 

 

 

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   
        

 

 

 

Total

         $ 673,874   
        

 

 

 

The Stable Value Fund also held cash and cash equivalents totaling $9,651 as of December 31, 2014.

 

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Note 4. Fair Value Measurements

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

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

 

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

 

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

 

  Level 3 - Valuations based on models where significant inputs are not observable. The unobservable inputs reflect the Plan’s own assumptions about the inputs that market participants would use 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 Plan’s debt securities, the following inputs are typically used in the Plan’s pricing methods: reported trades, benchmark yields, bids and/or estimated cash flows. For securities except U.S. Treasuries, inputs also include issuer spreads, which may consider credit default swaps.

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

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

Corporates — Valued using pricing models maximizing the use of observable inputs for similar securities. 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.

 

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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 Plan’s 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   
  

 

 

    

 

 

    

 

 

    

 

 

 

Total investments at fair value [1]

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

 

 

    

 

 

    

 

 

    

 

 

 

Investments at net asset value:

           

Collective investment trusts

              903,482   
           

 

 

 

Total investments

            $ 2,794,579   
           

 

 

 

 

[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


Table of Contents

Note 4. Fair Value Measurements (continued)

 

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

We evaluate the significance of transfers between levels based upon the nature of the financial instrument and size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 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 Plan’s 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


Table of Contents

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 Plan’s fixed-income investments and to achieve overall investment portfolio objectives. These contracts involve elements of market risk in excess of amounts recognized in the Statements of Net Assets Available for Benefits. The credit risk associated with these contracts is minimal, as they are traded on organized exchanges and settled daily. The current day’s gains and losses are classified as derivatives receivable/payable for the investment portfolio, with a value of $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 Plan’s brokers as performance security on futures contracts. There were no investments of the Plan held by the Plan’s 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 Plan’s financial statements.

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


Table of Contents

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 Hartford’s 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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   
   McDonald’s 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   
   Moody’s 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   
   O’Reilly 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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   
   People’s 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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   
   McDonald’s 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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
contracts:

  
  

  

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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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              
  

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   
  

McDonald’s 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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   
  

People’s 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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
following contracts:

 
 

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


Table of Contents

EIN# 06-0383750

Plan# 100

THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE

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

AS OF DECEMBER 31, 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.

 

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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.

 

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SIGNATURE

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

THE HARTFORD INVESTMENT AND SAVINGS PLAN

 

BY:  

/s/ Erin Bill

  Erin Bill
  Plan Administrator
  June 27, 2016

 

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