FORM 11-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
(Mark One)
| x |
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For
the fiscal year ended December 31, 2014
OR
| ¨ |
TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from
to
Commission file number 001-13958
| A. |
Full title of the Plan and the address of the Plan, if different from that of the issuer named below: |
THE HARTFORD INVESTMENT AND SAVINGS PLAN
| B. |
Name of issuer of the securities held pursuant to the Plan and the address of its principal executive office: |
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
One Hartford Plaza, Hartford, Connecticut 06155
The Hartford Investment and Savings Plan
TABLE OF CONTENTS
December 31, 2014 and 2013
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.
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan Administrator and Members of
The Hartford
Investment and Savings Plan
Hartford, Connecticut
We have
audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the “Plan”) as of December 31, 2014 and 2013, and the related statement of changes in net assets available for
benefits for the year ended December 31, 2014. These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan
and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial
reporting. Our audits included consideration of internal control over financial reporting as a basis for designing audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of
the Plan’s internal control over financial reporting. Accordingly, we express no such opinion. An audit also includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the
accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, such financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31,
2014 and 2013, and the changes in net assets available for benefits for the year ended December 31, 2014, in conformity with accounting principles generally accepted in the United States of America.
The supplemental schedule of assets (held at end of year) as of December 31, 2014, has been subjected to audit procedures performed in conjunction with
the audit of the Plan’s financial statements. The supplemental schedule is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental schedule should be reconciled to the financial
statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule,
we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of
1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.
DELOITTE &
TOUCHE LLP
Hartford, Connecticut
June 29, 2015
F-1
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2014 AND 2013
($ IN THOUSANDS)
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
| Assets |
|
|
|
|
|
|
|
|
| Investments, at fair value: |
|
|
|
|
|
|
|
|
| The Hartford Stock Fund, common stock 5,316,940 and 5,940,444 shares at December 31, 2014 and 2013, respectively |
|
$ |
221,663 |
|
|
$ |
215,222 |
|
| The Hartford Index Fund |
|
|
368,163 |
|
|
|
317,940 |
|
| Separately managed accounts |
|
|
439,180 |
|
|
|
448,541 |
|
| Collective investment trusts |
|
|
849,637 |
|
|
|
748,320 |
|
| Mutual funds |
|
|
899,477 |
|
|
|
902,626 |
|
| Pooled temporary investments |
|
|
17,091 |
|
|
|
21,021 |
|
| Fully benefit-responsive investment contracts with financial institutions, Stable Value Fund |
|
|
695,630 |
|
|
|
706,858 |
|
|
|
|
|
|
|
|
|
|
| Total investments |
|
|
3,490,841 |
|
|
|
3,360,528 |
|
| Receivables: |
|
|
|
|
|
|
|
|
| Notes receivable from participants |
|
|
57,145 |
|
|
|
54,333 |
|
| Dividends and interest receivable |
|
|
5,431 |
|
|
|
4,665 |
|
|
|
|
|
|
|
|
|
|
| Total receivables |
|
|
62,576 |
|
|
|
58,998 |
|
|
|
|
|
|
|
|
|
|
| Total assets |
|
|
3,553,417 |
|
|
|
3,419,526 |
|
|
|
|
| Liabilities |
|
|
|
|
|
|
|
|
| Investment management expenses payable |
|
|
613 |
|
|
|
766 |
|
| Administrative expenses payable |
|
|
43 |
|
|
|
50 |
|
|
|
|
|
|
|
|
|
|
| Total liabilities |
|
|
656 |
|
|
|
816 |
|
|
|
|
| Net assets available for benefits at fair value |
|
|
3,552,761 |
|
|
|
3,418,710 |
|
|
|
|
| Adjustment from fair value to contract value for fully benefit-responsive investment contracts |
|
|
(21,756 |
) |
|
|
(19,299 |
) |
|
|
|
|
|
|
|
|
|
| Net assets available for benefits |
|
$ |
3,531,005 |
|
|
$ |
3,399,411 |
|
|
|
|
|
|
|
|
|
|
See Notes to Financial Statements.
F-2
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2014
($ IN THOUSANDS)
|
|
|
|
|
| |
|
2014 |
|
| Investment gain: |
|
|
|
|
| Net appreciation in fair value of investments |
|
$ |
232,410 |
|
| Dividends |
|
|
6,323 |
|
|
|
|
|
|
| Total investment gain |
|
|
238,733 |
|
|
|
|
|
|
| Interest income on notes receivable from participants |
|
|
2,343 |
|
|
|
|
|
|
| Contributions: |
|
|
|
|
| Employee contributions |
|
|
129,073 |
|
| Employer contributions |
|
|
109,632 |
|
| Rollover contributions |
|
|
14,256 |
|
|
|
|
|
|
| Total contributions |
|
|
252,961 |
|
|
|
|
|
|
| Total additions |
|
|
494,037 |
|
|
|
|
|
|
| Deductions from net assets attributed to: |
|
|
|
|
| Benefits paid to Members |
|
|
358,936 |
|
| Investment management fees |
|
|
3,229 |
|
| Administrative expenses |
|
|
278 |
|
|
|
|
|
|
| Total deductions |
|
|
362,443 |
|
|
|
|
|
|
| Net increase |
|
|
131,594 |
|
|
|
| Net assets available for benefits: |
|
|
|
|
| Beginning of year |
|
|
3,399,411 |
|
|
|
|
|
|
| End of year |
|
$ |
3,531,005 |
|
|
|
|
|
|
See Notes to Financial Statements.
F-3
THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2014 AND 2013
AND FOR THE YEAR ENDED DECEMBER 31, 2014
($ IN THOUSANDS)
Note 1. Description
of the Plan
The following description of The Hartford Investment and Savings Plan (the “Plan” or “ISP”) is provided for general
information purposes only. Members should refer to the Plan Document for more complete information. “Members” refers to eligible participants of the Plan.
The Hartford Financial Services Group, Inc. (“HFSG”, together with its subsidiaries, “The Hartford”, the “Company”) is an
insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States
of America. The Hartford is also a provider of mutual funds to investors and additionally, The Hartford continues to manage life and annuity products previously sold. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of
The Hartford.
Information with regard to eligibility, contributions, distributions, vesting, trustees, withdrawals, loans, fund redistribution and
certain definitions are contained in the Plan Document. A Summary Plan Description (SPD) setting forth the highlights of the Plan is available to Members on the Fidelity Net Benefits website. Fidelity Workplace Services LLC serves as the record
keeper of the Plan.
Plan Changes
See Note 11 for a
general description of amendments made to the Plan Document during 2014.
General
The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of
the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan Document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974
(“ERISA”).
The Trust, as defined in the Plan Document, is the aggregate funds held by the trustee, State Street Bank and Trust Company (the
“Trustee”), under the trust agreement established for the purposes of the Plan. The Investment and Savings Plan Investment Committee (ISPIC) is responsible for the management of Plan assets except with respect to matters that are the
responsibility of Evercore Trust Company as fiduciary with respect to the common stock of HFSG (“Hartford Stock”) held in The Hartford Stock Fund. The ISPIC may from time to time add investment funds to, or eliminate investment funds from,
the group of investment funds available under the Plan, provided, however, that the ISPIC has no authority with respect to the Hartford Stock in The Hartford Stock Fund.
Contributions
Members may elect to save a percentage of
their eligible compensation (including, effective January 1, 2013, overtime and certain annual bonuses and sales incentives) and may designate their savings as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, savings may
be elected based on 1% to 30% of eligible compensation. Members who are highly compensated employees may have contribution limits of less than 30% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended
(the “Code”).
The Company’s contributions include a non-elective contribution of 2% of eligible compensation and a dollar-for-dollar
matching contribution of up to 6% of eligible compensation contributed by the employee each pay period.
Members’ savings in excess of 6% of the
applicable compensation are Supplemental Savings that are not matched by the Company.
Administrative Costs
The Trust pays certain administrative expenses of the Plan out of the assets of the Trust. Expenses not paid by the Trust are borne by the Company.
F-4
Note 1. Description of the Plan (continued)
Member Accounts
Individual accounts are maintained for
each Member. Each Member’s account is credited with that Member’s contributions and allocations of (a) the Matching Company contributions and non-elective Company contributions and (b) Plan earnings, and is charged with
withdrawals and an allocation of administrative expenses and Plan losses. Allocations are based on Member account balances, as defined in the Plan Document. The benefit to which a Member is entitled is the benefit that can be provided from that
Member’s vested account balance.
Vesting
Members are 100% vested at all times with respect to Member contributions and earnings thereon. Members are 100% vested in Matching Company and non-elective
Company contributions made after January 1, 2013 after two years of service.
Members are vested 20% in Matching Company contributions made prior to
January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in Floor Company contributions (0.5% of highly compensated eligible employees’ base salary
and 1.5% of all other eligible employees’ base salary) made prior to January 1, 2013.
Notwithstanding the foregoing statement, a Member becomes
fully vested in such Member’s Matching Company contribution account upon retirement (for retirement eligible Members), disability, death, reaching age 65, or upon the complete discontinuance of Company contributions or termination of the Plan.
Investment Options
As of December 31, 2014,
contributions of Member savings and Company contributions may be invested in any of the twenty-two investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (“Member directed investments”).
Certain investment options are parties-in-interest with The Hartford. See Notes 3 and 10 for further discussion.
On June 28, 2013 three multi-manager equity funds were added as investment options to the Plan: a large-cap equity fund, a small/mid-cap equity fund and
an international equity fund. The multi-manager funds are comprised of several underlying funds (mutual funds and separate accounts) which are not available as stand-alone options under the Plan. The large-cap equity fund is made up of the
previously available Hartford Capital Appreciation HLS Fund, Hartford Dividend and Growth HLS Fund and Columbus Circle Large Cap Growth Fund. The small/mid-cap equity fund is made up of the previously available Hartford Small Company HLS Fund and
Hartford Midcap HLS Fund as well as the Chartwell Investment Partners Small Cap Value Fund and LMCG Investments Mid Cap Value Fund. The international equity fund is made up of the previously available Hartford International Opportunities HLS Fund
and the new Dodge & Cox International Stock Fund added during 2014.
Member Loans
Members may borrow from their accounts a minimum of $0.5 to a maximum equal to the lesser of $50 or 50% of their vested account balance. Loan transactions are
treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Member’s account. The interest
rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan.
Principal and interest is paid ratably through payroll deductions.
Payment of Benefits
On termination of service due to death, disability, retirement, or certain other reasons, Members or their designated beneficiaries may elect to receive either
a lump sum amount equal to the value of their vested account balance, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipient’s life expectancy.
Distributions may be paid in cash or, with respect to The Hartford Stock Fund, in stock distributions. Members or their designated beneficiaries may also
elect to defer distributions subject to certain conditions.
F-5
Note 1. Description of the Plan (continued)
Forfeitures
At December 31, 2014 and 2013, forfeited
non-vested account balances totaled $131 and $22, respectively.
These forfeitures are applied to reduce future Matching Company contributions. During the
year ended December 31, 2014, Matching Company contributions were reduced by $3,103 from forfeitures.
Note 2. Accounting Policies
Basis of Accounting
The accompanying financial statements
have been prepared in accordance with accounting principles generally accepted in the United States of America (“U.S. GAAP”) and the Department of Labor’s Rules and Regulations for Reporting and Disclosure under ERISA.
Use of Estimates
The preparation of financial statements
in conformity with U.S. GAAP requires management of the Plan to make estimates and assumptions that affect the reported amounts of assets and liabilities and changes therein, and disclosure of contingent assets and liabilities as of the date of the
financial statements and the reported amounts of additions and deductions during the reporting period. Actual results could differ from those estimates.
Investment Valuation and Income Recognition
The
Plan’s investments are stated at fair value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date
(See Note 5). The fair value of the common stock of HFSG is based on quoted market prices. The Hartford Index Fund, separately managed accounts, mutual funds, collective investment trusts and pooled temporary investment funds are valued at the net
asset value (NAV) of shares, which represent the fair value of the underlying securities, held by the Plan at year end. The fully benefit-responsive investment contracts with financial institutions (the “Stable Value Fund”) include
synthetic guaranteed investment contracts (“GICs”) whose underlying securities are stated at fair value. The GICs are stated at fair value and then adjusted to contract value as described in Note 4.
Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the
ex-dividend date.
Investment securities, in general, are exposed to various risks, such as interest rate, credit and overall market volatility. Due to
the level of risk associated with certain investment securities, it is possible that changes in the values of investment securities, which are reflected in the Statement of Changes in Net Assets Available for Benefits, may occur in the near term and
such changes could materially affect the amounts reported in the financial statements.
Investment expenses charged to the Plan for investments in mutual
funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of investment return for such investments. For investments
other than mutual funds and collective investment trusts, investment expenses are reflected as investment management fees paid out of the assets of the Fund and are recognized as expenses of the Plan. As of December 31, 2014 and 2013 there were
no unfunded commitments or redemption restrictions on collective investment trusts and mutual funds.
Payment of Benefits
Benefits paid to Members are recorded when distributed.
Contributions
Employee and employer contributions are
recorded in the period during which the Company makes payroll deductions from Members’ compensation.
F-6
Note 2. Accounting Policies (continued)
Notes Receivable from Members
Notes receivable from
Members are measured at their unpaid principal balance plus any accrued but unpaid interest. Delinquent Member loans are recorded as distributions based on the terms of the Plan Document.
New Accounting Standards Not Yet Effective
On
May 1, 2015, the Financial Accounting Standards Board issued Update No. 2015-07, Disclosures for Investments in Certain Entities That Calculate Net Asset Value per Share (or Its Equivalent) (“ASU 2014-07”) which removes the
requirement to present certain investments for which the practical expedient is used to measure fair value at net asset value within the fair value hierarchy table. Retrospective application is required upon adoption.
Note 3. Investments
The following investments
represented 5% or more of the Plan’s net assets available for benefits at the end of the Plan year:
|
|
|
|
|
|
|
|
|
| |
|
December 31, |
|
| |
|
2014 |
|
|
2013 |
|
| * The Hartford Stock Fund, common stock (5,316,940 and 5,940,444 shares at December 31, 2014 and 2013, respectively) |
|
$ |
221,663 |
|
|
$ |
215,222 |
|
| * The Hartford Index Fund |
|
|
368,163 |
|
|
|
317,940 |
|
| Collective investment trusts: |
|
|
|
|
|
|
|
|
| Vanguard Target Retirement 2025 |
|
|
201,146 |
|
|
|
186,411 |
|
| Vanguard Target Retirement 2035 |
|
|
196,230 |
|
|
|
174,745 |
|
| Mutual funds: |
|
|
|
|
|
|
|
|
| * Hartford Capital Appreciation HLS Fund |
|
|
** |
|
|
|
173,372 |
|
| * Hartford Dividend and Growth HLS Fund |
|
|
** |
|
|
|
172,662 |
|
| * Hartford International Opportunity HLS Fund |
|
|
** |
|
|
|
171,545 |
|
| Stable Value Fund: |
|
|
|
|
|
|
|
|
| Transamerica Premier Life, Contract #MDA01097TR |
|
|
238,013 |
|
|
|
** |
|
| * |
Indicates party-in-interest |
| ** |
Investment did not represent 5% or more of the Plan’s net assets available for benefits at December 31, 2014 or December 31, 2013 |
For the year ended December 31, 2014, the Plan’s investments appreciated (depreciated), including gains and losses on investments bought and sold,
as well as held during the year, as follows:
|
|
|
|
|
| |
|
December 31, 2014 |
|
| The Hartford Stock Fund |
|
$ |
29,363 |
|
| The Hartford Index Fund |
|
|
43,582 |
|
| Separately managed accounts |
|
|
39,068 |
|
| Stable Value Fund |
|
|
15,892 |
|
| Mutual funds |
|
|
|
|
| Bond Investments |
|
|
2,606 |
|
| Large-Cap Equities |
|
|
33,798 |
|
| Mid-Cap Equities |
|
|
14,089 |
|
| Small-Cap Equities |
|
|
6,870 |
|
| International Equities |
|
|
(6,872 |
) |
| Collective investment trusts |
|
|
|
|
| Vanguard Target Retirement Funds |
|
|
54,265 |
|
| State Street Global Advisors (SSGA) Real Asset |
|
|
(251 |
) |
|
|
|
|
|
| Net appreciation in fair value of investments |
|
$ |
232,410 |
|
|
|
|
|
|
F-7
Note 4. Fully Benefit-Responsive Investments Contract with Financial Institutions
The Plan’s Stable Value Fund is comprised primarily of synthetic GICs. A synthetic GIC is an investment contract issued by an insurance company or other
financial institution where the contract issuer is contractually obligated to provide a specified interest rate, also known as a wrap contract, backed by a portfolio of financial instruments which are held in a trust that are owned by the Plan.
Standish Mellon Asset Management Company LLC, a wholly owned subsidiary of The Bank of New York Mellon Corporation, provides investment management services to the Stable Value Fund. The fair value of the benefit-responsive wrapper contracts was $(9)
at December 31, 2014 and $149 at December 31, 2013. The wrap contract provides that Members execute Plan transactions at contract value. These contracts are fully benefit-responsive and are included in the financial statements at fair
value (see Note 2). Fully benefit-responsive contracts provide for a stated return on principal invested over a specified period and permit withdrawals at contract value for benefit payments, loans, or transfers. Contract value represents
contributions made under the contract, plus earnings, less Plan withdrawals and administrative expenses. Certain events, such as a Plan termination, divestiture or reduction in force may limit the ability of the Plan to transact at contract value or
may allow for the termination of the wrapper contract at less than contract value. The Plan Sponsor does not believe that it is probable that any such events would limit the ability of the Plan to transact at contract value.
The relationship of future crediting rates and the adjustments to contract value reported on the statements of net assets available for benefits are provided
through the mechanism of the crediting rate formula. The crediting rate is based on the current yield-to-maturity, the duration of the portfolio, and the amortization of gains and losses, defined as the difference between the market value of the
underlying securities and contract value of the wrapper. Key factors that could influence future crediting rates include, but are not limited to, Plan cash flows, changes in interest rates, total return performance of the fair market value of the
underlying securities within each synthetic GIC, default or credit failures of any of the securities, investment contracts, or other investments held in the associated fund and the initiation of an extended termination of one or more synthetic GICs
by the manager or the contract issuer. The rate of return earned on a synthetic GIC is generally reset quarterly by the issuer but the rate cannot be less than zero.
The contract issuer is not allowed to terminate any of the synthetic GICs and settle at an amount different from contract value unless there is a breach of
the contract which is not corrected within the applicable cure period. Actions that will result in a breach include, but are not limited to, material misrepresentation, failure to pay synthetic GIC fees, or any other payment due under the contract,
and failure to adhere to investment guidelines. The Plan did not breach any terms of the synthetic GICs in 2014 or 2013.
During 2014, there were changes
in contracts within the Stable Value Fund. The previous Natixis contract was replaced by an American General Life contract. The previous Blackrock portion of the Monumental contract (MDA01098TR) was moved to RGA to provide wrapper diversification to
the portfolio. The previous Monumental contract (MDA01097TR) was renamed to Transamerica Premier Life when Aegon (the holding company for Monumental and Transamerica Insurance Companies) consolidated its wrap business into its Transamerica business
line.
|
|
|
|
|
|
|
|
|
| Average yields: |
|
2014 |
|
|
2013 |
|
| Based on annualized earnings (1) |
|
|
2.32 |
% |
|
|
2.25 |
% |
| Based on interest rate credited to participants (2) |
|
|
2.41 |
% |
|
|
2.33 |
% |
| (1) |
Calculated based on actual investment income from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31, 2014 and 2013,
respectively. |
| (2) |
Calculated based on the interest rate credited to participants from the underlying investments for the last month of the year, annualized, divided by the fair value of the investment portfolio as of December 31,
2014 and 2013, respectively. |
The following table represents the adjustment from fair value to contract value for each of the contracts as of
December 31, 2014:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Contract Issuer |
|
Contract
Number |
|
Major
Credit
Ratings |
|
Investments
at Contract
Value |
|
|
Investments
at Fair
Value |
|
|
Adjustment from
Fair Value to
Contract Value |
|
| Transamerica Premier Life |
|
MDA01097TR |
|
AA- / Aa2 |
|
$ |
227,472 |
|
|
$ |
238,013 |
|
|
$ |
(10,541 |
) |
| American General Life |
|
1646368 |
|
AA / Aa2 |
|
|
96,058 |
|
|
|
97,024 |
|
|
|
(976 |
) |
| American General Life |
|
1635582 |
|
AA+ / Aaa |
|
|
63,527 |
|
|
|
63,461 |
|
|
|
66 |
|
| RGA |
|
RGA00058 |
|
AA / Aa2 |
|
|
39,401 |
|
|
|
40,994 |
|
|
|
(1,593 |
) |
| New York Life |
|
GA29021 |
|
AA+ / Aaa |
|
|
88,449 |
|
|
|
91,195 |
|
|
|
(2,746 |
) |
| Prudential |
|
GA62433 |
|
AA / Aa1 |
|
|
158,967 |
|
|
|
164,943 |
|
|
|
(5,976 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total |
|
|
|
|
|
$ |
673,874 |
|
|
$ |
695,630 |
|
|
$ |
(21,756 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
F-8
Note 4. Fully Benefit-Responsive Investments Contract with Financial Institutions (continued)
The following table represents the adjustment from fair value to contract value for each of the contracts as of December 31, 2013:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Contract Issuer |
|
Contract
Number |
|
Major
Credit
Ratings |
|
Investments
at Contract
Value |
|
|
Investments
at Fair
Value |
|
|
Adjustment from
Fair Value to
Contract Value |
|
| Monumental Life Insurance Company |
|
MDA01097TR |
|
AA- / Aa2 |
|
$ |
127,119 |
|
|
$ |
133,755 |
|
|
$ |
(6,636 |
) |
| Monumental Life Insurance Company |
|
MDA01098TR |
|
AA / Aa2 |
|
|
142,670 |
|
|
|
143,715 |
|
|
|
(1,045 |
) |
| American General Life |
|
1635582 |
|
AA+ / Aaa |
|
|
82,577 |
|
|
|
83,178 |
|
|
|
(601 |
) |
| Natixis Financial Products Inc. |
|
1879-02 |
|
AA-/ Aa2 |
|
|
94,210 |
|
|
|
99,106 |
|
|
|
(4,896 |
) |
| New York Life |
|
GA29021 |
|
AA+ / Aaa |
|
|
86,417 |
|
|
|
88,572 |
|
|
|
(2,155 |
) |
| Prudential |
|
GA62433 |
|
AA / Aa1 |
|
|
154,566 |
|
|
|
158,532 |
|
|
|
(3,966 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total |
|
|
|
|
|
$ |
687,559 |
|
|
$ |
706,858 |
|
|
$ |
(19,299 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Note 5. Fair Value Measurements
The Plan estimates of fair value are based on ASC 820, Fair Value Measurements and Disclosures, which provides a framework for
measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value and requires that observable inputs be used in valuations when available.
The disclosure of fair value estimates in the fair value accounting guidance hierarchy is based on whether the significant inputs into the valuation are
observable. In determining the level of the hierarchy in which the estimate is disclosed, the highest priority is given to unadjusted quoted prices in active markets and the lowest priority to unobservable inputs that reflect the Plan’s
significant market assumptions. The level in the fair value hierarchy within which the fair value measurement is reported is based on the lowest level input that is significant to the measurement in its entirety. The three levels of the hierarchy
are as follows:
• Level 1 - Unadjusted quoted market prices for identical assets or liabilities in active markets that the Plan has
the ability to access.
• Level 2 - Quoted prices for similar assets or liabilities in active markets; quoted prices for identical or
similar assets or liabilities in inactive markets; or valuations based on models where the significant inputs are observable (e.g., interest rates, yield curves, prepayment speeds, default rates, loss severities, etc.) or can be corroborated by
observable market data.
• Level 3 - Valuations based on models where significant inputs are not observable. The unobservable inputs
reflect the Plan’s own assumptions about the inputs that market participants would use.
Asset Valuation Techniques — Valuation
techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the
methodologies used at December 31, 2014 and 2013.
Generally, the Plan determines the estimated fair value of its fixed income securities, equity
securities and short-term investments using the market approach. The income approach is used for securities priced using a pricing matrix, as well as for derivative instruments. The collective investment trust assets are measured at fair value using
a NAV as a practical expedient. For Level 1 investments, which are comprised primarily of exchange-traded equity securities, valuations are based on observable inputs that reflect quoted prices for identical assets in active markets that the Plan
has the ability to access at the measurement date.
F-9
Note 5. Fair Value Measurements (continued)
Debt Securities:
For most of the
Plan’s debt securities, the following inputs are typically used in the Plan’s pricing methods: reported trades, benchmark yields, bids and/or estimated cash flows. For securities except U.S. Treasuries, inputs also include issuer spreads,
which may consider credit default swaps.
A description of additional inputs used for Debt Securities is listed below:
Asset-Backed Securities (ABS), Commercial Mortgage-Backed Securities (CMBS) and Residential Mortgage-Backed Securities (RMBS) — Primary
inputs also include monthly payment information, collateral performance, which varies by vintage year and includes delinquency rates, collateral valuation loss severity rates, collateral refinancing assumptions and, for ABS and RMBS, estimated
prepayment rates.
Corporates — Valued using pricing models maximizing the use of observable inputs for similar securities. This
includes basing value on yields currently available on comparable securities of issuers with similar credit ratings. When quoted prices are not available for identical or similar bonds, the bond is valued under a discounted cash flows approach that
maximizes observable inputs, such as current yields of similar instruments, but includes adjustments for certain risks that may not be observable, such as credit and liquidity risks or a broker quote, if available. Inputs also include observations
of credit default swap curves related to the issuer.
Municipals — Primary inputs also include Municipal Securities Rulemaking Board
reported trades and material event notices, and issuer financial statements.
Short-term Investments — Primary inputs also include material
event notices and new issue money market rates.
Mutual Funds — Valued at the daily closing price as reported by the fund. Mutual funds
held by the Plan are open-ended mutual funds that are registered with the Securities and Exchange Commission. These funds are required to publish their daily NAV and to transact at that price. The mutual funds held by the Plan are deemed to be
actively traded.
Stable Value Fund —
Fully benefit-responsive investment contracts with financial institutions consist of synthetic GICs which are reported at fair value. Synthetic GICs are valued
at the fair value of the underlying assets derived from the exchange where the securities are primarily traded. The Plan includes the fair value estimates of the Synthetic GICs in Level 2. The fair value of the wrapper contracts associated with the
synthetic GICs are based on the wrap contract fees provided by insurance companies and are disclosed in Level 3 due to the significant inputs being unobservable. The Statements of Net Assets Available for Benefits presents the fair value of the
investment contracts as well as the adjustment of the fully benefit-responsive investment contracts from fair value to contract value.
Fair values for
insurance company separate account GICs are calculated using the market value provided by the insurance companies that manage the underlying assets of the product.
Collective Investment Trusts — The fair value of the collective trust investments are valued at the NAV per unit as reported by the sponsor
of the collective trust funds derived from the exchange where the underlying securities are primarily traded and are redeemable daily.
Common Stocks
– Valued at the closing price reported on the active market on which the individual securities are traded.
F-10
Note 5. Fair Value Measurements (continued)
The following tables set forth by level within the fair value hierarchy a summary of the Plan’s investments measured at fair value on a recurring basis at
December 31, 2014 and 2013.
The tables below include the major categorization for debt and equity securities on the basis of the nature and risk of
the investments at December 31, 2014 and 2013.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Investment Assets at Fair Value as of December 31, 2014 |
|
| |
|
Active Markets
for Identical
Assets
(Level 1) |
|
|
Other
Observable
Inputs
(Level 2) |
|
|
Significant
Unobservable
Inputs
(Level 3) |
|
|
Total |
|
| Invested Assets |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Short Term Investments |
|
$ |
— |
|
|
$ |
17,091 |
|
|
$ |
— |
|
|
$ |
17,091 |
|
| Stable Value Fund: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Short Term Investments |
|
|
— |
|
|
|
8,089 |
|
|
|
— |
|
|
|
8,089 |
|
| Guaranteed Investment Contract |
|
|
— |
|
|
|
91,195 |
|
|
|
— |
|
|
|
91,195 |
|
| Debt Securities including U.S. Government |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Securities |
|
|
1,156 |
|
|
|
595,199 |
|
|
|
(9 |
) |
|
|
596,346 |
|
| Debt Securities |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| High-yield |
|
|
— |
|
|
|
58,474 |
|
|
|
1,212 |
|
|
|
59,686 |
|
| Mutual Funds: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Small-Cap Equities |
|
|
84,792 |
|
|
|
— |
|
|
|
— |
|
|
|
84,792 |
|
| Mid-Cap Equities |
|
|
126,200 |
|
|
|
— |
|
|
|
— |
|
|
|
126,200 |
|
| Large-Cap Equities |
|
|
343,225 |
|
|
|
— |
|
|
|
— |
|
|
|
343,225 |
|
| International Equities |
|
|
181,225 |
|
|
|
— |
|
|
|
— |
|
|
|
181,225 |
|
| Bond Investments |
|
|
102,836 |
|
|
|
— |
|
|
|
— |
|
|
|
102,836 |
|
| Money Market |
|
|
61,199 |
|
|
|
— |
|
|
|
— |
|
|
|
61,199 |
|
| Equity Securities: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Company Stock |
|
|
221,663 |
|
|
|
— |
|
|
|
— |
|
|
|
221,663 |
|
| Large-Cap Equities |
|
|
536,370 |
|
|
|
293 |
|
|
|
— |
|
|
|
536,663 |
|
| Mid-Cap Equities |
|
|
126,402 |
|
|
|
— |
|
|
|
— |
|
|
|
126,402 |
|
| Small-Cap Equities |
|
|
84,592 |
|
|
|
— |
|
|
|
— |
|
|
|
84,592 |
|
| Collective investment trusts: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Target funds |
|
|
— |
|
|
|
839,674 |
|
|
|
— |
|
|
|
839,674 |
|
| Blended fund |
|
|
— |
|
|
|
9,963 |
|
|
|
— |
|
|
|
9,963 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total investments at fair value [1] |
|
$ |
1,869,660 |
|
|
$ |
1,619,978 |
|
|
$ |
1,203 |
|
|
$ |
3,490,841 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| [1] |
Excludes $1,332 of dividend receivable, $2,545 of interest receivable and $1,554 of other receivables recorded at fair value. |
F-11
Note 5. Fair Value Measurements (continued)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Investment Assets at Fair Value as of December 31, 2013 |
|
| |
|
Active Markets
for Identical
Assets
(Level 1) |
|
|
Other
Observable
Inputs
(Level 2) |
|
|
Significant
Unobservable
Inputs
(Level 3) |
|
|
Total |
|
| Short Term Investments |
|
$ |
66,644 |
|
|
$ |
21,021 |
|
|
$ |
— |
|
|
$ |
87,665 |
|
| Fixed Income Securities: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Stable Value Fund |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Short Term Investments |
|
|
— |
|
|
|
14,687 |
|
|
|
— |
|
|
|
14,687 |
|
| Guaranteed Investment Contract |
|
|
— |
|
|
|
88,572 |
|
|
|
— |
|
|
|
88,572 |
|
| Debt Securities including U.S. Government |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Securities |
|
|
— |
|
|
|
603,450 |
|
|
|
149 |
|
|
|
603,599 |
|
| Bond Investments |
|
|
96,914 |
|
|
|
58,951 |
|
|
|
2,374 |
|
|
|
158,239 |
|
| Equity Securities: |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Company Stock |
|
|
215,222 |
|
|
|
— |
|
|
|
— |
|
|
|
215,222 |
|
| Large-Cap Equities |
|
|
516,273 |
|
|
|
325,011 |
|
|
|
— |
|
|
|
841,284 |
|
| Mid-Cap Equities |
|
|
263,013 |
|
|
|
— |
|
|
|
— |
|
|
|
263,013 |
|
| Small-Cap Equities |
|
|
175,453 |
|
|
|
— |
|
|
|
— |
|
|
|
175,453 |
|
| International Equities |
|
|
171,545 |
|
|
|
— |
|
|
|
— |
|
|
|
171,545 |
|
| Vanguard Retirement Funds |
|
|
— |
|
|
|
741,249 |
|
|
|
— |
|
|
|
741,249 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Total investments at fair value [2] |
|
$ |
1,505,064 |
|
|
$ |
1,852,941 |
|
|
$ |
2,523 |
|
|
$ |
3,360,528 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| [2] |
Excludes $1,366 of dividend receivable, $2,376 of interest receivable and $923 of other receivables recorded at fair value. |
Transfers Between Levels — The availability of observable market data is monitored to assess the appropriate classification of financial
instruments within the fair value hierarchy. Changes in economic conditions or model-based valuation techniques may require the transfer of financial instruments from one fair value level to another. In such instances, the transfer is reported at
the beginning of the reporting period.
We evaluate the significance of transfers between levels based upon the nature of the financial instrument and
size of the transfer relative to total net assets available for benefits. For the years ended, December 31, 2014 and 2013 there were no transfers between Levels 1 and Levels 2.
F-12
Note 5. Fair Value Measurements (continued)
Rollforward of Fair Value Measurements Using Significant Unobservable Inputs (Level 3)
The tables below set forth a summary of changes in the fair value of the Plan’s Level 3 investments for the years ended December 31, 2014 and 2013.
As reflected in the table below, the net unrealized gain/(loss) on Level 3 investment assets was $(550) and $(522) as of December 31, 2014 and 2013, respectively.
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Level 3 Investment Assets and Investment Liabilities
Year Ended December 31, 2014 |
|
| |
|
Stable Value Fund |
|
|
Bond Investments |
|
|
Total |
|
| Balance, beginning of year |
|
$ |
149 |
|
|
$ |
2,374 |
|
|
$ |
2,523 |
|
| Realized gains/(losses), net |
|
|
— |
|
|
|
(567 |
) |
|
|
(567 |
) |
| Change in unrealized gains/(losses), net |
|
|
(158 |
) |
|
|
(392 |
) |
|
|
(550 |
) |
| Purchases |
|
|
— |
|
|
|
1,123 |
|
|
|
1,123 |
|
| Issuances |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Settlements |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Sales |
|
|
— |
|
|
|
(1,326 |
) |
|
|
(1,326 |
) |
| Transfers in to Level 3 |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Transfers out of Level 3 |
|
|
— |
|
|
|
— |
|
|
|
— |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Balance, end of year |
|
$ |
(9 |
) |
|
$ |
1,212 |
|
|
$ |
1,203 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
Level 3 Investment Assets and Investment Liabilities
Year Ended December 31, 2013 |
|
| |
|
Stable Value Fund |
|
|
Bond Investments |
|
|
Total |
|
| Balance, beginning of year |
|
$ |
570 |
|
|
$ |
1,127 |
|
|
$ |
1,697 |
|
| Realized gains/(losses), net |
|
|
— |
|
|
|
13 |
|
|
|
13 |
|
| Change in unrealized gains/(losses), net |
|
|
119 |
|
|
|
(641 |
) |
|
|
(522 |
) |
| Purchases |
|
|
— |
|
|
|
2,954 |
|
|
|
2,954 |
|
| Issuances |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Settlements |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Sales |
|
|
— |
|
|
|
(1,079 |
) |
|
|
(1,079 |
) |
| Transfers in to Level 3 |
|
|
— |
|
|
|
— |
|
|
|
— |
|
| Transfers out of Level 3 |
|
|
(540 |
) |
|
|
— |
|
|
|
(540 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
| Balance, end of year |
|
$ |
149 |
|
|
$ |
2,374 |
|
|
$ |
2,523 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The valuation methods described in Note 2 may produce a fair value calculation that may not be indicative of net
realizable value or reflective of future fair values. Furthermore, although the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the
fair value of certain financial instruments could result in a different fair value measurement at the reporting date.
For the year ended
December 31, 2014 there were no transfers in or out of Level 3. During the year ended December 31, 2013 transfers out of Level 3 are primarily attributable to the availability of market observable information and the re-evaluation of the
observability of pricing inputs.
F-13
Note 6. Derivative Financial Instruments
Futures Contracts — The Plan enters into futures contracts as part of the Stable Value Fund in the normal course of its
investing activities to manage market risk associated with the Plan’s fixed-income investments and to achieve overall investment portfolio objectives. These contracts involve elements of market risk in excess of amounts recognized in the
statements of net assets available for benefits. The credit risk associated with these contracts is minimal, as they are traded on organized exchanges and settled daily. The current day’s gains and losses are classified as derivatives
receivable/payable for the investment portfolio, with a value of $2 and $0 at December 31, 2014 and December 31, 2013, respectively.
During
2014 and 2013, the Plan was a party to futures contracts held for trading purposes for U.S. Treasury bonds. Upon entering into a futures contract, the Plan is required to deposit either in cash or securities an amount (“initial margin”)
equal to a certain percentage of the nominal value of the contract. Subsequent payments are then made or received by the Plan, depending on the daily fluctuation in the value of the underlying contracts. Short-term investments owned and included in
the investments of the Plan, with a value of $50 at December 31, 2014 and U.S. Treasury bills owned and included in the investments of the Plan with a value of $377 at December 31, 2013, were held by the Plan’s brokers as performance
security on futures contracts.
At December 31, 2014 and 2013, the Plan had futures contracts to purchase or sell U.S. Treasury bonds contracts.
The fair value of futures contracts in the statements of net assets available for benefits is zero at December 31, 2014 and 2013, as cash settlements are
done daily. Changes in fair value are accounted for as net depreciation in fair value of investments. For the year ended December 31, 2014 the net gain related to future contracts was $121.
Note 7. Federal Income Tax Status
The Internal Revenue Service (IRS) has determined and informed the Company by letter dated September 23, 2013 that the Plan and related
Trust are designed in accordance with applicable sections of the Code. The Plan has been amended since receiving the determination letter. The Company and the Plan Administrator believe that the Plan is designed and is currently being operated in
compliance with the applicable requirements of the Code and the Plan and related Trust continue to be tax-exempt. Therefore, no provision for income taxes has been included in the Plan’s financial statements.
The Plan is subject to audit by the IRS; however there are currently no audits for any tax periods in progress. The Plan administrator believes it is no
longer subject to income tax examinations for years prior to 2011.
Note 8. Plan Termination
Although the Company has not expressed any intent to do so, the Company has the right under the Plan to suspend, reduce, or partially or
completely discontinue its contributions at any time and to terminate the Plan, the Trust agreement and the Trust hereunder, subject to the provisions of ERISA. In the event of termination or partial termination of the Plan or complete
discontinuance of contributions, the interests of affected Members automatically become fully-vested.
Note 9. Reconciliation of Financial Statements to Form 5500
The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts
reflected in Form 5500 as of December 31, 2014 and 2013:
|
|
|
|
|
|
|
|
|
| |
|
2014 |
|
|
2013 |
|
| Net assets available for benefits per accompanying financial statements |
|
$ |
3,531,005 |
|
|
$ |
3,399,411 |
|
| Adjustment from contract value to fair value for fully benefit-responsive investment
contracts |
|
|
21,756 |
|
|
|
19,299 |
|
|
|
|
|
|
|
|
|
|
| Net assets per Form 5500 |
|
$ |
3,552,761 |
|
|
$ |
3,418,710 |
|
|
|
|
|
|
|
|
|
|
F-14
Note 9. Reconciliation of Financial Statements to Form 5500 (continued)
The following is a reconciliation of total investment gain and contributions on the accompanying financial statements and the amount
reflected in Form 5500 for the year ended December 31, 2014:
|
|
|
|
|
| Total investment gain and contributions per accompanying financial statements |
|
$ |
494,037 |
|
| Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year |
|
|
(19,299 |
) |
| Adjustment from contract value to fair value for fully benefit-responsive investment contracts at the end of the year |
|
|
21,756 |
|
|
|
|
|
|
| Total income per Form 5500 |
|
$ |
496,494 |
|
|
|
|
|
|
The following is a reconciliation of benefits paid to Members between the accompanying financial statements and the amount
reflected in Form 5500 for the year ended December 31, 2014:
|
|
|
|
|
| Benefits paid to Members per accompanying financial statements |
|
$ |
358,936 |
|
| Deduct corrective distributions |
|
|
1 |
|
| Deduct amounts allocated to deemed loan distributions |
|
|
78 |
|
|
|
|
|
|
| Benefits paid to Members per Form 5500 |
|
$ |
358,857 |
|
|
|
|
|
|
Note 10. Party-in-Interest Transactions
Certain plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee,
custodial and investment management services amounted to $61 for the year ended December 31, 2014. Fees paid by the Plan to a subsidiary of the Company pursuant to a group annuity contract issued by a subsidiary, for The Hartford Index Fund,
amounted to $57 for the year ended December 31, 2014. In addition, certain Plan investments are shares of mutual funds that are sponsored by The Hartford and shares of Hartford Stock. At December 31, 2014 and 2013, the Plan held 5,316,940
shares and 5,940,444 shares of Hartford Stock with a cost basis of $177,210 and $197,973, respectively. During the year ended December 31, 2014, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of
$6,945.
Note 11. Plan Amendments and Other Changes
Effective June 26, 2013 (executed December 18, 2014), the Plan was amended to reflect changes to the definition of spouse for
federal law purposes as set forth in the Windsor decision.
Effective April 1, 2014, there is no minimum amount for an in-service withdrawal (prior
to April 1, 2014, there was a minimum withdrawal amount of $0.5, other than for hardship withdrawals).
Effective April 1, 2014, monthly
periodic installment payments may be made to a Member, Deferred Member or Beneficiary who has attained age 55 and terminated employment in an amount requested by an investment manager appointed by, and with the consent of, a Member, Deferred Member
or Beneficiary in accordance with Plan rules.
Effective April 1, 2014, the Plan was amended to clarify that the Plan Administrator has the full
discretionary authority to determine all questions and to make all factual determinations regarding the correction of errors that result from the operation of Investment Options.
Note 12. Subsequent Events
For the year ended
December 31, 2014, subsequent events were evaluated through the date the financial statements were issued.
******
F-15
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2014
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date, rate of
interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
value |
|
|
|
The Hartford Stock Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
The Hartford Stock Fund, common stock (5,316,940 shares) |
|
*** |
|
$ |
221,663 |
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
*** |
|
|
687 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Stock Fund |
|
|
|
|
222,350 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Mutual Funds: |
|
|
|
|
|
|
|
|
|
|
Total Return Bond HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. Total Return Bond HLS Fund, Class IA shares |
|
*** |
|
|
102,836 |
|
|
|
|
|
|
|
|
Dividend and Growth HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. Dividend and Growth HLS Fund, Class IA shares |
|
*** |
|
|
171,250 |
|
|
|
|
|
|
|
|
International Opportunities HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. International Opportunities HLS Fund, Class IA shares |
|
*** |
|
|
90,771 |
|
|
|
|
|
|
|
|
Dodge & Cox International Stock Fund |
|
|
|
|
|
|
|
|
|
|
Dodge & Cox |
|
Dodge & Cox International Stock Fund, Class IA shares |
|
*** |
|
|
90,454 |
|
|
|
|
|
|
|
|
Capital Appreciation HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. Capital Appreciation HLS Fund, Class IA shares |
|
*** |
|
|
171,975 |
|
|
|
|
|
|
|
|
Small Company HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. Small Company HLS Fund, Class IA shares |
|
*** |
|
|
84,792 |
|
|
|
|
|
|
|
|
MidCap HLS Fund |
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
Hartford Series Fund, Inc. MidCap HLS Fund, Class IA shares |
|
*** |
|
|
126,200 |
|
|
|
|
|
|
|
|
Prime Money Market |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Prime Money Market |
|
*** |
|
|
61,199 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Mutual Funds |
|
|
|
|
899,477 |
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-16
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date, rate of
interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
value |
|
|
|
Collective Investment Trusts: |
|
|
|
|
|
|
|
|
|
|
Real Asset |
|
|
|
|
|
|
|
|
| * |
|
SSGA |
|
SSGA Real Asset Fund |
|
*** |
|
$ |
9,963 |
|
|
|
|
|
|
|
|
Target Retirement Income Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement Income Fund |
|
*** |
|
|
35,316 |
|
|
|
|
|
|
|
|
Target Retirement 2010 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2010 Fund |
|
*** |
|
|
12,033 |
|
|
|
|
|
|
|
|
Target Retirement 2015 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2015 Fund |
|
*** |
|
|
103,147 |
|
|
|
|
|
|
|
|
Target Retirement 2020 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2020 Fund |
|
*** |
|
|
52,001 |
|
|
|
|
|
|
|
|
Target Retirement 2025 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2025 Fund |
|
*** |
|
|
201,146 |
|
|
|
|
|
|
|
|
Target Retirement 2030 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2030 Fund |
|
*** |
|
|
51,671 |
|
|
|
|
|
|
|
|
Target Retirement 2035 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2035 Fund |
|
*** |
|
|
196,230 |
|
|
|
|
|
|
|
|
Target Retirement 2040 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2040 Fund |
|
*** |
|
|
38,082 |
|
|
|
|
|
|
|
|
Target Retirement 2045 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2045 Fund |
|
*** |
|
|
102,547 |
|
|
|
|
|
|
|
|
Target Retirement 2050 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2050 Fund |
|
*** |
|
|
32,303 |
|
|
|
|
|
|
|
|
Target Retirement 2055 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2055 Fund |
|
*** |
|
|
9,205 |
|
|
|
|
|
|
|
|
Target Retirement 2060 Fund |
|
|
|
|
|
|
|
|
|
|
Vanguard |
|
Vanguard Target Retirement 2060 Fund |
|
*** |
|
|
5,993 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Collective Investment Trusts |
|
|
|
|
849,637 |
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-17
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
| * |
|
The Hartford |
|
Index Fund |
|
|
|
|
|
|
|
|
Equity Securities |
|
|
|
|
|
|
|
|
|
|
ADT (The) Corp. |
|
|
|
*** |
|
$ |
127 |
|
|
|
Aflac, Inc. |
|
|
|
*** |
|
|
570 |
|
|
|
AGL Resources, Inc. |
|
|
|
*** |
|
|
131 |
|
|
|
AES (The) Corp. |
|
|
|
*** |
|
|
182 |
|
|
|
AT&T, Inc. |
|
|
|
*** |
|
|
3,475 |
|
|
|
Abbott Laboratories |
|
|
|
*** |
|
|
1,351 |
|
|
|
AbbVie, Inc. |
|
|
|
*** |
|
|
2,082 |
|
|
|
Adobe Systems, Inc. |
|
|
|
*** |
|
|
688 |
|
|
|
Aetna, Inc. |
|
|
|
*** |
|
|
624 |
|
|
|
Affiliated Managers Group, Inc. |
|
|
|
*** |
|
|
237 |
|
|
|
Agilent Technologies, Inc. |
|
|
|
*** |
|
|
273 |
|
|
|
Air Products & Chemicals, Inc. |
|
|
|
*** |
|
|
555 |
|
|
|
Airgas, Inc. |
|
|
|
*** |
|
|
155 |
|
|
|
Akamai Technologies, Inc. |
|
|
|
*** |
|
|
224 |
|
|
|
Alcoa, Inc. |
|
|
|
*** |
|
|
374 |
|
|
|
Alexion Pharmaceuticals, Inc. |
|
|
|
*** |
|
|
733 |
|
|
|
Allegheny Technologies, Inc. |
|
|
|
*** |
|
|
76 |
|
|
|
Allergan, Inc. |
|
|
|
*** |
|
|
1,264 |
|
|
|
Alliance Data Systems Corp. |
|
|
|
*** |
|
|
366 |
|
|
|
Allstate (The) Corp. |
|
|
|
*** |
|
|
609 |
|
|
|
Altera Corp. |
|
|
|
*** |
|
|
225 |
|
|
|
Altria Group, Inc. |
|
|
|
*** |
|
|
1,942 |
|
|
|
Amazon.com, Inc. |
|
|
|
*** |
|
|
2,352 |
|
|
|
Ameren Corp. |
|
|
|
*** |
|
|
224 |
|
|
|
American Electric Power Co., Inc. |
|
|
|
*** |
|
|
593 |
|
|
|
American Express Co. |
|
|
|
*** |
|
|
1,650 |
|
|
|
American International Group, Inc. |
|
|
|
*** |
|
|
1,586 |
|
|
|
American Tower Corp. REIT |
|
|
|
*** |
|
|
780 |
|
|
|
AmerisourceBergen Corp. |
|
|
|
*** |
|
|
375 |
|
|
|
Ameriprise Financial, Inc. |
|
|
|
*** |
|
|
489 |
|
|
|
AMETEK, Inc. |
|
|
|
*** |
|
|
258 |
|
|
|
Amgen, Inc. |
|
|
|
*** |
|
|
2,419 |
|
|
|
Amphenol Corp. Class A |
|
|
|
*** |
|
|
331 |
|
|
|
Anadarko Petroleum Corp. |
|
|
|
*** |
|
|
834 |
|
|
|
Analog Devices, Inc. |
|
|
|
*** |
|
|
344 |
|
|
|
Anthem, Inc. |
|
|
|
*** |
|
|
678 |
|
|
|
Apache Corp. |
|
|
|
*** |
|
|
472 |
|
|
|
Apartment Investment & Management Co. Class A REIT |
|
*** |
|
|
111 |
|
|
|
Apple, Inc. |
|
|
|
*** |
|
|
12,926 |
|
|
|
Applied Materials, Inc. |
|
|
|
*** |
|
|
607 |
|
|
|
Archer-Daniels-Midland Co. |
|
|
|
*** |
|
|
668 |
|
|
|
Assurant, Inc. |
|
|
|
*** |
|
|
116 |
|
|
|
Autodesk, Inc. |
|
|
|
*** |
|
|
275 |
|
|
|
Automatic Data Processing, Inc. |
|
|
|
*** |
|
|
802 |
|
|
|
AutoNation, Inc. |
|
|
|
*** |
|
|
90 |
|
|
|
AutoZone, Inc. |
|
|
|
*** |
|
|
395 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-18
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
AvalonBay Communities, Inc. REIT |
|
|
|
*** |
|
$ |
431 |
|
|
|
Avery Dennison Corp. |
|
|
|
*** |
|
|
96 |
|
|
|
Avon Products, Inc. |
|
|
|
*** |
|
|
82 |
|
|
|
BB&T Corp. |
|
|
|
*** |
|
|
559 |
|
|
|
Baker Hughes, Inc. |
|
|
|
*** |
|
|
484 |
|
|
|
Ball Corp. |
|
|
|
*** |
|
|
188 |
|
|
|
Bank of America Corp. |
|
|
|
*** |
|
|
3,757 |
|
|
|
Bank of New York Mellon Corp. |
|
|
|
*** |
|
|
912 |
|
|
|
C.R. Bard, Inc. |
|
|
|
*** |
|
|
249 |
|
|
|
Baxter International, Inc. |
|
|
|
*** |
|
|
791 |
|
|
|
Becton, Dickinson & Co. |
|
|
|
*** |
|
|
533 |
|
|
|
Bed Bath & Beyond, Inc. |
|
|
|
*** |
|
|
283 |
|
|
|
Berkshire Hathaway, Inc. Class B |
|
|
|
*** |
|
|
5,463 |
|
|
|
Best Buy Co., Inc. |
|
|
|
*** |
|
|
227 |
|
|
|
Biogen Idec, Inc. |
|
|
|
*** |
|
|
1,600 |
|
|
|
BlackRock, Inc. |
|
|
|
*** |
|
|
908 |
|
|
|
H & R Block, Inc. |
|
|
|
*** |
|
|
186 |
|
|
|
Boeing Co. |
|
|
|
*** |
|
|
1,718 |
|
|
|
BorgWarner, Inc. |
|
|
|
*** |
|
|
250 |
|
|
|
Boston Properties, Inc. REIT |
|
|
|
*** |
|
|
392 |
|
|
|
Boston Scientific Corp. |
|
|
|
*** |
|
|
352 |
|
|
|
Bristol-Myers Squibb Co. |
|
|
|
*** |
|
|
1,954 |
|
|
|
Broadcom Corp. Class A |
|
|
|
*** |
|
|
467 |
|
|
|
Brown-Forman Corp. |
|
|
|
*** |
|
|
273 |
|
|
|
CBS Corp. Class B |
|
|
|
*** |
|
|
528 |
|
|
|
CBRE Group, Inc. |
|
|
|
*** |
|
|
192 |
|
|
|
CF Industries Holdings, Inc. |
|
|
|
*** |
|
|
273 |
|
|
|
C.H. Robinson Worldwide, Inc. |
|
|
|
*** |
|
|
221 |
|
|
|
CIGNA Corp. |
|
|
|
*** |
|
|
538 |
|
|
|
CME Group, Inc. |
|
|
|
*** |
|
|
561 |
|
|
|
CMS Energy Corp. |
|
|
|
*** |
|
|
193 |
|
|
|
CSX Corp. |
|
|
|
*** |
|
|
721 |
|
|
|
CVS Health Corp. |
|
|
|
*** |
|
|
2,204 |
|
|
|
CA, Inc. |
|
|
|
*** |
|
|
197 |
|
|
|
Cablevision Systems Corp. |
|
|
|
*** |
|
|
92 |
|
|
|
Cabot Oil & Gas Corp. |
|
|
|
*** |
|
|
243 |
|
|
|
Cameron International Corp. |
|
|
|
*** |
|
|
197 |
|
|
|
Campbell Soup Co. |
|
|
|
*** |
|
|
157 |
|
|
|
Capital One Financial Corp. |
|
|
|
*** |
|
|
916 |
|
|
|
Cardinal Health, Inc. |
|
|
|
*** |
|
|
533 |
|
|
|
CareFusion Corp. |
|
|
|
*** |
|
|
243 |
|
|
|
CarMax, Inc. |
|
|
|
*** |
|
|
287 |
|
|
|
Carnival Corp. |
|
|
|
*** |
|
|
407 |
|
|
|
Caterpillar, Inc. |
|
|
|
*** |
|
|
1,106 |
|
|
|
Celgene Corp. |
|
|
|
*** |
|
|
1,784 |
|
|
|
CenterPoint Energy, Inc. |
|
|
|
*** |
|
|
202 |
|
|
|
CenturyLink, Inc. |
|
|
|
*** |
|
|
452 |
|
|
|
Cerner Corp. |
|
|
|
*** |
|
|
392 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-19
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Chesapeake Energy Corp. |
|
|
|
*** |
|
$ |
204 |
|
|
|
Chevron Corp. |
|
|
|
*** |
|
|
4,230 |
|
|
|
Chipotle Mexican Grill, Inc. |
|
|
|
*** |
|
|
424 |
|
|
|
Chubb Corp. |
|
|
|
*** |
|
|
506 |
|
|
|
Cimarex Energy Co. |
|
|
|
*** |
|
|
186 |
|
|
|
Cincinnati Financial Corp. |
|
|
|
*** |
|
|
174 |
|
|
|
Cisco Systems, Inc. |
|
|
|
*** |
|
|
2,837 |
|
|
|
Cintas Corp. |
|
|
|
*** |
|
|
154 |
|
|
|
Citigroup, Inc. |
|
|
|
*** |
|
|
3,272 |
|
|
|
Citrix Systems, Inc. |
|
|
|
*** |
|
|
206 |
|
|
|
Clorox Co. |
|
|
|
*** |
|
|
271 |
|
|
|
Coach, Inc. |
|
|
|
*** |
|
|
207 |
|
|
|
Coca-Cola Co. |
|
|
|
*** |
|
|
3,319 |
|
|
|
Coca-Cola Enterprises, Inc. |
|
|
|
*** |
|
|
198 |
|
|
|
Cognizant Technology Solutions Corp. |
|
|
|
*** |
|
|
641 |
|
|
|
Colgate-Palmolive Co. |
|
|
|
*** |
|
|
1,180 |
|
|
|
Comcast Corp. Class A |
|
|
|
*** |
|
|
2,983 |
|
|
|
Comerica, Inc. |
|
|
|
*** |
|
|
170 |
|
|
|
Computer Sciences Corp. |
|
|
|
*** |
|
|
178 |
|
|
|
ConAgra Foods, Inc. |
|
|
|
*** |
|
|
308 |
|
|
|
ConocoPhillips Holding Co. |
|
|
|
*** |
|
|
1,695 |
|
|
|
Consol Energy, Inc. |
|
|
|
*** |
|
|
156 |
|
|
|
Consolidated Edison Co. of NY |
|
|
|
*** |
|
|
387 |
|
|
|
Constellation Brands, Inc. Class A |
|
|
|
*** |
|
|
329 |
|
|
|
Corning, Inc. |
|
|
|
*** |
|
|
587 |
|
|
|
Costco Wholesale Corp. |
|
|
|
*** |
|
|
1,240 |
|
|
|
Crown Castle International Corp. |
|
|
|
*** |
|
|
523 |
|
|
|
Cummins, Inc. |
|
|
|
*** |
|
|
490 |
|
|
|
D.R. Horton, Inc. |
|
|
|
*** |
|
|
169 |
|
|
|
DTE Energy Co. |
|
|
|
*** |
|
|
306 |
|
|
|
Danaher Corp. |
|
|
|
*** |
|
|
1,042 |
|
|
|
Darden Restaurants, Inc. |
|
|
|
*** |
|
|
156 |
|
|
|
DaVita HealthCare Partners, Inc. |
|
|
|
*** |
|
|
259 |
|
|
|
Deere & Co. |
|
|
|
*** |
|
|
633 |
|
|
|
Delta Air Lines, Inc. |
|
|
|
*** |
|
|
823 |
|
|
|
Denbury Resources, Inc. |
|
|
|
*** |
|
|
59 |
|
|
|
Dentsply International, Inc. |
|
|
|
*** |
|
|
151 |
|
|
|
Devon Energy Corp. |
|
|
|
*** |
|
|
470 |
|
|
|
Diamond Offshore Drilling, Inc. |
|
|
|
*** |
|
|
50 |
|
|
|
Walt Disney Co. |
|
|
|
*** |
|
|
2,931 |
|
|
|
Discover Financial Services |
|
|
|
*** |
|
|
594 |
|
|
|
Discovery Communications, Inc. |
|
|
|
*** |
|
|
110 |
|
|
|
Discovery Communications, Inc. Series C |
|
|
|
*** |
|
|
177 |
|
|
|
DirecTV |
|
|
|
*** |
|
|
869 |
|
|
|
Dollar General Corp. |
|
|
|
*** |
|
|
428 |
|
|
|
Dollar Tree, Inc. |
|
|
|
*** |
|
|
290 |
|
|
|
Dominion Resources, Inc. |
|
|
|
*** |
|
|
894 |
|
|
|
Dover Corp. |
|
|
|
*** |
|
|
237 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-20
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Dow Chemical Co. |
|
|
|
*** |
|
$ |
1,010 |
|
|
|
Dr. Pepper Snapple Group |
|
|
|
*** |
|
|
280 |
|
|
|
E.I. DuPont de Nemours & Co. |
|
|
|
*** |
|
|
1,337 |
|
|
|
Duke Energy Corp. |
|
|
|
*** |
|
|
1,177 |
|
|
|
Dun & Bradstreet Corp. |
|
|
|
*** |
|
|
88 |
|
|
|
EMC Corp. |
|
|
|
*** |
|
|
1,207 |
|
|
|
EOG Resources, Inc. |
|
|
|
*** |
|
|
1,007 |
|
|
|
EQT Corp. |
|
|
|
*** |
|
|
228 |
|
|
|
E*Trade Financial Corp. |
|
|
|
*** |
|
|
141 |
|
|
|
Eastman Chemical Co. |
|
|
|
*** |
|
|
227 |
|
|
|
eBay, Inc. |
|
|
|
*** |
|
|
1,265 |
|
|
|
Ecolab, Inc. |
|
|
|
*** |
|
|
562 |
|
|
|
Edison International |
|
|
|
*** |
|
|
427 |
|
|
|
Edwards Lifesciences Corp. |
|
|
|
*** |
|
|
273 |
|
|
|
Electronic Arts, Inc. |
|
|
|
*** |
|
|
293 |
|
|
|
Emerson Electric Co. |
|
|
|
*** |
|
|
852 |
|
|
|
Entergy Corp. |
|
|
|
*** |
|
|
318 |
|
|
|
Equifax, Inc. |
|
|
|
*** |
|
|
195 |
|
|
|
Equity Residential Properties Trust REIT |
|
|
|
*** |
|
|
520 |
|
|
|
Essex Property Trust, Inc. REIT |
|
|
|
*** |
|
|
266 |
|
|
|
Exelon Corp. |
|
|
|
*** |
|
|
637 |
|
|
|
Expedia, Inc. |
|
|
|
*** |
|
|
169 |
|
|
|
Expeditors International of Washington, Inc. |
|
|
|
*** |
|
|
173 |
|
|
|
Express Scripts Holding Co. |
|
|
|
*** |
|
|
1,239 |
|
|
|
Exxon Mobil Corp. |
|
|
|
*** |
|
|
7,810 |
|
|
|
FLIR Systems, Inc. |
|
|
|
*** |
|
|
91 |
|
|
|
FMC Corp. |
|
|
|
*** |
|
|
153 |
|
|
|
FMC Technologies, Inc. |
|
|
|
*** |
|
|
218 |
|
|
|
Facebook, Inc. |
|
|
|
*** |
|
|
3,257 |
|
|
|
Family Dollar Stores, Inc. |
|
|
|
*** |
|
|
152 |
|
|
|
Fastenal Co. |
|
|
|
*** |
|
|
259 |
|
|
|
FedEx Corp. |
|
|
|
*** |
|
|
913 |
|
|
|
F5 Networks, Inc. |
|
|
|
*** |
|
|
193 |
|
|
|
Fidelity National Information Services, Inc. |
|
|
|
*** |
|
|
352 |
|
|
|
Fifth Third Bancorp |
|
|
|
*** |
|
|
336 |
|
|
|
First Solar, Inc. |
|
|
|
*** |
|
|
68 |
|
|
|
Fiserv, Inc. |
|
|
|
*** |
|
|
346 |
|
|
|
FirstEnergy Corp. |
|
|
|
*** |
|
|
329 |
|
|
|
Fluor Corp. |
|
|
|
*** |
|
|
190 |
|
|
|
Flowserve Corp. |
|
|
|
*** |
|
|
164 |
|
|
|
Ford Motor Co. |
|
|
|
*** |
|
|
1,190 |
|
|
|
Fossil Group, Inc. |
|
|
|
*** |
|
|
101 |
|
|
|
Franklin Resources, Inc. |
|
|
|
*** |
|
|
432 |
|
|
|
Freeport-McMoRan, Inc. |
|
|
|
*** |
|
|
486 |
|
|
|
Frontier Communications Co. |
|
|
|
*** |
|
|
135 |
|
|
|
GameStop Corp. Class A |
|
|
|
*** |
|
|
74 |
|
|
|
Gannett Co., Inc. |
|
|
|
*** |
|
|
145 |
|
|
|
Gap, Inc. |
|
|
|
*** |
|
|
225 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-21
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
General Dynamics Corp. |
|
|
|
*** |
|
$ |
866 |
|
|
|
General Electric Co. |
|
|
|
*** |
|
|
5,060 |
|
|
|
General Growth Properties, Inc. |
|
|
|
*** |
|
|
351 |
|
|
|
General Mills, Inc. |
|
|
|
*** |
|
|
641 |
|
|
|
General Motors Co. |
|
|
|
*** |
|
|
941 |
|
|
|
Genuine Parts Co. |
|
|
|
*** |
|
|
325 |
|
|
|
Genworth Financial, Inc. |
|
|
|
*** |
|
|
88 |
|
|
|
Gilead Sciences, Inc. |
|
|
|
*** |
|
|
2,840 |
|
|
|
Goldman Sachs Group, Inc. |
|
|
|
*** |
|
|
1,568 |
|
|
|
Goodyear (The) Tire & Rubber Co. |
|
|
|
*** |
|
|
158 |
|
|
|
Google, Inc. Class A |
|
|
|
*** |
|
|
3,026 |
|
|
|
Google, Inc. Class C |
|
|
|
*** |
|
|
2,985 |
|
|
|
W.W. Grainger, Inc. |
|
|
|
*** |
|
|
307 |
|
|
|
HCP, Inc. REIT |
|
|
|
*** |
|
|
403 |
|
|
|
Halliburton Co. |
|
|
|
*** |
|
|
666 |
|
|
|
Harley-Davidson, Inc. |
|
|
|
*** |
|
|
282 |
|
|
|
Harman International Industries, Inc. |
|
|
|
*** |
|
|
147 |
|
|
|
Harris Corp. |
|
|
|
*** |
|
|
149 |
|
|
|
Hasbro, Inc. |
|
|
|
*** |
|
|
125 |
|
|
|
Health Care REIT, Inc. |
|
|
|
*** |
|
|
496 |
|
|
|
Helmerich & Payne, Inc. |
|
|
|
*** |
|
|
147 |
|
|
|
Hershey Co. |
|
|
|
*** |
|
|
306 |
|
|
|
Hess Corp. |
|
|
|
*** |
|
|
376 |
|
|
|
Hewlett-Packard Co. |
|
|
|
*** |
|
|
1,495 |
|
|
|
Home Depot, Inc. |
|
|
|
*** |
|
|
2,759 |
|
|
|
Honeywell International, Inc. |
|
|
|
*** |
|
|
1,558 |
|
|
|
Hormel Foods Corp. |
|
|
|
*** |
|
|
140 |
|
|
|
Hospira, Inc. |
|
|
|
*** |
|
|
208 |
|
|
|
Host Hotels & Resorts, Inc. REIT |
|
|
|
*** |
|
|
361 |
|
|
|
Hudson City Bancorp, Inc. |
|
|
|
*** |
|
|
98 |
|
|
|
Humana, Inc. |
|
|
|
*** |
|
|
441 |
|
|
|
Huntington Bancshares, Inc. |
|
|
|
*** |
|
|
175 |
|
|
|
Illinois Tool Works, Inc. |
|
|
|
*** |
|
|
679 |
|
|
|
Intel Corp. |
|
|
|
*** |
|
|
3,502 |
|
|
|
Integrys Energy Group, Inc. |
|
|
|
*** |
|
|
125 |
|
|
|
Intercontinental Exchange, Inc. |
|
|
|
*** |
|
|
493 |
|
|
|
IBM Corp. |
|
|
|
*** |
|
|
2,945 |
|
|
|
International Flavors & Fragrances, Inc. |
|
|
|
*** |
|
|
166 |
|
|
|
International Paper Co. |
|
|
|
*** |
|
|
454 |
|
|
|
Interpublic Group of Cos., Inc. |
|
|
|
*** |
|
|
176 |
|
|
|
Intuit, Inc. |
|
|
|
*** |
|
|
526 |
|
|
|
Intuitive Surgical, Inc. |
|
|
|
*** |
|
|
383 |
|
|
|
Iron Mountain, Inc. |
|
|
|
*** |
|
|
146 |
|
|
|
J.P. Morgan Chase & Co. |
|
|
|
*** |
|
|
4,669 |
|
|
|
Jacobs Engineering Group, Inc. |
|
|
|
*** |
|
|
117 |
|
|
|
Johnson & Johnson |
|
|
|
*** |
|
|
5,841 |
|
|
|
Johnson Controls, Inc. |
|
|
|
*** |
|
|
642 |
|
|
|
Joy Global, Inc. |
|
|
|
*** |
|
|
92 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-22
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Juniper Networks, Inc. |
|
|
|
*** |
|
$ |
172 |
|
|
|
KLA-Tencor Corp. |
|
|
|
*** |
|
|
232 |
|
|
|
Kansas City Southern |
|
|
|
*** |
|
|
270 |
|
|
|
Kellogg Co. |
|
|
|
*** |
|
|
328 |
|
|
|
Keurig Green Mountain, Inc. |
|
|
|
*** |
|
|
322 |
|
|
|
KeyCorp |
|
|
|
*** |
|
|
244 |
|
|
|
Kimberly-Clark Corp. |
|
|
|
*** |
|
|
858 |
|
|
|
Kimco Realty Corp. REIT |
|
|
|
*** |
|
|
208 |
|
|
|
Kinder Morgan, Inc. |
|
|
|
*** |
|
|
1,436 |
|
|
|
Kohl’s Corp. |
|
|
|
*** |
|
|
247 |
|
|
|
Kraft Foods Group, Inc. |
|
|
|
*** |
|
|
736 |
|
|
|
Kroger (The) Co. |
|
|
|
*** |
|
|
631 |
|
|
|
L Brands, Inc. |
|
|
|
*** |
|
|
424 |
|
|
|
L-3 Communications Holdings, Inc. |
|
|
|
*** |
|
|
217 |
|
|
|
Laboratory Corp. of America Holdings |
|
|
|
*** |
|
|
183 |
|
|
|
Lam Research Corp. |
|
|
|
*** |
|
|
253 |
|
|
|
Estee Lauder Co., Inc. |
|
|
|
*** |
|
|
342 |
|
|
|
Leggett & Platt, Inc. |
|
|
|
*** |
|
|
118 |
|
|
|
Legg Mason, Inc. |
|
|
|
*** |
|
|
109 |
|
|
|
Lennar Corp. |
|
|
|
*** |
|
|
161 |
|
|
|
Leucadia National Corp. |
|
|
|
*** |
|
|
142 |
|
|
|
Level 3 Communications, Inc. |
|
|
|
*** |
|
|
276 |
|
|
|
Eli Lilly & Co. |
|
|
|
*** |
|
|
1,349 |
|
|
|
Lincoln National Corp. |
|
|
|
*** |
|
|
314 |
|
|
|
Linear Technology Corp. |
|
|
|
*** |
|
|
217 |
|
|
|
Lockheed Martin Corp. |
|
|
|
*** |
|
|
1,031 |
|
|
|
Loews Corp. |
|
|
|
*** |
|
|
269 |
|
|
|
Lorillard, Inc. |
|
|
|
*** |
|
|
453 |
|
|
|
Lowe’s Cos., Inc. |
|
|
|
*** |
|
|
1,335 |
|
|
|
M&T Bank Corp. |
|
|
|
*** |
|
|
332 |
|
|
|
Macerich Co. REIT |
|
|
|
*** |
|
|
236 |
|
|
|
Macy’s, Inc. |
|
|
|
*** |
|
|
454 |
|
|
|
Marathon Oil Corp. |
|
|
|
*** |
|
|
382 |
|
|
|
Marathon Petroleum Corp. |
|
|
|
*** |
|
|
506 |
|
|
|
Marsh & McLennan Cos., Inc. |
|
|
|
*** |
|
|
636 |
|
|
|
Marriott International, Inc. Class A |
|
|
|
*** |
|
|
333 |
|
|
|
Martin Marietta Materials, Inc. |
|
|
|
*** |
|
|
138 |
|
|
|
Masco Corp. |
|
|
|
*** |
|
|
180 |
|
|
|
MasterCard, Inc. |
|
|
|
*** |
|
|
1,684 |
|
|
|
Mattel, Inc. |
|
|
|
*** |
|
|
210 |
|
|
|
McCormick & Co., Inc. |
|
|
|
*** |
|
|
191 |
|
|
|
McDonald’s Corp. |
|
|
|
*** |
|
|
1,815 |
|
|
|
McGraw Hill Financial, Inc. |
|
|
|
*** |
|
|
483 |
|
|
|
McKesson Corp. |
|
|
|
*** |
|
|
959 |
|
|
|
Mead Johnson Nutrition Co. |
|
|
|
*** |
|
|
406 |
|
|
|
MeadWestvaco Corp. |
|
|
|
*** |
|
|
150 |
|
|
|
Medtronic, Inc. |
|
|
|
*** |
|
|
1,418 |
|
|
|
Merck & Co., Inc. |
|
|
|
*** |
|
|
3,231 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-23
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
MetLife, Inc. |
|
|
|
*** |
|
$ |
1,244 |
|
|
|
Microsoft Corp. |
|
|
|
*** |
|
|
7,644 |
|
|
|
Microchip Technology, Inc. |
|
|
|
*** |
|
|
181 |
|
|
|
Micron Technology, Inc. |
|
|
|
*** |
|
|
752 |
|
|
|
Mohawk Industries, Inc. |
|
|
|
*** |
|
|
193 |
|
|
|
Molson Coors Brewing Co. |
|
|
|
*** |
|
|
239 |
|
|
|
Mondelez International, Inc. |
|
|
|
*** |
|
|
1,217 |
|
|
|
Monsanto Co. |
|
|
|
*** |
|
|
1,154 |
|
|
|
Monster Beverage Corp. |
|
|
|
*** |
|
|
312 |
|
|
|
Moody’s Corp. |
|
|
|
*** |
|
|
352 |
|
|
|
Morgan Stanley |
|
|
|
*** |
|
|
1,182 |
|
|
|
Mosaic Co. |
|
|
|
*** |
|
|
289 |
|
|
|
Motorola Solutions, Inc. |
|
|
|
*** |
|
|
282 |
|
|
|
Murphy Oil Corp. |
|
|
|
*** |
|
|
169 |
|
|
|
Mylan, Inc. |
|
|
|
*** |
|
|
423 |
|
|
|
NRG Energy, Inc. |
|
|
|
*** |
|
|
183 |
|
|
|
NASDAQ (The) OMX Group |
|
|
|
*** |
|
|
115 |
|
|
|
National Oilwell Varco, Inc. |
|
|
|
*** |
|
|
563 |
|
|
|
Navient Corp. |
|
|
|
*** |
|
|
178 |
|
|
|
NetApp, Inc. |
|
|
|
*** |
|
|
259 |
|
|
|
Netflix, Inc. |
|
|
|
*** |
|
|
412 |
|
|
|
Newell Rubbermaid, Inc. |
|
|
|
*** |
|
|
207 |
|
|
|
Newfield Exploration Co. |
|
|
|
*** |
|
|
76 |
|
|
|
Newmont Mining Corp. |
|
|
|
*** |
|
|
186 |
|
|
|
News Corp. Class A |
|
|
|
*** |
|
|
157 |
|
|
|
NextEra Energy, Inc. |
|
|
|
*** |
|
|
923 |
|
|
|
NIKE, Inc. Class B |
|
|
|
*** |
|
|
1,338 |
|
|
|
NiSource, Inc. |
|
|
|
*** |
|
|
269 |
|
|
|
Noble Energy, Inc. |
|
|
|
*** |
|
|
341 |
|
|
|
Nordstrom, Inc. |
|
|
|
*** |
|
|
223 |
|
|
|
Norfolk Southern Corp. |
|
|
|
*** |
|
|
678 |
|
|
|
Northeast Utilities |
|
|
|
*** |
|
|
338 |
|
|
|
Northern Trust Corp. |
|
|
|
*** |
|
|
229 |
|
|
|
Northrop Grumman Corp. |
|
|
|
*** |
|
|
595 |
|
|
|
Nucor Corp. |
|
|
|
*** |
|
|
312 |
|
|
|
NVIDIA Corp. |
|
|
|
*** |
|
|
207 |
|
|
|
O’Reilly Automotive, Inc. |
|
|
|
*** |
|
|
391 |
|
|
|
Occidental Petroleum Corp. |
|
|
|
*** |
|
|
1,247 |
|
|
|
Omnicom Group, Inc. |
|
|
|
*** |
|
|
384 |
|
|
|
Oneok, Inc. |
|
|
|
*** |
|
|
207 |
|
|
|
Oracle Corp. |
|
|
|
*** |
|
|
2,901 |
|
|
|
Owens-Illinois, Inc. |
|
|
|
*** |
|
|
90 |
|
|
|
PG&E Corp. |
|
|
|
*** |
|
|
506 |
|
|
|
PNC Financial Services Group, Inc. |
|
|
|
*** |
|
|
958 |
|
|
|
PPG Industries, Inc. |
|
|
|
*** |
|
|
634 |
|
|
|
PPL Corp. |
|
|
|
*** |
|
|
483 |
|
|
|
PVH Corp. |
|
|
|
*** |
|
|
211 |
|
|
|
PACCAR, Inc. |
|
|
|
*** |
|
|
482 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-24
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Pall Corp. |
|
|
|
*** |
|
$ |
216 |
|
|
|
Parker-Hannifin Corp. |
|
|
|
*** |
|
|
384 |
|
|
|
Patterson Cos., Inc. |
|
|
|
*** |
|
|
83 |
|
|
|
Paychex, Inc. |
|
|
|
*** |
|
|
302 |
|
|
|
People’s United Financial, Inc. |
|
|
|
*** |
|
|
96 |
|
|
|
Pepco Holdings, Inc. |
|
|
|
*** |
|
|
136 |
|
|
|
PepsiCo, Inc. |
|
|
|
*** |
|
|
2,820 |
|
|
|
PerkinElmer, Inc. |
|
|
|
*** |
|
|
99 |
|
|
|
PetSmart, Inc. |
|
|
|
*** |
|
|
162 |
|
|
|
Pfizer, Inc. |
|
|
|
*** |
|
|
3,917 |
|
|
|
Philip Morris International, Inc. |
|
|
|
*** |
|
|
2,522 |
|
|
|
Phillips 66 |
|
|
|
*** |
|
|
793 |
|
|
|
Pinnacle West Capital Corp. |
|
|
|
*** |
|
|
153 |
|
|
|
Pioneer Natural Resources Co. |
|
|
|
*** |
|
|
443 |
|
|
|
Pitney Bowes, Inc. |
|
|
|
*** |
|
|
99 |
|
|
|
Plum Creek Timber Co., Inc. REIT |
|
|
|
*** |
|
|
151 |
|
|
|
Praxair, Inc. |
|
|
|
*** |
|
|
750 |
|
|
|
Precision Castparts Corp. |
|
|
|
*** |
|
|
684 |
|
|
|
T. Rowe Price Group, Inc. |
|
|
|
*** |
|
|
446 |
|
|
|
Priceline (The) Group, Inc. |
|
|
|
*** |
|
|
1,193 |
|
|
|
Principal Financial Group, Inc. |
|
|
|
*** |
|
|
304 |
|
|
|
Procter & Gamble Co. |
|
|
|
*** |
|
|
4,910 |
|
|
|
Progressive Corp. |
|
|
|
*** |
|
|
309 |
|
|
|
ProLogis L.P. REIT |
|
|
|
*** |
|
|
427 |
|
|
|
Prudential Financial, Inc. |
|
|
|
*** |
|
|
844 |
|
|
|
Public Service Enterprise Group, Inc. |
|
|
|
*** |
|
|
420 |
|
|
|
Public Storage REIT |
|
|
|
*** |
|
|
533 |
|
|
|
Pulte Group, Inc. |
|
|
|
*** |
|
|
144 |
|
|
|
QEP Resources, Inc. |
|
|
|
*** |
|
|
68 |
|
|
|
Qualcomm, Inc. |
|
|
|
*** |
|
|
2,465 |
|
|
|
Quanta Services, Inc. |
|
|
|
*** |
|
|
124 |
|
|
|
Quest Diagnostics, Inc. |
|
|
|
*** |
|
|
195 |
|
|
|
Ralph Lauren Corp. |
|
|
|
*** |
|
|
224 |
|
|
|
Range Resources Corp. |
|
|
|
*** |
|
|
179 |
|
|
|
Raytheon Co. |
|
|
|
*** |
|
|
666 |
|
|
|
Red Hat, Inc. |
|
|
|
*** |
|
|
260 |
|
|
|
Regeneron Pharmaceuticals, Inc. |
|
|
|
*** |
|
|
608 |
|
|
|
Regions Financial Corp. |
|
|
|
*** |
|
|
293 |
|
|
|
Republic Services, Inc. |
|
|
|
*** |
|
|
202 |
|
|
|
Reynolds American, Inc. |
|
|
|
*** |
|
|
395 |
|
|
|
Robert Half International, Inc. |
|
|
|
*** |
|
|
160 |
|
|
|
Rockwell Automation, Inc. |
|
|
|
*** |
|
|
302 |
|
|
|
Rockwell Collins, Inc. |
|
|
|
*** |
|
|
225 |
|
|
|
Roper Industries, Inc. |
|
|
|
*** |
|
|
311 |
|
|
|
Ross Stores, Inc. |
|
|
|
*** |
|
|
396 |
|
|
|
Ryder System, Inc. |
|
|
|
*** |
|
|
101 |
|
|
|
Safeway, Inc. |
|
|
|
*** |
|
|
163 |
|
|
|
St. Jude Medical, Inc. |
|
|
|
*** |
|
|
372 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-25
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Salesforce.com, Inc. |
|
|
|
*** |
|
$ |
695 |
|
|
|
SanDisk Corp. |
|
|
|
*** |
|
|
433 |
|
|
|
Scana Corp. |
|
|
|
*** |
|
|
173 |
|
|
|
Schlumberger Ltd. |
|
|
|
*** |
|
|
2,191 |
|
|
|
Charles Schwab Corp. |
|
|
|
*** |
|
|
693 |
|
|
|
Scripps Networks Interactive Class A |
|
|
|
*** |
|
|
152 |
|
|
|
Sealed Air Corp. |
|
|
|
*** |
|
|
181 |
|
|
|
Sempra Energy |
|
|
|
*** |
|
|
512 |
|
|
|
Sherwin-Williams Co. |
|
|
|
*** |
|
|
428 |
|
|
|
Sigma-Aldrich Corp. |
|
|
|
*** |
|
|
328 |
|
|
|
Simon Property Group, Inc. REIT |
|
|
|
*** |
|
|
1,127 |
|
|
|
J.M. Smucker Co. |
|
|
|
*** |
|
|
205 |
|
|
|
Snap-On, Inc. |
|
|
|
*** |
|
|
160 |
|
|
|
Southern Co. |
|
|
|
*** |
|
|
880 |
|
|
|
Southwest Airlines Co. |
|
|
|
*** |
|
|
574 |
|
|
|
Southwestern Energy Co. |
|
|
|
*** |
|
|
193 |
|
|
|
Spectra Energy Corp. |
|
|
|
*** |
|
|
485 |
|
|
|
Stanley Black & Decker, Inc. |
|
|
|
*** |
|
|
302 |
|
|
|
Staples, Inc. |
|
|
|
*** |
|
|
233 |
|
|
|
Starbucks Corp. |
|
|
|
*** |
|
|
1,224 |
|
|
|
Starwood Hotels & Resorts, Inc. |
|
|
|
*** |
|
|
290 |
|
|
|
State Street Corp. |
|
|
|
*** |
|
|
655 |
|
|
|
Stericycle, Inc. |
|
|
|
*** |
|
|
221 |
|
|
|
Stryker Corp. |
|
|
|
*** |
|
|
561 |
|
|
|
SunTrust Banks, Inc. |
|
|
|
*** |
|
|
437 |
|
|
|
Symantec Corp. |
|
|
|
*** |
|
|
355 |
|
|
|
Sysco Corp. |
|
|
|
*** |
|
|
467 |
|
|
|
TECO Energy, Inc. |
|
|
|
*** |
|
|
98 |
|
|
|
TJX Cos., Inc. |
|
|
|
*** |
|
|
942 |
|
|
|
Target Corp. |
|
|
|
*** |
|
|
964 |
|
|
|
Tenet Healthcare Corp. |
|
|
|
*** |
|
|
100 |
|
|
|
Teradata Corp. |
|
|
|
*** |
|
|
134 |
|
|
|
Tesoro Corp. |
|
|
|
*** |
|
|
189 |
|
|
|
Texas Instruments, Inc. |
|
|
|
*** |
|
|
1,126 |
|
|
|
Textron, Inc. |
|
|
|
*** |
|
|
233 |
|
|
|
Thermo Fisher Scientific, Inc. |
|
|
|
*** |
|
|
1,000 |
|
|
|
3M Co. |
|
|
|
*** |
|
|
2,100 |
|
|
|
Tiffany & Co. |
|
|
|
*** |
|
|
241 |
|
|
|
Time Warner, Inc. |
|
|
|
*** |
|
|
1,429 |
|
|
|
Time Warner Cable, Inc. |
|
|
|
*** |
|
|
851 |
|
|
|
Torchmark Corp. |
|
|
|
*** |
|
|
159 |
|
|
|
Total System Services, Inc. |
|
|
|
*** |
|
|
112 |
|
|
|
Tractor Supply Co. |
|
|
|
*** |
|
|
215 |
|
|
|
Travelers Cos., Inc. |
|
|
|
*** |
|
|
721 |
|
|
|
TripAdvisor, Inc. |
|
|
|
*** |
|
|
167 |
|
|
|
Twenty-First Century Fox, Inc. |
|
|
|
*** |
|
|
1,421 |
|
|
|
Tyson Foods, Inc. Class A |
|
|
|
*** |
|
|
236 |
|
|
|
U.S. Bancorp |
|
|
|
*** |
|
|
1,603 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-26
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity
value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Under Armour, Inc. Class A |
|
|
|
*** |
|
$ |
226 |
|
|
|
Union Pacific Corp. |
|
|
|
*** |
|
|
2,113 |
|
|
|
United Parcel Service, Inc. Class B |
|
|
|
*** |
|
|
1,544 |
|
|
|
United Rentals, Inc. |
|
|
|
*** |
|
|
205 |
|
|
|
U.S. Treasury |
|
|
|
*** |
|
|
293 |
|
|
|
United Technologies Corp. |
|
|
|
*** |
|
|
1,942 |
|
|
|
UnitedHealth Group, Inc. |
|
|
|
*** |
|
|
1,935 |
|
|
|
Universal Health Services, Inc. Class B |
|
|
|
*** |
|
|
204 |
|
|
|
Unum Group |
|
|
|
*** |
|
|
193 |
|
|
|
Urban Outfitters, Inc. |
|
|
|
*** |
|
|
71 |
|
|
|
V.F. Corp. |
|
|
|
*** |
|
|
514 |
|
|
|
Valero Energy Corp. |
|
|
|
*** |
|
|
516 |
|
|
|
Varian Medical Systems, Inc. |
|
|
|
*** |
|
|
172 |
|
|
|
Ventas, Inc. REIT |
|
|
|
*** |
|
|
421 |
|
|
|
VeriSign, Inc. |
|
|
|
*** |
|
|
124 |
|
|
|
Verizon Communications, Inc. |
|
|
|
*** |
|
|
3,872 |
|
|
|
Vertex Pharmaceuticals, Inc. |
|
|
|
*** |
|
|
570 |
|
|
|
Viacom, Inc. Class B |
|
|
|
*** |
|
|
556 |
|
|
|
Visa, Inc. |
|
|
|
*** |
|
|
2,556 |
|
|
|
Vornado Realty Trust REIT |
|
|
|
*** |
|
|
411 |
|
|
|
Vulcan Materials Co. |
|
|
|
*** |
|
|
173 |
|
|
|
Wal-Mart Stores, Inc. |
|
|
|
*** |
|
|
2,704 |
|
|
|
Walgreens Boots Alliance Inc. |
|
|
|
*** |
|
|
1,324 |
|
|
|
Waste Management, Inc. |
|
|
|
*** |
|
|
434 |
|
|
|
Waters Corp. |
|
|
|
*** |
|
|
188 |
|
|
|
Wells Fargo & Co. |
|
|
|
*** |
|
|
5,163 |
|
|
|
Western Digital Corp. |
|
|
|
*** |
|
|
484 |
|
|
|
Western Union Co. |
|
|
|
*** |
|
|
188 |
|
|
|
Weyerhaeuser Co. REIT |
|
|
|
*** |
|
|
378 |
|
|
|
Whirlpool Corp. |
|
|
|
*** |
|
|
302 |
|
|
|
Whole Foods Market, Inc. |
|
|
|
*** |
|
|
363 |
|
|
|
Williams Cos., Inc. |
|
|
|
*** |
|
|
605 |
|
|
|
Windstream Holdings, Inc. |
|
|
|
*** |
|
|
101 |
|
|
|
Wisconsin Energy Corp. |
|
|
|
*** |
|
|
239 |
|
|
|
Wyndham Worldwide Corp. |
|
|
|
*** |
|
|
212 |
|
|
|
Wynn Resorts Ltd. |
|
|
|
*** |
|
|
242 |
|
|
|
Xcel Energy, Inc. |
|
|
|
*** |
|
|
363 |
|
|
|
Xilinx, Inc. |
|
|
|
*** |
|
|
229 |
|
|
|
Xerox Corp. |
|
|
|
*** |
|
|
299 |
|
|
|
Xylem, Inc. |
|
|
|
*** |
|
|
138 |
|
|
|
Yahoo!, Inc. |
|
|
|
*** |
|
|
890 |
|
|
|
Yum! Brands, Inc. |
|
|
|
*** |
|
|
635 |
|
|
|
Zimmer Holdings, Inc. |
|
|
|
*** |
|
|
384 |
|
|
|
Zions Bancorporation |
|
|
|
*** |
|
|
118 |
|
|
|
Zoetis, Inc. |
|
|
|
*** |
|
|
431 |
|
|
|
TE Connectivity Ltd. |
|
|
|
*** |
|
|
512 |
|
|
|
S&P 500 (E-Mini) Future |
|
|
|
*** |
|
|
3,181 |
|
|
|
Actavis plc |
|
|
|
*** |
|
|
1,363 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-27
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Allegion plc |
|
|
|
*** |
|
$ |
107 |
|
|
|
Aon plc |
|
|
|
*** |
|
|
554 |
|
|
|
Accenture plc Class A |
|
|
|
*** |
|
|
1,116 |
|
|
|
Covidien plc |
|
|
|
*** |
|
|
925 |
|
|
|
Delphi Automotive plc |
|
|
|
*** |
|
|
429 |
|
|
|
Eaton Corp. plc |
|
|
|
*** |
|
|
644 |
|
|
|
Ensco plc |
|
|
|
*** |
|
|
141 |
|
|
|
Ingersoll-Rand plc |
|
|
|
*** |
|
|
337 |
|
|
|
Invesco Ltd. |
|
|
|
*** |
|
|
341 |
|
|
|
Mallinckrodt plc |
|
|
|
*** |
|
|
231 |
|
|
|
Michael Kors Holdings Ltd. |
|
|
|
*** |
|
|
309 |
|
|
|
Nabors Industries Ltd. |
|
|
|
*** |
|
|
75 |
|
|
|
Noble Corp. PLC |
|
|
|
*** |
|
|
85 |
|
|
|
Seagate Technology plc |
|
|
|
*** |
|
|
436 |
|
|
|
Pentair plc |
|
|
|
*** |
|
|
248 |
|
|
|
Tyco International plc |
|
|
|
*** |
|
|
582 |
|
|
|
Perrigo Co. plc |
|
|
|
*** |
|
|
685 |
|
|
|
XL Group plc |
|
|
|
*** |
|
|
200 |
|
|
|
ACE Ltd. |
|
|
|
*** |
|
|
780 |
|
|
|
Garmin Ltd. |
|
|
|
*** |
|
|
128 |
|
|
|
Transocean, Inc. |
|
|
|
*** |
|
|
126 |
|
|
|
LyondellBasell Industries Class A |
|
|
|
*** |
|
|
660 |
|
|
|
Nielsen NV |
|
|
|
*** |
|
|
288 |
|
|
|
Royal Caribbean Cruises Ltd. |
|
|
|
*** |
|
|
276 |
|
|
|
Avago Technologies Ltd. |
|
|
|
*** |
|
|
508 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Hartford Index Fund |
|
|
|
|
368,163 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Separately managed accounts: |
|
|
|
|
|
|
|
|
|
|
Columbus Circle |
|
Columbus Circle Large Cap Growth Fund |
|
|
|
|
|
|
|
|
Equity Securities |
|
|
|
|
|
|
|
|
|
|
Alcoa Inc |
|
|
|
*** |
|
|
2,090 |
|
|
|
Alexion Pharmaceuticals Inc |
|
|
|
*** |
|
|
989 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included |
F-28
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c)
Description of investment including maturity date, rate of interest, collateral, par or maturity
value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Apple Inc |
|
|
|
*** |
|
$ |
10,626 |
|
|
|
Biogen Idec Inc |
|
|
|
*** |
|
|
3,787 |
|
|
|
Bristol Myers Squibb |
|
|
|
*** |
|
|
3,663 |
|
|
|
Brookdale Senior Living Inc |
|
|
|
*** |
|
|
810 |
|
|
|
Canadian Pacific Railway LTD |
|
|
|
*** |
|
|
3,766 |
|
|
|
Capital One Financial Corp |
|
|
|
*** |
|
|
2,576 |
|
|
|
Celegene Corp |
|
|
|
*** |
|
|
1,329 |
|
|
|
Chipotle Mexican Grill Inc |
|
|
|
*** |
|
|
2,958 |
|
|
|
Constellation Brands Inc |
|
|
|
*** |
|
|
2,046 |
|
|
|
Delta Air Lines Inc |
|
|
|
*** |
|
|
4,687 |
|
|
|
Discover Financial Services |
|
|
|
*** |
|
|
4,242 |
|
|
|
Edwards Lifesciences Corp |
|
|
|
*** |
|
|
1,274 |
|
|
|
Facebook Inc |
|
|
|
*** |
|
|
5,389 |
|
|
|
Fleetcor Technologies Inc |
|
|
|
*** |
|
|
2,800 |
|
|
|
Gilead Sciences Inc |
|
|
|
*** |
|
|
7,274 |
|
|
|
Google Inc |
|
|
|
*** |
|
|
3,500 |
|
|
|
HCA Holdings Inc |
|
|
|
*** |
|
|
5,101 |
|
|
|
Illumina Inc |
|
|
|
*** |
|
|
1,871 |
|
|
|
Intuitive Surgical Inc |
|
|
|
*** |
|
|
1,758 |
|
|
|
Kohls Corop |
|
|
|
*** |
|
|
2,204 |
|
|
|
L Brands Inc |
|
|
|
*** |
|
|
2,785 |
|
|
|
Lam Research Corp |
|
|
|
*** |
|
|
3,141 |
|
|
|
Estee Lauder Companies |
|
|
|
*** |
|
|
2,158 |
|
|
|
Lululemon Athletica Inc |
|
|
|
*** |
|
|
881 |
|
|
|
Mastercard Inc |
|
|
|
*** |
|
|
5,317 |
|
|
|
Mcgraw Hill Financial Inc |
|
|
|
*** |
|
|
1,669 |
|
|
|
Mckesson Corp |
|
|
|
*** |
|
|
5,089 |
|
|
|
Morgan Stanley |
|
|
|
*** |
|
|
4,683 |
|
|
|
Nike Inc |
|
|
|
*** |
|
|
7,151 |
|
|
|
PPG Industries Inc |
|
|
|
*** |
|
|
6,824 |
|
|
|
Pioneer Natural Resources Co |
|
|
|
*** |
|
|
2,188 |
|
|
|
Salesforce.com Inc |
|
|
|
*** |
|
|
1,836 |
|
|
|
Servicenow Inc |
|
|
|
*** |
|
|
2,193 |
|
|
|
Splunk Inc |
|
|
|
*** |
|
|
1,861 |
|
|
|
Starbucks Corp |
|
|
|
*** |
|
|
4,122 |
|
|
|
Tableau Software Inc |
|
|
|
*** |
|
|
1,449 |
|
|
|
Target Corp |
|
|
|
*** |
|
|
2,330 |
|
|
|
Tiffany & Co |
|
|
|
*** |
|
|
1,847 |
|
|
|
Ulta Salon Cosmetics |
|
|
|
*** |
|
|
3,520 |
|
|
|
Under Armour Inc |
|
|
|
*** |
|
|
2,114 |
|
|
|
United Continental Holdings |
|
|
|
*** |
|
|
4,576 |
|
|
|
United States Steel Corp |
|
|
|
*** |
|
|
1,276 |
|
|
|
Visa Inc |
|
|
|
*** |
|
|
5,299 |
|
|
|
Western Digital Corp |
|
|
|
*** |
|
|
2,552 |
|
|
|
Workday Inc |
|
|
|
*** |
|
|
2,040 |
|
|
|
Actavis PLC |
|
|
|
*** |
|
|
4,049 |
|
|
|
Garmin LTD |
|
|
|
*** |
|
|
1,638 |
|
|
|
Lyondellbasell |
|
|
|
*** |
|
|
2,597 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-29
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
|
(d) Cost |
|
(e) Current
Value |
|
|
|
NXP Semiconductors |
|
|
|
|
|
|
|
*** |
|
$ |
3,048 |
|
|
|
Royal Caribbean Cruises LTD |
|
|
|
|
|
|
|
*** |
|
|
3,527 |
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
|
|
|
|
*** |
|
|
4,147 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Columbus Circle |
|
|
172,647 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| * |
|
The Hartford |
|
ISP High Yield Bond Fund |
|
|
|
|
|
|
|
|
|
|
| |
|
Bond Investments |
|
Interest Rate |
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
AES Corp |
|
7.375% |
|
07/01/21 |
|
|
279 |
|
|
*** |
|
|
315 |
|
|
|
AK Steel Corp |
|
8.750% |
|
12/01/18 |
|
|
273 |
|
|
*** |
|
|
287 |
|
|
|
AMC Entertainment Inc |
|
5.875% |
|
02/15/22 |
|
|
204 |
|
|
*** |
|
|
207 |
|
|
|
Access Midstream Partner Company |
|
4.875% |
|
05/15/23 |
|
|
200 |
|
|
*** |
|
|
203 |
|
|
|
Activision Blizzard Company |
|
6.125% |
|
09/05/23 |
|
|
125 |
|
|
*** |
|
|
135 |
|
|
|
Advanced Micro Devices |
|
7.000% |
|
07/01/24 |
|
|
296 |
|
|
*** |
|
|
251 |
|
|
|
Air Med Hldgs LLC |
|
0.010% |
|
05/21/18 |
|
|
447 |
|
|
*** |
|
|
440 |
|
|
|
Albea Beauty Holdings |
|
8.375% |
|
11/01/19 |
|
|
430 |
|
|
*** |
|
|
452 |
|
|
|
Alere Inc |
|
7.250% |
|
07/01/18 |
|
|
370 |
|
|
*** |
|
|
385 |
|
|
|
Allegiant Travel Co |
|
5.500% |
|
07/15/19 |
|
|
158 |
|
|
*** |
|
|
161 |
|
|
|
Ally Financial Inc |
|
4.750% |
|
09/10/18 |
|
|
280 |
|
|
*** |
|
|
290 |
|
|
|
Alcoa Inc |
|
6.750% |
|
01/15/28 |
|
|
190 |
|
|
*** |
|
|
214 |
|
|
|
American Gilsonite Co |
|
11.500% |
|
09/01/17 |
|
|
369 |
|
|
*** |
|
|
363 |
|
|
|
American Seafoods Grp |
|
10.750% |
|
05/15/16 |
|
|
288 |
|
|
*** |
|
|
258 |
|
|
|
Amerigas Finance LLC |
|
7.000% |
|
05/20/22 |
|
|
185 |
|
|
*** |
|
|
191 |
|
|
|
Antero Resources Finance Company |
|
6.000% |
|
12/01/20 |
|
|
212 |
|
|
*** |
|
|
211 |
|
|
|
Arcelormittal |
|
10.350% |
|
06/01/19 |
|
|
533 |
|
|
*** |
|
|
644 |
|
|
|
Ardagh |
|
7.000% |
|
11/15/20 |
|
|
199 |
|
|
*** |
|
|
201 |
|
|
|
Ardagh Finance Holdings |
|
8.625% |
|
06/15/19 |
|
|
219 |
|
|
*** |
|
|
216 |
|
|
|
Armored Autogroup Inc |
|
9.250% |
|
11/01/18 |
|
|
312 |
|
|
*** |
|
|
310 |
|
|
|
Ashtead Capital Inc |
|
6.500% |
|
07/15/22 |
|
|
270 |
|
|
*** |
|
|
287 |
|
|
|
Audatex North America |
|
6.000% |
|
06/15/21 |
|
|
310 |
|
|
*** |
|
|
319 |
|
|
|
Avaya Inc |
|
9.000% |
|
04/01/19 |
|
|
315 |
|
|
*** |
|
|
322 |
|
|
|
BCP Singapore |
|
8.000% |
|
04/15/21 |
|
|
210 |
|
|
*** |
|
|
212 |
|
|
|
Blueline Rental Finance |
|
7.000% |
|
02/01/19 |
|
|
180 |
|
|
*** |
|
|
185 |
|
|
|
Bombardier Inc |
|
6.125% |
|
01/15/23 |
|
|
200 |
|
|
*** |
|
|
204 |
|
|
|
Breitburn |
|
7.875% |
|
04/15/22 |
|
|
342 |
|
|
*** |
|
|
264 |
|
|
|
CCO Hldgs LLC |
|
6.500% |
|
04/30/21 |
|
|
510 |
|
|
*** |
|
|
536 |
|
|
|
CCO Hldgs LLC |
|
6.625% |
|
01/31/22 |
|
|
500 |
|
|
*** |
|
|
531 |
|
|
|
Cemex Finance LLC |
|
9.375% |
|
10/12/22 |
|
|
212 |
|
|
*** |
|
|
236 |
|
|
|
CIT Group Inc |
|
5.000% |
|
08/15/22 |
|
|
405 |
|
|
*** |
|
|
416 |
|
|
|
CIT Group Inc |
|
5.000% |
|
08/01/23 |
|
|
221 |
|
|
*** |
|
|
227 |
|
|
|
CSC Holdings LLC |
|
6.750% |
|
11/15/21 |
|
|
440 |
|
|
*** |
|
|
486 |
|
|
|
Calpine Corp |
|
7.875% |
|
01/15/23 |
|
|
142 |
|
|
*** |
|
|
157 |
|
|
|
Calpine Corp |
|
5.875% |
|
01/15/24 |
|
|
78 |
|
|
*** |
|
|
83 |
|
|
|
Cenveo Corp |
|
6.000% |
|
08/01/19 |
|
|
436 |
|
|
*** |
|
|
395 |
|
|
|
Chassix Inc |
|
9.250% |
|
08/01/18 |
|
|
477 |
|
|
*** |
|
|
322 |
|
|
|
Chemtura Corp |
|
5.750% |
|
07/15/21 |
|
|
317 |
|
|
*** |
|
|
309 |
|
|
|
Chesapeake Energy Corp |
|
2.750% |
|
11/15/35 |
|
|
265 |
|
|
*** |
|
|
265 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-30
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
|
(d) Cost |
|
(e) Current
Value |
|
| |
|
|
|
Interest Rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
Chesapeake Energy Corp |
|
|
2.250 |
% |
|
12/15/38 |
|
|
339 |
|
|
*** |
|
$ |
304 |
|
|
|
Access Midstream Partner Company |
|
|
6.125 |
% |
|
07/15/22 |
|
|
185 |
|
|
*** |
|
|
197 |
|
|
|
Chinos Intermed Hldgs |
|
|
7.750 |
% |
|
05/01/19 |
|
|
410 |
|
|
*** |
|
|
363 |
|
|
|
Chiquita Brands Intl |
|
|
7.875 |
% |
|
02/01/21 |
|
|
316 |
|
|
*** |
|
|
340 |
|
|
|
Chrysler Co |
|
|
8.250 |
% |
|
06/15/21 |
|
|
240 |
|
|
*** |
|
|
266 |
|
|
|
Frontier Communications |
|
|
9.000 |
% |
|
08/15/31 |
|
|
580 |
|
|
*** |
|
|
612 |
|
|
|
Claires Stores Inc |
|
|
9.000 |
% |
|
03/15/19 |
|
|
207 |
|
|
*** |
|
|
204 |
|
|
|
Iheart Communications Inc |
|
|
11.250 |
% |
|
03/01/21 |
|
|
295 |
|
|
*** |
|
|
304 |
|
|
|
Clear Channel Communications |
|
|
6.500 |
% |
|
11/15/22 |
|
|
285 |
|
|
*** |
|
|
290 |
|
|
|
CNL Lifestyle Properties Company |
|
|
7.250 |
% |
|
04/15/19 |
|
|
556 |
|
|
*** |
|
|
564 |
|
|
|
HCA Inc |
|
|
7.500 |
% |
|
11/15/95 |
|
|
1,175 |
|
|
*** |
|
|
1,122 |
|
|
|
Concho Resources Inc |
|
|
7.000 |
% |
|
01/15/21 |
|
|
195 |
|
|
*** |
|
|
204 |
|
|
|
Consolidated Comm Co |
|
|
10.875 |
% |
|
06/01/20 |
|
|
260 |
|
|
*** |
|
|
294 |
|
|
|
Consolidated Comm Co |
|
|
6.500 |
% |
|
10/01/22 |
|
|
81 |
|
|
*** |
|
|
81 |
|
|
|
Crestwood Midstream Part Company |
|
|
6.000 |
% |
|
12/15/20 |
|
|
215 |
|
|
*** |
|
|
206 |
|
|
|
Darling Ingredients Inc |
|
|
5.375 |
% |
|
01/15/22 |
|
|
196 |
|
|
*** |
|
|
193 |
|
|
|
Davita Healthcare |
|
|
5.125 |
% |
|
07/15/24 |
|
|
80 |
|
|
*** |
|
|
82 |
|
|
|
Dell Inc |
|
|
6.500 |
% |
|
04/15/38 |
|
|
170 |
|
|
*** |
|
|
171 |
|
|
|
Denali Borrower |
|
|
5.625 |
% |
|
10/15/20 |
|
|
252 |
|
|
*** |
|
|
262 |
|
|
|
Dish DBS Corp Company |
|
|
6.750 |
% |
|
06/01/21 |
|
|
615 |
|
|
*** |
|
|
661 |
|
|
|
Quapaw Downstream |
|
|
10.500 |
% |
|
07/01/19 |
|
|
264 |
|
|
*** |
|
|
246 |
|
|
|
Drill Rigs Inc |
|
|
6.500 |
% |
|
10/01/17 |
|
|
426 |
|
|
*** |
|
|
351 |
|
|
|
Dynegy Inc Company |
|
|
7.625 |
% |
|
11/01/24 |
|
|
475 |
|
|
*** |
|
|
485 |
|
|
|
Kinder Morgan Inc |
|
|
7.800 |
% |
|
08/01/31 |
|
|
140 |
|
|
*** |
|
|
170 |
|
|
|
Endo Fin LLC |
|
|
5.375 |
% |
|
01/15/23 |
|
|
209 |
|
|
*** |
|
|
205 |
|
|
|
Energy Transfer |
|
|
7.500 |
% |
|
10/15/20 |
|
|
83 |
|
|
*** |
|
|
92 |
|
|
|
Energy Transfer |
|
|
5.875 |
% |
|
01/15/24 |
|
|
437 |
|
|
*** |
|
|
444 |
|
|
|
Equinix Inc |
|
|
5.375 |
% |
|
04/01/23 |
|
|
271 |
|
|
*** |
|
|
271 |
|
|
|
Fairpoint Communications |
|
|
8.750 |
% |
|
08/15/19 |
|
|
253 |
|
|
*** |
|
|
254 |
|
|
|
Ferrell Gas |
|
|
6.500 |
% |
|
05/01/21 |
|
|
530 |
|
|
*** |
|
|
517 |
|
|
|
First Data Corporation |
|
|
6.750 |
% |
|
11/01/20 |
|
|
250 |
|
|
*** |
|
|
267 |
|
|
|
Forestar USA |
|
|
8.500 |
% |
|
06/01/22 |
|
|
379 |
|
|
*** |
|
|
370 |
|
|
|
Ally Financial Inc |
|
|
8.000 |
% |
|
11/01/31 |
|
|
387 |
|
|
*** |
|
|
493 |
|
|
|
Ally Financial Inc |
|
|
8.000 |
% |
|
12/31/18 |
|
|
269 |
|
|
*** |
|
|
305 |
|
|
|
Gannett Co Inc |
|
|
5.500 |
% |
|
09/15/24 |
|
|
83 |
|
|
*** |
|
|
83 |
|
|
|
Gencorp Inc |
|
|
7.125 |
% |
|
03/15/21 |
|
|
383 |
|
|
*** |
|
|
401 |
|
|
|
General Motors Co |
|
|
4.875 |
% |
|
10/02/23 |
|
|
359 |
|
|
*** |
|
|
384 |
|
|
|
Gibson Energy Inc |
|
|
6.750 |
% |
|
07/15/21 |
|
|
185 |
|
|
*** |
|
|
185 |
|
|
|
Gulfport Energy Corp |
|
|
7.750 |
% |
|
11/01/20 |
|
|
190 |
|
|
*** |
|
|
186 |
|
|
|
Halcon Resources Corp |
|
|
9.750 |
% |
|
07/15/20 |
|
|
489 |
|
|
*** |
|
|
367 |
|
|
|
Harland Clarke Holdings |
|
|
6.875 |
% |
|
03/01/20 |
|
|
93 |
|
|
*** |
|
|
91 |
|
|
|
Harland Clarke Holdings |
|
|
9.250 |
% |
|
03/01/21 |
|
|
310 |
|
|
*** |
|
|
295 |
|
|
|
Hercules Offshore Inc |
|
|
8.750 |
% |
|
07/15/21 |
|
|
356 |
|
|
*** |
|
|
164 |
|
|
|
Hexion US Finance Corp |
|
|
6.625 |
% |
|
04/15/20 |
|
|
263 |
|
|
*** |
|
|
258 |
|
|
|
Hologic Inc Company |
|
|
6.250 |
% |
|
08/01/20 |
|
|
290 |
|
|
*** |
|
|
302 |
|
|
|
Hospira Inc |
|
|
5.800 |
% |
|
08/12/23 |
|
|
129 |
|
|
*** |
|
|
144 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-31
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or
maturity value |
|
|
(d) Cost |
|
(e) Current
Value |
|
| |
|
|
|
Interest Rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
K Hovnanian Enterprises |
|
|
7.250 |
% |
|
10/15/20 |
|
|
315 |
|
|
*** |
|
$ |
326 |
|
|
|
K Hovnanian Enterprises |
|
|
9.125 |
% |
|
11/15/20 |
|
|
121 |
|
|
*** |
|
|
129 |
|
|
|
Icahn Enterprises |
|
|
6.000 |
% |
|
08/01/20 |
|
|
380 |
|
|
*** |
|
|
392 |
|
|
|
Imperial Metals Corp |
|
|
7.000 |
% |
|
03/15/19 |
|
|
200 |
|
|
*** |
|
|
184 |
|
|
|
Intelsat Jackson Hldg |
|
|
7.250 |
% |
|
10/15/20 |
|
|
395 |
|
|
*** |
|
|
417 |
|
|
|
Intelsat Jackson Hldg |
|
|
7.500 |
% |
|
04/01/21 |
|
|
230 |
|
|
*** |
|
|
246 |
|
|
|
INTL Lease Finance Corp |
|
|
3.875 |
% |
|
04/15/18 |
|
|
260 |
|
|
*** |
|
|
260 |
|
|
|
Iron Mountain Inc |
|
|
5.750 |
% |
|
08/15/24 |
|
|
322 |
|
|
*** |
|
|
324 |
|
|
|
JBS USA LLC |
|
|
7.250 |
% |
|
06/01/21 |
|
|
310 |
|
|
*** |
|
|
319 |
|
|
|
JC Penney Corp Inc |
|
|
0.010 |
% |
|
05/22/18 |
|
|
269 |
|
|
*** |
|
|
263 |
|
|
|
Jaguar Holding Co |
|
|
9.500 |
% |
|
12/01/19 |
|
|
165 |
|
|
*** |
|
|
177 |
|
|
|
Jaguar Land Rover |
|
|
5.625 |
% |
|
02/01/23 |
|
|
350 |
|
|
*** |
|
|
368 |
|
|
|
J2 Global Communications |
|
|
8.000 |
% |
|
08/01/20 |
|
|
577 |
|
|
*** |
|
|
621 |
|
|
|
Ladder Cap |
|
|
7.375 |
% |
|
10/01/17 |
|
|
508 |
|
|
*** |
|
|
523 |
|
|
|
Landry S Inc |
|
|
9.375 |
% |
|
05/01/20 |
|
|
616 |
|
|
*** |
|
|
653 |
|
|
|
Level 3 Financing Inc |
|
|
6.125 |
% |
|
01/15/21 |
|
|
256 |
|
|
*** |
|
|
265 |
|
|
|
Level 3 Financing Inc |
|
|
5.375 |
% |
|
08/15/22 |
|
|
117 |
|
|
*** |
|
|
118 |
|
|
|
Liberty Mutual Group Inc |
|
|
10.750 |
% |
|
06/15/88 |
|
|
125 |
|
|
*** |
|
|
193 |
|
|
|
Light Tower Rentals Inc |
|
|
8.125 |
% |
|
08/01/19 |
|
|
128 |
|
|
*** |
|
|
100 |
|
|
|
L Brands Inc |
|
|
7.600 |
% |
|
07/15/37 |
|
|
334 |
|
|
*** |
|
|
366 |
|
|
|
Linn Energy LLC |
|
|
8.625 |
% |
|
04/15/20 |
|
|
82 |
|
|
*** |
|
|
71 |
|
|
|
Linn Energy LLC |
|
|
7.750 |
% |
|
02/01/21 |
|
|
318 |
|
|
*** |
|
|
268 |
|
|
|
MEG Energy Corp |
|
|
6.500 |
% |
|
03/15/21 |
|
|
360 |
|
|
*** |
|
|
329 |
|
|
|
MGM Resorts INTL Co |
|
|
7.750 |
% |
|
03/15/22 |
|
|
170 |
|
|
*** |
|
|
188 |
|
|
|
MGM Resorts INTL Co |
|
|
11.375 |
% |
|
03/01/18 |
|
|
275 |
|
|
*** |
|
|
326 |
|
|
|
Magnetation LLC |
|
|
11.000 |
% |
|
05/15/18 |
|
|
610 |
|
|
*** |
|
|
421 |
|
|
|
Mallinckrodt Fin |
|
|
5.750 |
% |
|
08/01/22 |
|
|
157 |
|
|
*** |
|
|
161 |
|
|
|
Markwest Energy |
|
|
6.250 |
% |
|
06/15/22 |
|
|
181 |
|
|
*** |
|
|
187 |
|
|
|
Mattamy Group |
|
|
6.500 |
% |
|
11/15/20 |
|
|
441 |
|
|
*** |
|
|
443 |
|
|
|
Mcclatchy Co |
|
|
9.000 |
% |
|
12/15/22 |
|
|
272 |
|
|
*** |
|
|
296 |
|
|
|
Mcgraw Hill |
|
|
9.750 |
% |
|
04/01/21 |
|
|
372 |
|
|
*** |
|
|
411 |
|
|
|
Mem Prod |
|
|
6.875 |
% |
|
08/01/22 |
|
|
239 |
|
|
*** |
|
|
182 |
|
|
|
Mirant Mid Atlantic |
|
|
10.060 |
% |
|
12/30/28 |
|
|
195 |
|
|
*** |
|
|
209 |
|
|
|
Modular Space Corp |
|
|
10.250 |
% |
|
01/31/19 |
|
|
192 |
|
|
*** |
|
|
166 |
|
|
|
Mohegan Tribal Gaming Co |
|
|
9.750 |
% |
|
09/01/21 |
|
|
302 |
|
|
*** |
|
|
308 |
|
|
|
Momentive Performance |
|
|
10.000 |
% |
|
10/15/20 |
|
|
185 |
|
|
*** |
|
|
149 |
|
|
|
Momentive Performance |
|
|
3.880 |
% |
|
10/24/21 |
|
|
185 |
|
|
*** |
|
|
157 |
|
|
|
NRG Energy Inc |
|
|
6.625 |
% |
|
03/15/23 |
|
|
310 |
|
|
*** |
|
|
322 |
|
|
|
NRG Energy Inc |
|
|
6.250 |
% |
|
07/15/22 |
|
|
605 |
|
|
*** |
|
|
619 |
|
|
|
NSG Holdings LLC |
|
|
7.750 |
% |
|
12/15/25 |
|
|
103 |
|
|
*** |
|
|
109 |
|
|
|
NXP |
|
|
5.750 |
% |
|
03/15/23 |
|
|
200 |
|
|
*** |
|
|
211 |
|
|
|
Nationstar Mort |
|
|
7.875 |
% |
|
10/01/20 |
|
|
456 |
|
|
*** |
|
|
438 |
|
|
|
Navios Maritime Hlds |
|
|
7.375 |
% |
|
01/15/22 |
|
|
254 |
|
|
*** |
|
|
232 |
|
|
|
JO Ann Stores Inc |
|
|
8.125 |
% |
|
03/15/19 |
|
|
285 |
|
|
*** |
|
|
265 |
|
|
|
New Gold Inc |
|
|
7.000 |
% |
|
04/15/20 |
|
|
190 |
|
|
*** |
|
|
190 |
|
|
|
Nexteer Auto Group LTD |
|
|
5.875 |
% |
|
11/15/21 |
|
|
200 |
|
|
*** |
|
|
200 |
|
|
|
Niska Gas Storage |
|
|
6.500 |
% |
|
04/01/19 |
|
|
215 |
|
|
*** |
|
|
162 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-32
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or
maturity value |
|
|
(d) Cost |
|
(e) Current
Value |
|
| |
|
|
|
Interest Rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
PBF Holding Co LLC |
|
|
8.250 |
% |
|
02/15/20 |
|
|
261 |
|
|
*** |
|
$ |
262 |
|
|
|
Caesars Ent Resort |
|
|
8.000 |
% |
|
10/01/20 |
|
|
250 |
|
|
*** |
|
|
245 |
|
|
|
Patriot Coal Corp |
|
|
0.010 |
% |
|
12/15/18 |
|
|
196 |
|
|
*** |
|
|
187 |
|
|
|
PVH Corp |
|
|
7.750 |
% |
|
11/15/23 |
|
|
93 |
|
|
*** |
|
|
114 |
|
|
|
Post Holdings Inc |
|
|
7.375 |
% |
|
02/15/22 |
|
|
290 |
|
|
*** |
|
|
290 |
|
|
|
Qwest Capital Funding Company |
|
|
7.750 |
% |
|
02/15/31 |
|
|
495 |
|
|
*** |
|
|
502 |
|
|
|
RJS Power Holdings LLC |
|
|
5.125 |
% |
|
07/15/19 |
|
|
79 |
|
|
*** |
|
|
78 |
|
|
|
RSI Home Products Inc |
|
|
6.875 |
% |
|
03/01/18 |
|
|
287 |
|
|
*** |
|
|
300 |
|
|
|
RR Donnelley & Sons Co |
|
|
7.875 |
% |
|
03/15/21 |
|
|
180 |
|
|
*** |
|
|
199 |
|
|
|
Realogy Group LLC |
|
|
7.625 |
% |
|
01/15/20 |
|
|
175 |
|
|
*** |
|
|
187 |
|
|
|
Regency Energy Partners |
|
|
6.500 |
% |
|
07/15/21 |
|
|
310 |
|
|
*** |
|
|
316 |
|
|
|
Rentech NIT |
|
|
6.500 |
% |
|
04/15/21 |
|
|
410 |
|
|
*** |
|
|
365 |
|
|
|
Reynolds Grp |
|
|
5.750 |
% |
|
10/15/20 |
|
|
385 |
|
|
*** |
|
|
395 |
|
|
|
Rialto Hlds LLC |
|
|
7.000 |
% |
|
12/01/18 |
|
|
200 |
|
|
*** |
|
|
203 |
|
|
|
Rockwood Specialties Co |
|
|
4.625 |
% |
|
10/15/20 |
|
|
142 |
|
|
*** |
|
|
147 |
|
|
|
Royal Bk Scotlnd Grp PLC |
|
|
6.125 |
% |
|
12/15/22 |
|
|
530 |
|
|
*** |
|
|
577 |
|
|
|
SBA Communications Corp |
|
|
5.625 |
% |
|
10/01/19 |
|
|
310 |
|
|
*** |
|
|
317 |
|
|
|
Navient Corp |
|
|
7.250 |
% |
|
01/25/22 |
|
|
585 |
|
|
*** |
|
|
635 |
|
|
|
SPL Logistics Escrow LLC |
|
|
8.875 |
% |
|
08/01/20 |
|
|
506 |
|
|
*** |
|
|
536 |
|
|
|
Sabine Pass |
|
|
6.500 |
% |
|
11/01/20 |
|
|
310 |
|
|
*** |
|
|
313 |
|
|
|
Sabre Glbl Inc |
|
|
8.500 |
% |
|
05/15/19 |
|
|
178 |
|
|
*** |
|
|
190 |
|
|
|
Salix Pharmaceuticals LT Company |
|
|
6.000 |
% |
|
01/15/21 |
|
|
188 |
|
|
*** |
|
|
192 |
|
|
|
Sandridge Energy Inc |
|
|
7.500 |
% |
|
03/15/21 |
|
|
350 |
|
|
*** |
|
|
224 |
|
|
|
Sappi Papier Holdng |
|
|
8.375 |
% |
|
06/15/19 |
|
|
216 |
|
|
*** |
|
|
231 |
|
|
|
Sealed Air Corp |
|
|
6.875 |
% |
|
07/15/33 |
|
|
236 |
|
|
*** |
|
|
241 |
|
|
|
Sirius XM Radio Inc |
|
|
6.000 |
% |
|
07/15/24 |
|
|
280 |
|
|
*** |
|
|
287 |
|
|
|
Springleaf Finance Corp |
|
|
8.250 |
% |
|
10/01/23 |
|
|
275 |
|
|
*** |
|
|
308 |
|
|
|
Sprint Capital Corp Company |
|
|
8.750 |
% |
|
03/15/32 |
|
|
610 |
|
|
*** |
|
|
590 |
|
|
|
Sprint Communications Company |
|
|
9.000 |
% |
|
11/15/18 |
|
|
420 |
|
|
*** |
|
|
478 |
|
|
|
Sprint Communications Company |
|
|
11.500 |
% |
|
11/15/21 |
|
|
130 |
|
|
*** |
|
|
156 |
|
|
|
Steel Dynamics Inc |
|
|
6.375 |
% |
|
08/15/22 |
|
|
180 |
|
|
*** |
|
|
191 |
|
|
|
Stockbridge |
|
|
0.010 |
% |
|
05/02/17 |
|
|
163 |
|
|
*** |
|
|
148 |
|
|
|
Suncoke Enrgy |
|
|
7.375 |
% |
|
02/01/20 |
|
|
30 |
|
|
*** |
|
|
31 |
|
|
|
Suncoke Enrgy |
|
|
7.375 |
% |
|
02/01/20 |
|
|
74 |
|
|
*** |
|
|
77 |
|
|
|
Sungard Avail Serv Cap Company |
|
|
8.750 |
% |
|
04/01/22 |
|
|
244 |
|
|
*** |
|
|
144 |
|
|
|
Tenet Healthcare Corp |
|
|
6.000 |
% |
|
10/01/20 |
|
|
256 |
|
|
*** |
|
|
275 |
|
|
|
Telecom Italia Capital Company |
|
|
7.175 |
% |
|
06/18/19 |
|
|
120 |
|
|
*** |
|
|
137 |
|
|
|
T Mobile USA Inc |
|
|
6.625 |
% |
|
04/01/23 |
|
|
825 |
|
|
*** |
|
|
845 |
|
|
|
Trac Intermodal LLC |
|
|
11.000 |
% |
|
08/15/19 |
|
|
165 |
|
|
*** |
|
|
178 |
|
|
|
Telecom Italia Capital Company |
|
|
7.721 |
% |
|
06/04/38 |
|
|
120 |
|
|
*** |
|
|
134 |
|
|
|
Tenet Healthcare Corp |
|
|
6.875 |
% |
|
11/15/31 |
|
|
53 |
|
|
*** |
|
|
50 |
|
|
|
Tenet Healthcare Corp |
|
|
8.125 |
% |
|
04/01/22 |
|
|
290 |
|
|
*** |
|
|
324 |
|
|
|
Toys R US Property |
|
|
8.500 |
% |
|
12/01/17 |
|
|
292 |
|
|
*** |
|
|
290 |
|
|
|
TPC Group Inc |
|
|
8.750 |
% |
|
12/15/20 |
|
|
145 |
|
|
*** |
|
|
141 |
|
|
|
Tronox Finance LLC |
|
|
6.375 |
% |
|
08/15/20 |
|
|
416 |
|
|
*** |
|
|
417 |
|
|
|
USG Corp Company |
|
|
5.875 |
% |
|
11/01/21 |
|
|
196 |
|
|
*** |
|
|
198 |
|
|
|
United Continental Hldgs Company |
|
|
6.000 |
% |
|
07/15/28 |
|
|
495 |
|
|
*** |
|
|
471 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-33
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral,
par or maturity value |
|
|
(d) Cost |
|
(e) Current
Value |
|
|
|
United Rentals North |
|
6.125% |
|
06/15/23 |
|
|
193 |
|
|
*** |
|
$ |
203 |
|
|
|
Qwest Corp |
|
6.875% |
|
09/15/33 |
|
|
180 |
|
|
*** |
|
|
181 |
|
|
|
Univision Communications |
|
6.750% |
|
09/15/22 |
|
|
390 |
|
|
*** |
|
|
417 |
|
|
|
VTR Finance |
|
6.875% |
|
01/15/24 |
|
|
600 |
|
|
*** |
|
|
690 |
|
|
|
Valeant Pharmaceuticals |
|
7.250% |
|
07/15/22 |
|
|
703 |
|
|
*** |
|
|
750 |
|
|
|
Vanguard Nat Res |
|
7.875% |
|
04/01/20 |
|
|
532 |
|
|
*** |
|
|
459 |
|
|
|
Viasat Inc |
|
6.875% |
|
06/15/20 |
|
|
395 |
|
|
*** |
|
|
411 |
|
|
|
Viking Cruises Ltd |
|
8.500% |
|
10/15/22 |
|
|
240 |
|
|
*** |
|
|
260 |
|
|
|
Walter Investment MGMT Company |
|
7.875% |
|
12/15/21 |
|
|
326 |
|
|
*** |
|
|
291 |
|
|
|
Wellcare Health Plans |
|
5.750% |
|
11/15/20 |
|
|
309 |
|
|
*** |
|
|
319 |
|
|
|
Wells Enterprises Inc |
|
6.750% |
|
02/01/20 |
|
|
257 |
|
|
*** |
|
|
263 |
|
|
|
Western Refining Inc |
|
6.250% |
|
04/01/21 |
|
|
298 |
|
|
*** |
|
|
291 |
|
|
|
Tri Pointe Holdings Inc |
|
5.875% |
|
06/15/24 |
|
|
115 |
|
|
*** |
|
|
115 |
|
|
|
WPX Energy Inc |
|
5.250% |
|
09/15/24 |
|
|
207 |
|
|
*** |
|
|
193 |
|
|
|
Wynn Macau Ltd |
|
5.250% |
|
10/15/21 |
|
|
200 |
|
|
*** |
|
|
188 |
|
|
|
XPO Logistics Inc |
|
7.875% |
|
09/01/19 |
|
|
191 |
|
|
*** |
|
|
200 |
|
|
|
Zebra Technologies Corp |
|
7.250% |
|
10/15/22 |
|
|
51 |
|
|
*** |
|
|
54 |
|
|
|
Bluewater Holding Company |
|
10.000% |
|
12/10/19 |
|
|
400 |
|
|
*** |
|
|
377 |
|
|
|
Sun Prods Corp |
|
0.010% |
|
03/23/20 |
|
|
268 |
|
|
*** |
|
|
248 |
|
|
|
Supervalue Inc |
|
0.010% |
|
03/21/19 |
|
|
182 |
|
|
*** |
|
|
179 |
|
|
|
WP CPP Hldgs LLC |
|
0.010% |
|
04/30/21 |
|
|
328 |
|
|
*** |
|
|
310 |
|
|
|
Fortescue Metals Group Ltd |
|
0.010% |
|
06/30/19 |
|
|
122 |
|
|
*** |
|
|
111 |
|
|
|
Affinion Group Inc |
|
0.010% |
|
10/12/18 |
|
|
210 |
|
|
*** |
|
|
186 |
|
|
|
Cengage Learning Acquisitions |
|
1.000% |
|
03/31/20 |
|
|
165 |
|
|
*** |
|
|
163 |
|
|
|
Fieldwood Energy LLC |
|
0.010% |
|
09/30/20 |
|
|
354 |
|
|
*** |
|
|
257 |
|
|
|
Koosharem LLC |
|
1.000% |
|
05/15/20 |
|
|
206 |
|
|
*** |
|
|
202 |
|
|
|
Sungard Availability |
|
1.000% |
|
03/31/19 |
|
|
228 |
|
|
*** |
|
|
202 |
|
|
|
Connacher Oil & Gas Ltd |
|
0.100% |
|
05/23/18 |
|
|
277 |
|
|
*** |
|
|
246 |
|
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
|
|
|
|
*** |
|
|
1,097 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal ISP High Yield Bond Fund |
|
|
60,783 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Chartwell |
|
Chartwell Investment Partners Small Cap Value Fund |
|
|
|
|
|
|
|
|
|
Equity Securities |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Acxiom Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,228 |
|
|
|
Altra Industrial Motion Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,134 |
|
|
|
American Equity Invt |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,495 |
|
|
|
Analogic Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,045 |
|
|
|
Anixter International Inc |
|
|
|
|
|
|
|
|
|
*** |
|
|
712 |
|
|
|
Avista Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
876 |
|
|
|
Barnes Group Inc |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,289 |
|
|
|
BBCN Bancorp Inc |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,147 |
|
|
|
Black Hills Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
952 |
|
|
|
Blount International Inc |
|
|
|
|
|
|
|
|
|
*** |
|
|
866 |
|
|
|
Bristow Group Inc |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,788 |
|
|
|
Cleco Corporation |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,634 |
|
|
|
Calgon Carbon Corp |
|
|
|
|
|
|
|
|
|
*** |
|
|
1,266 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-34
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Cardtronics Inc |
|
|
|
*** |
|
$ |
1,445 |
|
|
|
Casey S General Stores Inc |
|
|
|
*** |
|
|
2,285 |
|
|
|
Chesapeake Lodging Trust |
|
|
|
*** |
|
|
1,208 |
|
|
|
Clarcor Inc |
|
|
|
*** |
|
|
1,733 |
|
|
|
Diodes Inc |
|
|
|
*** |
|
|
971 |
|
|
|
Dupont Fabros Technology |
|
|
|
*** |
|
|
894 |
|
|
|
Education Realty Trust Inc |
|
|
|
*** |
|
|
1,236 |
|
|
|
El Paso Electric Co |
|
|
|
*** |
|
|
1,134 |
|
|
|
Enpro Industries Inc |
|
|
|
*** |
|
|
1,257 |
|
|
|
Esco Technologies Inc |
|
|
|
*** |
|
|
1,666 |
|
|
|
FNB Corp |
|
|
|
*** |
|
|
998 |
|
|
|
FTD Cos Inc |
|
|
|
*** |
|
|
860 |
|
|
|
First Industrial Realty |
|
|
|
*** |
|
|
957 |
|
|
|
First Midwest Bancorp Inc |
|
|
|
*** |
|
|
1,048 |
|
|
|
G + K Services Inc |
|
|
|
*** |
|
|
1,380 |
|
|
|
Gatx Gorp |
|
|
|
*** |
|
|
1,328 |
|
|
|
Generac Holdings Inc |
|
|
|
*** |
|
|
1,611 |
|
|
|
Greatbatch Inc |
|
|
|
*** |
|
|
1,172 |
|
|
|
Gulfmark Offshore Inc |
|
|
|
*** |
|
|
1,031 |
|
|
|
Haemonetics Corp |
|
|
|
*** |
|
|
1,265 |
|
|
|
Harsco Corp |
|
|
|
*** |
|
|
1,111 |
|
|
|
Healthcare Realty Trust Inc |
|
|
|
*** |
|
|
1,487 |
|
|
|
Innophos Holdings Inc |
|
|
|
*** |
|
|
1,280 |
|
|
|
Key Energy Services Inc |
|
|
|
*** |
|
|
229 |
|
|
|
Kite Realty Group |
|
|
|
*** |
|
|
1,219 |
|
|
|
Knoll Inc |
|
|
|
*** |
|
|
1,248 |
|
|
|
Knight Transportation Inc |
|
|
|
*** |
|
|
1,827 |
|
|
|
Koppers Holdings Inc |
|
|
|
*** |
|
|
740 |
|
|
|
LegacyTexas Financial Group |
|
|
|
*** |
|
|
962 |
|
|
|
Matthews Intl Corp |
|
|
|
*** |
|
|
904 |
|
|
|
Mid America Apartment |
|
|
|
*** |
|
|
956 |
|
|
|
Minerals Technologies Inc |
|
|
|
*** |
|
|
906 |
|
|
|
Northwestern Corp |
|
|
|
*** |
|
|
1,260 |
|
|
|
PS Business Park Inc |
|
|
|
*** |
|
|
1,133 |
|
|
|
Pacwest Bancorp |
|
|
|
*** |
|
|
1,291 |
|
|
|
Pinnacle Financial Partners |
|
|
|
*** |
|
|
1,196 |
|
|
|
Plexus Corp |
|
|
|
*** |
|
|
1,531 |
|
|
|
Progress Software Corp |
|
|
|
*** |
|
|
996 |
|
|
|
Rush Enterprises Inc |
|
|
|
*** |
|
|
845 |
|
|
|
Selective Insurance Group |
|
|
|
*** |
|
|
1,452 |
|
|
|
Silicon Graphics |
|
|
|
*** |
|
|
1,320 |
|
|
|
Synders Lance Inc |
|
|
|
*** |
|
|
2,013 |
|
|
|
South State Corp |
|
|
|
*** |
|
|
1,154 |
|
|
|
Stage Stores Inc |
|
|
|
*** |
|
|
1,215 |
|
|
|
Sykes Enterprises Inc |
|
|
|
*** |
|
|
1,162 |
|
|
|
Treehouse Foods Inc |
|
|
|
*** |
|
|
1,559 |
|
|
|
Trueblue Inc |
|
|
|
*** |
|
|
820 |
|
|
|
UMB Financial Corp |
|
|
|
*** |
|
|
1,079 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-35
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity date,
rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Umpqua Holdings Corp |
|
|
|
*** |
|
$ |
1,123 |
|
|
|
United Community Banks |
|
|
|
*** |
|
|
870 |
|
|
|
United Bankshares Inc |
|
|
|
*** |
|
|
1,070 |
|
|
|
United Stationers Inc |
|
|
|
*** |
|
|
742 |
|
|
|
West Pharmaceuticals Services |
|
|
|
*** |
|
|
1,346 |
|
|
|
Wolverine World Wide Inc |
|
|
|
*** |
|
|
1,216 |
|
|
|
Zebra Technologies Corp |
|
|
|
*** |
|
|
1,552 |
|
|
|
Argo Group International |
|
|
|
*** |
|
|
1,660 |
|
|
|
Fabrinet |
|
|
|
*** |
|
|
1,207 |
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
*** |
|
|
313 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Chartwell Investment Partners Small Cap Value Fund |
|
|
84,905 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Lee Munder |
|
LMCG Investments Mid Cap Value Fund |
|
|
|
|
|
|
|
|
Equity Securities |
|
|
|
|
|
|
|
|
|
|
AGL Resources Inc |
|
|
|
*** |
|
|
1,788 |
|
|
|
Air Products & Chemicals Inc |
|
|
|
*** |
|
|
1,580 |
|
|
|
Albemarle Crop |
|
|
|
*** |
|
|
1,819 |
|
|
|
Alexandria Real Estate |
|
|
|
*** |
|
|
2,204 |
|
|
|
Allegheny Technologies Inc |
|
|
|
*** |
|
|
2,094 |
|
|
|
Allstate Corp |
|
|
|
*** |
|
|
1,325 |
|
|
|
American Campus Communities |
|
|
|
*** |
|
|
2,104 |
|
|
|
American Eagle Outfitters |
|
|
|
*** |
|
|
1,378 |
|
|
|
Ameriprise Financial Inc |
|
|
|
*** |
|
|
1,708 |
|
|
|
Bed Bath & Beyond Inc |
|
|
|
*** |
|
|
1,590 |
|
|
|
Bemis Company |
|
|
|
*** |
|
|
1,293 |
|
|
|
Brixmor Property Group |
|
|
|
*** |
|
|
1,900 |
|
|
|
Cabela S Inc |
|
|
|
*** |
|
|
1,956 |
|
|
|
Cadence Design Sys Inc |
|
|
|
*** |
|
|
2,157 |
|
|
|
Carefusion Corp |
|
|
|
*** |
|
|
1,722 |
|
|
|
Charles River Laboratories |
|
|
|
*** |
|
|
1,701 |
|
|
|
Cintas Corp |
|
|
|
*** |
|
|
1,602 |
|
|
|
Citrix Systems Inc |
|
|
|
*** |
|
|
1,957 |
|
|
|
Clean Harbors Inc |
|
|
|
*** |
|
|
1,405 |
|
|
|
Coca Cola Enterprises |
|
|
|
*** |
|
|
1,547 |
|
|
|
Cooper Cos Inc |
|
|
|
*** |
|
|
1,999 |
|
|
|
Darling Ingredients Inc |
|
|
|
*** |
|
|
1,729 |
|
|
|
Dentsply International Inc |
|
|
|
*** |
|
|
901 |
|
|
|
Diebold Inc |
|
|
|
*** |
|
|
1,518 |
|
|
|
Dollar General Corp |
|
|
|
*** |
|
|
1,318 |
|
|
|
Dover Corp |
|
|
|
*** |
|
|
1,639 |
|
|
|
EQT Corp |
|
|
|
*** |
|
|
1,468 |
|
|
|
Edison International |
|
|
|
*** |
|
|
1,703 |
|
|
|
FMC Corp |
|
|
|
*** |
|
|
1,590 |
|
|
|
Fidelity National Information |
|
|
|
*** |
|
|
2,223 |
|
|
|
Fifth Thrid Bancorp |
|
|
|
*** |
|
|
2,093 |
|
|
|
Fluor Corp |
|
|
|
*** |
|
|
1,317 |
|
|
|
Great Plains Energy Inc |
|
|
|
*** |
|
|
1,987 |
|
|
|
Americourcebergen Corp |
|
|
|
*** |
|
|
1,154 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included |
F-36
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor,
or similar party |
|
(c) Description of investment including maturity
date, rate of interest, collateral, par or maturity value |
|
(d) Cost |
|
(e) Current
Value |
|
|
|
Hancock Holding Co |
|
|
|
*** |
|
$ |
1,247 |
|
|
|
Hanover Insurance Group Inc |
|
|
|
*** |
|
|
1,840 |
|
|
|
Harley Davidson Inc |
|
|
|
*** |
|
|
1,231 |
|
|
|
Hasbro Inc |
|
|
|
*** |
|
|
1,445 |
|
|
|
Host Hotels & Resorts Inc |
|
|
|
*** |
|
|
1,950 |
|
|
|
IAC/Interactive Corp |
|
|
|
*** |
|
|
1,554 |
|
|
|
Ingredion Inc |
|
|
|
*** |
|
|
1,039 |
|
|
|
Interpublic Group of Cos Inc |
|
|
|
*** |
|
|
1215 |
|
|
|
Investors Bancorp Inc |
|
|
|
*** |
|
|
1,703 |
|
|
|
Ishares Russell |
|
|
|
*** |
|
|
2,411 |
|
|
|
Juniper Networks Inc |
|
|
|
*** |
|
|
1,253 |
|
|
|
Kar Auction Services Inc |
|
|
|
*** |
|
|
1,908 |
|
|
|
Kroger Co |
|
|
|
*** |
|
|
2,141 |
|
|
|
Micropchip Technology Inc |
|
|
|
*** |
|
|
1,970 |
|
|
|
Molson Coors Brewing Co |
|
|
|
*** |
|
|
1,829 |
|
|
|
Newfield Exploration Co |
|
|
|
*** |
|
|
808 |
|
|
|
Oasis Petroleum Inc |
|
|
|
*** |
|
|
547 |
|
|
|
Parker Hannifin Corp |
|
|
|
*** |
|
|
1,519 |
|
|
|
Patterson Cos Inc |
|
|
|
*** |
|
|
2,189 |
|
|
|
Petsmart Inc |
|
|
|
*** |
|
|
1,187 |
|
|
|
Pioneer Natural Resources Co |
|
|
|
*** |
|
|
1,377 |
|
|
|
Portland General Electric Co |
|
|
|
*** |
|
|
2,118 |
|
|
|
Quest Diagnostics Inc |
|
|
|
*** |
|
|
1,843 |
|
|
|
Range Resources Corp |
|
|
|
*** |
|
|
373 |
|
|
|
Regal Beloit Corp |
|
|
|
*** |
|
|
1,633 |
|
|
|
Reinsurance Group of America |
|
|
|
*** |
|
|
1,330 |
|
|
|
Sally Beauty Holdings Inc |
|
|
|
*** |
|
|
1,892 |
|
|
|
Scana Corp |
|
|
|
*** |
|
|
1,737 |
|
|
|
Silgan Holdings Inc |
|
|
|
*** |
|
|
1,294 |
|
|
|
JM Smucker Co |
|
|
|
*** |
|
|
2,147 |
|
|
|
Solera Holdings Inc |
|
|
|
*** |
|
|
1,938 |
|
|
|
Spectra Energy Corp |
|
|
|
*** |
|
|
1,109 |
|
|
|
Stanley Black & Decker Inc |
|
|
|
*** |
|
|
2,094 |
|
|
|
Suntrust Banks Inc |
|
|
|
*** |
|
|
1,898 |
|
|
|
Synopsys Inc |
|
|
|
*** |
|
|
2,305 |
|
|
|
Sysco Corp |
|
|
|
*** |
|
|
1,325 |
|
|
|
TCF Financial Corp |
|
|
|
*** |
|
|
1,614 |
|
|
|
Unum Group |
|
|
|
*** |
|
|
1,947 |
|
|
|
Xcel Energy Inc |
|
|
|
*** |
|
|
2,166 |
|
|
|
Xylem Inc |
|
|
|
*** |
|
|
1,129 |
|
|
|
Zions Bancorporation |
|
|
|
*** |
|
|
1,457 |
|
|
|
Endurance Specialty |
|
|
|
*** |
|
|
1,306 |
|
|
|
Pentair PLC |
|
|
|
*** |
|
|
635 |
|
|
|
Willis Group Holdings PLC |
|
|
|
*** |
|
|
1,280 |
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
*** |
|
|
317 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal LMCG Investments Mid Cap Value |
|
|
126,719 |
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-37
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest, collateral,
par or maturity value |
|
|
(d) Cost |
|
(e) Current
value |
|
|
|
|
|
|
Total Seperately managed accounts |
|
|
|
|
$ |
445,054 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Stable Value Fund |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BNY Mellon |
|
|
Stable Value Fund, including the following contracts: |
|
|
|
|
|
|
|
|
Transamerica Premier Life |
|
|
Stable Value Contract
#MDA1097TR, 2.79%** |
|
|
*** |
|
|
237,933 |
|
|
|
|
|
|
|
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
US Long Bond |
|
|
0.000 |
% |
|
|
03/20/15 |
|
|
|
800,000 |
|
|
*** |
|
|
1,156 |
|
|
|
ABN Amro Bank |
|
|
1.375 |
% |
|
|
01/22/16 |
|
|
|
600,000 |
|
|
*** |
|
|
602 |
|
|
|
AT&T Inc |
|
|
2.625 |
% |
|
|
02/01/22 |
|
|
|
645,000 |
|
|
*** |
|
|
614 |
|
|
|
Abbvie Inc |
|
|
1.750 |
% |
|
|
11/06/17 |
|
|
|
359,000 |
|
|
*** |
|
|
360 |
|
|
|
Ace INA Holdings |
|
|
2.700 |
% |
|
|
03/13/23 |
|
|
|
725,000 |
|
|
*** |
|
|
704 |
|
|
|
Xerox Business Services |
|
|
5.200 |
% |
|
|
06/01/15 |
|
|
|
235,000 |
|
|
*** |
|
|
239 |
|
|
|
Ally Auto Receivables Trust |
|
|
2.230 |
% |
|
|
03/15/16 |
|
|
|
17,753 |
|
|
*** |
|
|
18 |
|
|
|
Ally Auto Receivables Trust |
|
|
0.930 |
% |
|
|
02/16/16 |
|
|
|
3,409 |
|
|
*** |
|
|
3 |
|
|
|
Altria Group Inc |
|
|
2.950 |
% |
|
|
05/02/23 |
|
|
|
745,000 |
|
|
*** |
|
|
720 |
|
|
|
American Express Co |
|
|
6.150 |
% |
|
|
08/28/17 |
|
|
|
101,000 |
|
|
*** |
|
|
113 |
|
|
|
American Express Credit |
|
|
2.375 |
% |
|
|
03/24/17 |
|
|
|
434,000 |
|
|
*** |
|
|
444 |
|
|
|
American Express Credit |
|
|
0.743 |
% |
|
|
07/29/16 |
|
|
|
500,000 |
|
|
*** |
|
|
502 |
|
|
|
American Express Credit |
|
|
2.125 |
% |
|
|
03/18/19 |
|
|
|
630,000 |
|
|
*** |
|
|
629 |
|
|
|
American Intl Group |
|
|
5.850 |
% |
|
|
01/16/18 |
|
|
|
850,000 |
|
|
*** |
|
|
950 |
|
|
|
Anadarko Petroleum Corp |
|
|
3.450 |
% |
|
|
07/15/24 |
|
|
|
790,000 |
|
|
*** |
|
|
771 |
|
|
|
Anheuser Busch |
|
|
1.250 |
% |
|
|
01/17/18 |
|
|
|
520,000 |
|
|
*** |
|
|
515 |
|
|
|
Apple Inc |
|
|
2.400 |
% |
|
|
05/03/23 |
|
|
|
685,000 |
|
|
*** |
|
|
666 |
|
|
|
Assurant Inc |
|
|
2.500 |
% |
|
|
03/15/18 |
|
|
|
570,000 |
|
|
*** |
|
|
576 |
|
|
|
Aventura Mall Trust |
|
|
3.743 |
% |
|
|
12/05/32 |
|
|
|
400,000 |
|
|
*** |
|
|
425 |
|
|
|
BB+T Corporation |
|
|
2.450 |
% |
|
|
01/15/20 |
|
|
|
600,000 |
|
|
*** |
|
|
598 |
|
|
|
BP Capital Markets PLC Co |
|
|
3.814 |
% |
|
|
02/10/24 |
|
|
|
655,000 |
|
|
*** |
|
|
659 |
|
|
|
Burlington NO |
|
|
3.743 |
% |
|
|
01/15/23 |
|
|
|
385,174 |
|
|
*** |
|
|
420 |
|
|
|
Bank of America |
|
|
6.000 |
% |
|
|
06/15/16 |
|
|
|
350,000 |
|
|
*** |
|
|
372 |
|
|
|
Bank of America Corp |
|
|
3.300 |
% |
|
|
01/11/23 |
|
|
|
750,000 |
|
|
*** |
|
|
750 |
|
|
|
Bank of America Corp |
|
|
2.650 |
% |
|
|
04/01/19 |
|
|
|
500,000 |
|
|
*** |
|
|
504 |
|
|
|
Bank of America Corp |
|
|
4.200 |
% |
|
|
08/26/24 |
|
|
|
1,000,000 |
|
|
*** |
|
|
1,019 |
|
|
|
Bank of Montreal |
|
|
1.400 |
% |
|
|
09/11/17 |
|
|
|
500,000 |
|
|
*** |
|
|
500 |
|
|
|
Bank of New York Mellon |
|
|
3.250 |
% |
|
|
09/11/24 |
|
|
|
885,000 |
|
|
*** |
|
|
885 |
|
|
|
Barclays Bank PLC |
|
|
5.140 |
% |
|
|
10/14/20 |
|
|
|
500,000 |
|
|
*** |
|
|
538 |
|
|
|
Bayer US Finance LLC |
|
|
2.375 |
% |
|
|
10/08/19 |
|
|
|
545,000 |
|
|
*** |
|
|
547 |
|
|
|
Bayer US Finance LLC |
|
|
3.375 |
% |
|
|
10/08/24 |
|
|
|
820,000 |
|
|
*** |
|
|
835 |
|
|
|
Branch Banking & Trust |
|
|
2.850 |
% |
|
|
04/01/21 |
|
|
|
510,000 |
|
|
*** |
|
|
513 |
|
|
|
Berkshire Hathaway Inc |
|
|
1.550 |
% |
|
|
02/09/18 |
|
|
|
630,000 |
|
|
*** |
|
|
630 |
|
|
|
British Columbia |
|
|
2.650 |
% |
|
|
09/22/21 |
|
|
|
330,000 |
|
|
*** |
|
|
340 |
|
|
|
Burlington North |
|
|
3.050 |
% |
|
|
09/01/22 |
|
|
|
266,000 |
|
|
*** |
|
|
268 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
| (aa) |
See F-47 for definition. |
F-38
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest,
collateral, par or maturity
value |
|
|
(d) Cost |
|
(e)
Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
Burlingtn North Santa Fe |
|
|
3.400 |
% |
|
|
09/01/24 |
|
|
|
480,000 |
|
|
*** |
|
$ |
489 |
|
|
|
Cd Commercial Mortgage Trust |
|
|
5.886 |
% |
|
|
11/15/44 |
|
|
|
322,127 |
|
|
*** |
|
|
351 |
|
|
|
Cigna Corp |
|
|
4.500 |
% |
|
|
03/15/21 |
|
|
|
300,000 |
|
|
*** |
|
|
328 |
|
|
|
Cigna Corp |
|
|
4.000 |
% |
|
|
02/15/22 |
|
|
|
290,000 |
|
|
*** |
|
|
306 |
|
|
|
Comm Mortgage Trust |
|
|
1.873 |
% |
|
|
04/12/35 |
|
|
|
102,458 |
|
|
*** |
|
|
100 |
|
|
|
Comm Mortgage Trust |
|
|
3.012 |
% |
|
|
05/10/47 |
|
|
|
575,000 |
|
|
*** |
|
|
595 |
|
|
|
CVS Caremark Corp |
|
|
5.750 |
% |
|
|
06/01/17 |
|
|
|
140,000 |
|
|
*** |
|
|
155 |
|
|
|
CVS Caremark Corp |
|
|
2.250 |
% |
|
|
12/05/18 |
|
|
|
319,000 |
|
|
*** |
|
|
322 |
|
|
|
Canadian Pacific Rr Co |
|
|
7.250 |
% |
|
|
05/15/19 |
|
|
|
250,000 |
|
|
*** |
|
|
299 |
|
|
|
Capital One Financial Co |
|
|
1.000 |
% |
|
|
11/06/15 |
|
|
|
474,000 |
|
|
*** |
|
|
474 |
|
|
|
Capital One Financial Co |
|
|
2.450 |
% |
|
|
04/24/19 |
|
|
|
635,000 |
|
|
*** |
|
|
634 |
|
|
|
Duke Energy Progress Inc |
|
|
2.800 |
% |
|
|
05/15/22 |
|
|
|
240,000 |
|
|
*** |
|
|
240 |
|
|
|
Caterpillar Financial Se |
|
|
2.650 |
% |
|
|
01/06/00 |
|
|
|
465,000 |
|
|
*** |
|
|
476 |
|
|
|
Caterpillar Financial Se |
|
|
2.750 |
% |
|
|
08/20/21 |
|
|
|
335,000 |
|
|
*** |
|
|
338 |
|
|
|
Catholic Health |
|
|
2.950 |
% |
|
|
11/01/22 |
|
|
|
370,000 |
|
|
*** |
|
|
363 |
|
|
|
CD Commerical Mortgage Trust |
|
|
5.617 |
% |
|
|
10/15/48 |
|
|
|
355,203 |
|
|
*** |
|
|
373 |
|
|
|
Celgene Corp |
|
|
1.900 |
% |
|
|
08/15/17 |
|
|
|
175,000 |
|
|
*** |
|
|
176 |
|
|
|
Centerpoint Ener Transition |
|
|
2.161 |
% |
|
|
10/15/21 |
|
|
|
190,000 |
|
|
*** |
|
|
191 |
|
|
|
Chase Issuance Trust |
|
|
1.580 |
% |
|
|
08/16/21 |
|
|
|
467,000 |
|
|
*** |
|
|
457 |
|
|
|
Chevron Corp |
|
|
2.355 |
% |
|
|
12/05/22 |
|
|
|
640,000 |
|
|
*** |
|
|
621 |
|
|
|
Chevron Corp |
|
|
2.427 |
% |
|
|
06/24/20 |
|
|
|
280,000 |
|
|
*** |
|
|
281 |
|
|
|
Cisco Systems Inc |
|
|
2.125 |
% |
|
|
03/01/19 |
|
|
|
700,000 |
|
|
*** |
|
|
703 |
|
|
|
Citigroup Inc |
|
|
5.500 |
% |
|
|
02/15/17 |
|
|
|
500,000 |
|
|
*** |
|
|
537 |
|
|
|
Citigroup Inc |
|
|
2.550 |
% |
|
|
04/08/19 |
|
|
|
500,000 |
|
|
*** |
|
|
503 |
|
|
|
Citigroup Inc |
|
|
2.500 |
% |
|
|
07/29/19 |
|
|
|
650,000 |
|
|
*** |
|
|
651 |
|
|
|
Citibank Credit Card Issuance |
|
|
5.350 |
% |
|
|
02/07/20 |
|
|
|
500,000 |
|
|
*** |
|
|
556 |
|
|
|
Citigroup Commercial Mortgage |
|
|
5.771 |
% |
|
|
03/15/49 |
|
|
|
275,000 |
|
|
*** |
|
|
290 |
|
|
|
Comerica Inc |
|
|
3.000 |
% |
|
|
09/16/15 |
|
|
|
232,000 |
|
|
*** |
|
|
235 |
|
|
|
GCCFC Commericial Mortgage Trust |
|
|
5.819 |
% |
|
|
07/10/38 |
|
|
|
476,704 |
|
|
*** |
|
|
498 |
|
|
|
Commonwealth Edison |
|
|
1.950 |
% |
|
|
09/01/16 |
|
|
|
608,000 |
|
|
*** |
|
|
618 |
|
|
|
Connecticut Light + Pwr |
|
|
5.000 |
% |
|
|
04/01/15 |
|
|
|
825,000 |
|
|
*** |
|
|
834 |
|
|
|
Consumers Energy Company |
|
|
5.150 |
% |
|
|
02/15/17 |
|
|
|
220,000 |
|
|
*** |
|
|
238 |
|
|
|
Rabobank Nederland |
|
|
2.250 |
% |
|
|
01/14/19 |
|
|
|
355,000 |
|
|
*** |
|
|
358 |
|
|
|
Dbubs Mortgage Trust |
|
|
3.642 |
% |
|
|
08/10/44 |
|
|
|
300,000 |
|
|
*** |
|
|
310 |
|
|
|
Delta Air Lines |
|
|
4.950 |
% |
|
|
11/23/20 |
|
|
|
328,283 |
|
|
*** |
|
|
351 |
|
|
|
DirecTV |
|
|
4.600 |
% |
|
|
02/15/21 |
|
|
|
250,000 |
|
|
*** |
|
|
268 |
|
|
|
Discover Bank |
|
|
2.000 |
% |
|
|
02/21/18 |
|
|
|
875,000 |
|
|
*** |
|
|
873 |
|
|
|
Discover Card |
|
|
1.390 |
% |
|
|
04/15/20 |
|
|
|
965,000 |
|
|
*** |
|
|
963 |
|
|
|
Walt Disney Company |
|
|
2.350 |
% |
|
|
12/01/22 |
|
|
|
650,000 |
|
|
*** |
|
|
637 |
|
|
|
Dominion Resources Inc |
|
|
2.557 |
% |
|
|
09/30/66 |
|
|
|
755,000 |
|
|
*** |
|
|
710 |
|
|
|
Eaton Corp Company |
|
|
1.500 |
% |
|
|
11/02/17 |
|
|
|
565,000 |
|
|
*** |
|
|
562 |
|
|
|
Energy Transfer Partners |
|
|
5.200 |
% |
|
|
02/01/22 |
|
|
|
525,000 |
|
|
*** |
|
|
562 |
|
|
|
Enterprise Products |
|
|
1.250 |
% |
|
|
08/13/15 |
|
|
|
466,000 |
|
|
*** |
|
|
467 |
|
|
|
Fanniemae Aces |
|
|
3.346 |
% |
|
|
03/25/24 |
|
|
|
870,000 |
|
|
*** |
|
|
916 |
|
|
|
Fed Hm Ln Pc Pool G01629 |
|
|
6.000 |
% |
|
|
10/01/33 |
|
|
|
23,438 |
|
|
*** |
|
|
27 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included |
F-39
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest,
collateral,
par or maturity value |
|
|
(d) Cost |
|
(e)
Current
value |
|
| |
|
|
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
Fed Hm Ln Pc Pool G11657 |
|
|
4.500 |
% |
|
12/01/18 |
|
|
127,525 |
|
|
*** |
|
$ |
134 |
|
|
|
Fed Hm Ln Pc Pool A77952 |
|
|
5.000 |
% |
|
05/01/38 |
|
|
21,226 |
|
|
*** |
|
|
24 |
|
|
|
Fed Hm Ln Pc Pool G14174 |
|
|
5.000 |
% |
|
03/01/25 |
|
|
153,169 |
|
|
*** |
|
|
163 |
|
|
|
Fed Hm Ln Pc Pool J00617 |
|
|
5.500 |
% |
|
12/01/20 |
|
|
67,208 |
|
|
*** |
|
|
73 |
|
|
|
Fed Hm Ln Pc Pool J00921 |
|
|
5.000 |
% |
|
12/01/20 |
|
|
18,036 |
|
|
*** |
|
|
19 |
|
|
|
Fed Hm Ln Pc Pool J01060 |
|
|
5.000 |
% |
|
01/01/21 |
|
|
21,675 |
|
|
*** |
|
|
23 |
|
|
|
Fed Hm Ln Pc Pool J01201 |
|
|
5.000 |
% |
|
02/01/21 |
|
|
19,843 |
|
|
*** |
|
|
21 |
|
|
|
Fed Hm Ln Pc Pool C03506 |
|
|
6.000 |
% |
|
05/01/40 |
|
|
380,493 |
|
|
*** |
|
|
430 |
|
|
|
Fed Hm Ln Pc Pool A11544 |
|
|
5.500 |
% |
|
06/01/33 |
|
|
17,714 |
|
|
*** |
|
|
20 |
|
|
|
Fed Hm Ln Pc Pool A15942 |
|
|
6.000 |
% |
|
11/01/33 |
|
|
23,531 |
|
|
*** |
|
|
27 |
|
|
|
Fed Hm Ln Pc Pool B19557 |
|
|
5.500 |
% |
|
07/01/20 |
|
|
222,739 |
|
|
*** |
|
|
241 |
|
|
|
Fed Hm Ln Pc Pool A26586 |
|
|
6.000 |
% |
|
09/01/34 |
|
|
21,853 |
|
|
*** |
|
|
25 |
|
|
|
Fed Hm Ln Pc Pool Q02688 |
|
|
4.000 |
% |
|
08/01/41 |
|
|
228,115 |
|
|
*** |
|
|
246 |
|
|
|
Fed Hm Ln Pc Pool G11868 |
|
|
5.500 |
% |
|
07/01/20 |
|
|
70,038 |
|
|
*** |
|
|
74 |
|
|
|
Freddie Mac |
|
|
6.000 |
% |
|
03/15/17 |
|
|
120,216 |
|
|
*** |
|
|
126 |
|
|
|
FNMA Pool 253880 |
|
|
6.500 |
% |
|
07/01/16 |
|
|
15,682 |
|
|
*** |
|
|
16 |
|
|
|
FNMA Pool 357821 |
|
|
6.000 |
% |
|
05/01/35 |
|
|
409,641 |
|
|
*** |
|
|
468 |
|
|
|
Freddie Mac |
|
|
3.500 |
% |
|
11/15/25 |
|
|
805,000 |
|
|
*** |
|
|
856 |
|
|
|
Freddie Mac |
|
|
3.500 |
% |
|
12/15/25 |
|
|
1,956,857 |
|
|
*** |
|
|
2,085 |
|
|
|
Freddie Mac |
|
|
3.500 |
% |
|
12/15/25 |
|
|
2,348,143 |
|
|
*** |
|
|
2,497 |
|
|
|
FNMA Pool 532577 |
|
|
7.000 |
% |
|
07/01/15 |
|
|
3,225 |
|
|
*** |
|
|
3 |
|
|
|
FNMA Pool 535675 |
|
|
7.000 |
% |
|
01/01/16 |
|
|
9,905 |
|
|
*** |
|
|
10 |
|
|
|
FNMA Pool 535740 |
|
|
7.000 |
% |
|
12/01/15 |
|
|
1,871 |
|
|
*** |
|
|
2 |
|
|
|
FNMA Pool 555417 |
|
|
6.000 |
% |
|
05/01/33 |
|
|
79,176 |
|
|
*** |
|
|
91 |
|
|
|
FNMA Pool 555545 |
|
|
5.000 |
% |
|
06/01/18 |
|
|
70,246 |
|
|
*** |
|
|
74 |
|
|
|
FNMA Pool 555591 |
|
|
5.500 |
% |
|
07/01/33 |
|
|
93,527 |
|
|
*** |
|
|
105 |
|
|
|
FNMA Pool 574924 |
|
|
7.000 |
% |
|
04/01/16 |
|
|
3,860 |
|
|
*** |
|
|
4 |
|
|
|
FNMA Pool 611020 |
|
|
6.500 |
% |
|
01/01/17 |
|
|
10,110 |
|
|
*** |
|
|
10 |
|
|
|
FNMA Pool AJ5733 |
|
|
3.500 |
% |
|
12/01/41 |
|
|
2,627,695 |
|
|
*** |
|
|
2,752 |
|
|
|
FNMA Pool Al0194 |
|
|
4.000 |
% |
|
01/01/41 |
|
|
1,459,857 |
|
|
*** |
|
|
1,574 |
|
|
|
FNMA Pool AO1736 |
|
|
4.000 |
% |
|
05/01/42 |
|
|
3,487,294 |
|
|
*** |
|
|
3,736 |
|
|
|
FNMA Pool AO1802 |
|
|
4.500 |
% |
|
06/01/42 |
|
|
1,654,265 |
|
|
*** |
|
|
1,818 |
|
|
|
FNMA Pool AP0632 |
|
|
2.500 |
% |
|
07/01/27 |
|
|
777,900 |
|
|
*** |
|
|
794 |
|
|
|
FNMA Pool AR9436 |
|
|
4.000 |
% |
|
08/01/43 |
|
|
23,229 |
|
|
*** |
|
|
25 |
|
|
|
FNMA Pool AU1687 |
|
|
4.000 |
% |
|
08/01/43 |
|
|
2,349,903 |
|
|
*** |
|
|
2,511 |
|
|
|
FNMA Pool AV0694 |
|
|
4.500 |
% |
|
12/01/43 |
|
|
897,983 |
|
|
*** |
|
|
994 |
|
|
|
FNMA Pool 651377 |
|
|
6.000 |
% |
|
07/01/17 |
|
|
33,548 |
|
|
*** |
|
|
35 |
|
|
|
FNMA Pool 712104 |
|
|
5.000 |
% |
|
05/01/18 |
|
|
16,542 |
|
|
*** |
|
|
17 |
|
|
|
FNMA Pool 725704 |
|
|
6.000 |
% |
|
08/01/34 |
|
|
61,349 |
|
|
*** |
|
|
70 |
|
|
|
FNMA Pool 730716 |
|
|
6.000 |
% |
|
08/01/33 |
|
|
56,786 |
|
|
*** |
|
|
65 |
|
|
|
FNMA Pool 734059 |
|
|
5.500 |
% |
|
08/01/33 |
|
|
19,327 |
|
|
*** |
|
|
22 |
|
|
|
FNMA Pool 745932 |
|
|
6.500 |
% |
|
11/01/36 |
|
|
147,130 |
|
|
*** |
|
|
168 |
|
|
|
FNMA Pool 756154 |
|
|
6.000 |
% |
|
11/01/33 |
|
|
65,834 |
|
|
*** |
|
|
76 |
|
|
|
FNMA Pool 792191 |
|
|
5.500 |
% |
|
09/01/34 |
|
|
71,983 |
|
|
*** |
|
|
81 |
|
|
|
FNMA Pool 805176 |
|
|
5.500 |
% |
|
01/01/20 |
|
|
102,391 |
|
|
*** |
|
|
108 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-40
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest,
collateral, par or maturity value |
|
|
(d) Cost |
|
(e) Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
FNMA Pool 908560 |
|
|
5.500 |
% |
|
01/01/22 |
|
|
14,494 |
|
|
*** |
|
$ |
16 |
|
|
|
FNMA Pool 944026 |
|
|
6.500 |
% |
|
08/01/37 |
|
|
331,701 |
|
|
*** |
|
|
397 |
|
|
|
FNMA Pool AA4266 |
|
|
4.500 |
% |
|
05/01/24 |
|
|
55,465 |
|
|
*** |
|
|
60 |
|
|
|
FNMA Pool AB0536 |
|
|
6.000 |
% |
|
02/01/37 |
|
|
139,047 |
|
|
*** |
|
|
158 |
|
|
|
FNMA Pool AB3423 |
|
|
4.500 |
% |
|
08/01/41 |
|
|
3,242,099 |
|
|
*** |
|
|
3,522 |
|
|
|
FNMA Pool MA1543 |
|
|
3.500 |
% |
|
08/01/33 |
|
|
2,281,048 |
|
|
*** |
|
|
2,407 |
|
|
|
FNMA Pool 890528 |
|
|
5.500 |
% |
|
06/01/39 |
|
|
211,288 |
|
|
*** |
|
|
237 |
|
|
|
FNMA Pool 888022 |
|
|
5.000 |
% |
|
02/01/36 |
|
|
214,556 |
|
|
*** |
|
|
238 |
|
|
|
Fifth Third Bank |
|
|
2.875 |
% |
|
10/01/21 |
|
|
635,000 |
|
|
*** |
|
|
634 |
|
|
|
Fico Strip Prin |
|
|
0.010 |
% |
|
05/11/18 |
|
|
580,000 |
|
|
*** |
|
|
551 |
|
|
|
Ford Credit Auto Owner Trust |
|
|
1.000 |
% |
|
09/15/17 |
|
|
120,000 |
|
|
*** |
|
|
120 |
|
|
|
Ford Credit Auto Owner Trust |
|
|
2.260 |
% |
|
11/15/25 |
|
|
360,000 |
|
|
*** |
|
|
362 |
|
|
|
Ford Motor Credit Co Llc |
|
|
3.000 |
% |
|
06/12/17 |
|
|
702,000 |
|
|
*** |
|
|
720 |
|
|
|
Ford Motor Credit Co Llc |
|
|
4.250 |
% |
|
09/20/22 |
|
|
525,000 |
|
|
*** |
|
|
557 |
|
|
|
GNMA Pool 569327 |
|
|
6.500 |
% |
|
04/15/32 |
|
|
175,276 |
|
|
*** |
|
|
203 |
|
|
|
GNMA Pool 580880 |
|
|
6.500 |
% |
|
11/15/31 |
|
|
22,257 |
|
|
*** |
|
|
25 |
|
|
|
GNMA II Pool 003624 |
|
|
5.500 |
% |
|
10/20/34 |
|
|
84,863 |
|
|
*** |
|
|
96 |
|
|
|
GNMA II Pool 004599 |
|
|
5.000 |
% |
|
12/20/39 |
|
|
356,476 |
|
|
*** |
|
|
398 |
|
|
|
GNMA II Pool 004800 |
|
|
4.000 |
% |
|
09/20/40 |
|
|
728,925 |
|
|
*** |
|
|
784 |
|
|
|
GNMA II Pool 004833 |
|
|
4.000 |
% |
|
10/20/40 |
|
|
1,573,237 |
|
|
*** |
|
|
1,692 |
|
|
|
GNMA Pool 434787 |
|
|
8.000 |
% |
|
05/15/30 |
|
|
11,550 |
|
|
*** |
|
|
12 |
|
|
|
GNMA Pool 485856 |
|
|
6.500 |
% |
|
10/15/31 |
|
|
29,928 |
|
|
*** |
|
|
34 |
|
|
|
GNMA Pool 726316 |
|
|
5.000 |
% |
|
09/15/39 |
|
|
403,895 |
|
|
*** |
|
|
449 |
|
|
|
GNMA Pool 728974 |
|
|
5.000 |
% |
|
12/15/39 |
|
|
752,240 |
|
|
*** |
|
|
832 |
|
|
|
GNMA Pool 737651 |
|
|
5.000 |
% |
|
11/15/40 |
|
|
154,740 |
|
|
*** |
|
|
171 |
|
|
|
GNMA Pool 510403 |
|
|
5.000 |
% |
|
01/15/35 |
|
|
28,341 |
|
|
*** |
|
|
31 |
|
|
|
GNMA Pool 510844 |
|
|
8.000 |
% |
|
12/15/29 |
|
|
1,125 |
|
|
*** |
|
|
1 |
|
|
|
GNMA Pool 518044 |
|
|
8.000 |
% |
|
12/15/29 |
|
|
415 |
|
|
*** |
|
|
— |
|
|
|
GNMA Pool 526364 |
|
|
8.000 |
% |
|
07/15/30 |
|
|
4,436 |
|
|
*** |
|
|
4 |
|
|
|
GNMA Pool 533946 |
|
|
6.500 |
% |
|
04/15/32 |
|
|
8,257 |
|
|
*** |
|
|
10 |
|
|
|
GNMA Pool 550887 |
|
|
5.000 |
% |
|
08/15/35 |
|
|
35,803 |
|
|
*** |
|
|
40 |
|
|
|
GNMA Pool 551077 |
|
|
6.500 |
% |
|
11/15/31 |
|
|
13,100 |
|
|
*** |
|
|
15 |
|
|
|
GNMA Pool 551120 |
|
|
6.500 |
% |
|
08/15/31 |
|
|
64,470 |
|
|
*** |
|
|
76 |
|
|
|
GNMA Pool 552571 |
|
|
6.500 |
% |
|
05/15/32 |
|
|
20,402 |
|
|
*** |
|
|
23 |
|
|
|
GNMA Pool 271940 |
|
|
5.500 |
% |
|
08/15/18 |
|
|
101,896 |
|
|
*** |
|
|
108 |
|
|
|
GNMA Pool 781410 |
|
|
5.500 |
% |
|
03/15/17 |
|
|
66,237 |
|
|
*** |
|
|
70 |
|
|
|
GS Mortgage Securities Trust |
|
|
5.553 |
% |
|
04/10/38 |
|
|
550,000 |
|
|
*** |
|
|
564 |
|
|
|
GNMA Pool 622278 |
|
|
5.000 |
% |
|
04/15/35 |
|
|
27,455 |
|
|
*** |
|
|
30 |
|
|
|
GNMA Pool 631242 |
|
|
5.500 |
% |
|
06/15/35 |
|
|
134,893 |
|
|
*** |
|
|
152 |
|
|
|
GNMA Pool 641601 |
|
|
5.000 |
% |
|
03/15/35 |
|
|
46,402 |
|
|
*** |
|
|
51 |
|
|
|
GNMA Pool 646865 |
|
|
5.000 |
% |
|
08/15/35 |
|
|
20,451 |
|
|
*** |
|
|
23 |
|
|
|
GE Commercial Mortgage Corp |
|
|
0.000 |
% |
|
03/10/44 |
|
|
934,808,092 |
|
|
*** |
|
|
9 |
|
|
|
General Electric Co |
|
|
5.250 |
% |
|
12/06/17 |
|
|
390,000 |
|
|
*** |
|
|
433 |
|
|
|
Aust & NZ Banking |
|
|
1.875 |
% |
|
10/06/17 |
|
|
500,000 |
|
|
*** |
|
|
505 |
|
|
|
Monsanto Co |
|
|
3.375 |
% |
|
07/15/24 |
|
|
375,000 |
|
|
*** |
|
|
381 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-41
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest,
collateral, par or
maturity value |
|
|
(d) Cost |
|
(e) Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest rate |
|
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
General Electric Co |
|
|
3.375 |
% |
|
|
03/11/24 |
|
|
|
875,000 |
|
|
*** |
|
$ |
904 |
|
|
|
General Electric Cap Corp |
|
|
4.375 |
% |
|
|
09/16/20 |
|
|
|
372,000 |
|
|
*** |
|
|
407 |
|
|
|
General Electric Cap Corp |
|
|
2.900 |
% |
|
|
01/09/17 |
|
|
|
500,000 |
|
|
*** |
|
|
517 |
|
|
|
General Electric Cap Corp |
|
|
3.100 |
% |
|
|
01/09/23 |
|
|
|
1,250,000 |
|
|
*** |
|
|
1,266 |
|
|
|
General Electric Cap Corp |
|
|
0.880 |
% |
|
|
07/12/16 |
|
|
|
570,000 |
|
|
*** |
|
|
574 |
|
|
|
Gilead Sciences Inc |
|
|
3.700 |
% |
|
|
04/01/24 |
|
|
|
550,000 |
|
|
*** |
|
|
577 |
|
|
|
Glaxosmithkline Cap Inc |
|
|
2.800 |
% |
|
|
03/18/23 |
|
|
|
470,000 |
|
|
*** |
|
|
464 |
|
|
|
Glencore Funding LLC |
|
|
1.396 |
% |
|
|
05/27/16 |
|
|
|
900,000 |
|
|
*** |
|
|
904 |
|
|
|
Goldman Sachs Group Inc |
|
|
2.375 |
% |
|
|
01/22/18 |
|
|
|
840,000 |
|
|
*** |
|
|
848 |
|
|
|
Goldman Sachs Group Inc |
|
|
4.000 |
% |
|
|
03/03/24 |
|
|
|
560,000 |
|
|
*** |
|
|
581 |
|
|
|
Government National Mortgage |
|
|
3.500 |
% |
|
|
07/20/23 |
|
|
|
421,784 |
|
|
*** |
|
|
448 |
|
|
|
Government National Mortgage |
|
|
5.000 |
% |
|
|
08/20/39 |
|
|
|
150,949 |
|
|
*** |
|
|
162 |
|
|
|
Government STIF 18 |
|
|
0.012 |
% |
|
|
12/31/30 |
|
|
|
7,176,073 |
|
|
*** |
|
|
7,176 |
|
|
|
Great River Energy 1st Mortgage |
|
|
5.829 |
% |
|
|
07/01/17 |
|
|
|
311,294 |
|
|
*** |
|
|
331 |
|
|
|
Conseco Financial Corp |
|
|
7.050 |
% |
|
|
01/15/19 |
|
|
|
10,343 |
|
|
*** |
|
|
11 |
|
|
|
HCP Inc |
|
|
3.750 |
% |
|
|
02/01/16 |
|
|
|
379,000 |
|
|
*** |
|
|
390 |
|
|
|
HSBC Bank USA |
|
|
1.625 |
% |
|
|
01/16/18 |
|
|
|
660,000 |
|
|
*** |
|
|
657 |
|
|
|
HSBC Bank USA |
|
|
4.875 |
% |
|
|
08/24/20 |
|
|
|
570,000 |
|
|
*** |
|
|
629 |
|
|
|
Health Care Reit |
|
|
4.950 |
% |
|
|
01/15/21 |
|
|
|
296,000 |
|
|
*** |
|
|
325 |
|
|
|
Canada Government |
|
|
0.875 |
% |
|
|
02/14/17 |
|
|
|
543,000 |
|
|
*** |
|
|
543 |
|
|
|
Howard Hughes Medical In |
|
|
3.500 |
% |
|
|
09/01/23 |
|
|
|
345,000 |
|
|
*** |
|
|
361 |
|
|
|
Husky Energy Inc |
|
|
4.000 |
% |
|
|
04/15/24 |
|
|
|
390,000 |
|
|
*** |
|
|
383 |
|
|
|
Hydro Quebec |
|
|
1.375 |
% |
|
|
06/19/17 |
|
|
|
476,000 |
|
|
*** |
|
|
479 |
|
|
|
Hyundai Auto Recevables Trust |
|
|
1.650 |
% |
|
|
02/15/17 |
|
|
|
63,770 |
|
|
*** |
|
|
64 |
|
|
|
Hyundai Capital America |
|
|
2.125 |
% |
|
|
10/02/17 |
|
|
|
596,000 |
|
|
*** |
|
|
599 |
|
|
|
Incitec Pivot Ltd Company |
|
|
4.000 |
% |
|
|
12/07/15 |
|
|
|
500,000 |
|
|
*** |
|
|
511 |
|
|
|
IBM Corp |
|
|
0.750 |
% |
|
|
05/11/15 |
|
|
|
500,000 |
|
|
*** |
|
|
501 |
|
|
|
JP Morgan Chase |
|
|
4.400 |
% |
|
|
07/22/20 |
|
|
|
315,000 |
|
|
*** |
|
|
341 |
|
|
|
JP Morgan Chase |
|
|
4.350 |
% |
|
|
08/15/21 |
|
|
|
1,250,000 |
|
|
*** |
|
|
1,358 |
|
|
|
JP Morgan Chase |
|
|
3.250 |
% |
|
|
09/23/22 |
|
|
|
290,000 |
|
|
*** |
|
|
292 |
|
|
|
JP Morgan Chase Commercial |
|
|
3.364 |
% |
|
|
11/13/44 |
|
|
|
160,000 |
|
|
*** |
|
|
166 |
|
|
|
JPMBB Commercial |
|
|
3.046 |
% |
|
|
04/15/47 |
|
|
|
480,000 |
|
|
|
|
|
497 |
|
|
|
Kaiser Foundation Hospit Company |
|
|
3.500 |
% |
|
|
04/01/22 |
|
|
|
431,000 |
|
|
*** |
|
|
445 |
|
|
|
Kansas Gas + Electric Co |
|
|
6.700 |
% |
|
|
06/15/19 |
|
|
|
147,000 |
|
|
*** |
|
|
174 |
|
|
|
Key Bank |
|
|
1.650 |
% |
|
|
02/01/18 |
|
|
|
330,000 |
|
|
*** |
|
|
329 |
|
|
|
Kroger Co |
|
|
4.950 |
% |
|
|
01/15/15 |
|
|
|
237,000 |
|
|
*** |
|
|
237 |
|
|
|
Kroger Co |
|
|
4.950 |
% |
|
|
11/01/21 |
|
|
|
237,000 |
|
|
*** |
|
|
149 |
|
|
|
Ladder Capital |
|
|
3.388 |
% |
|
|
05/15/31 |
|
|
|
580,000 |
|
|
*** |
|
|
597 |
|
|
|
LG&E and KU Energy LLC |
|
|
2.125 |
% |
|
|
11/15/15 |
|
|
|
610,000 |
|
|
*** |
|
|
615 |
|
|
|
Liberty Mutual Group Inc |
|
|
5.000 |
% |
|
|
06/01/21 |
|
|
|
400,000 |
|
|
*** |
|
|
436 |
|
|
|
Lloyds Bank Plc |
|
|
5.800 |
% |
|
|
01/13/20 |
|
|
|
490,000 |
|
|
*** |
|
|
566 |
|
|
|
Lockheed Martin Corp |
|
|
2.125 |
% |
|
|
09/15/16 |
|
|
|
215,000 |
|
|
*** |
|
|
219 |
|
|
|
Loews Corp |
|
|
2.625 |
% |
|
|
05/15/23 |
|
|
|
280,000 |
|
|
*** |
|
|
265 |
|
|
|
Manuf & Traders Trust |
|
|
1.250 |
% |
|
|
01/30/17 |
|
|
|
1,050,000 |
|
|
*** |
|
|
1,048 |
|
|
|
Ml Cfc Commercial Mortgage |
|
|
5.172 |
% |
|
|
12/12/49 |
|
|
|
382,905 |
|
|
*** |
|
|
405 |
|
|
|
Mckesson Corp |
|
|
2.700 |
% |
|
|
12/15/22 |
|
|
|
145,000 |
|
|
*** |
|
|
139 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-42
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest, collateral,
par or maturity
value |
|
|
(d) Cost |
|
(e)
Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
Mckesson Corp |
|
|
3.796 |
% |
|
|
03/15/24 |
|
|
|
795,000 |
|
|
*** |
|
$ |
817 |
|
|
|
Medco Health Solutions Company |
|
|
4.125 |
% |
|
|
09/15/20 |
|
|
|
332,000 |
|
|
*** |
|
|
353 |
|
|
|
Medtronic Inc |
|
|
3.150 |
% |
|
|
03/15/22 |
|
|
|
565,000 |
|
|
*** |
|
|
572 |
|
|
|
Mellon Funding Corp Company |
|
|
5.500 |
% |
|
|
11/15/18 |
|
|
|
460,000 |
|
|
*** |
|
|
518 |
|
|
|
Morgan Stanley |
|
|
2.916 |
% |
|
|
02/15/47 |
|
|
|
460,000 |
|
|
*** |
|
|
474 |
|
|
|
Morgan Stanley |
|
|
2.125 |
% |
|
|
04/28/18 |
|
|
|
1,235,000 |
|
|
*** |
|
|
1,236 |
|
|
|
Morgan Stanley Captial I Trust |
|
|
5.042 |
% |
|
|
08/13/42 |
|
|
|
465,000 |
|
|
*** |
|
|
472 |
|
|
|
Morgan Stanley |
|
|
5.625 |
% |
|
|
09/23/19 |
|
|
|
250,000 |
|
|
*** |
|
|
282 |
|
|
|
Morgan Stanley Captial I Trust |
|
|
5.592 |
% |
|
|
04/12/49 |
|
|
|
178,866 |
|
|
*** |
|
|
180 |
|
|
|
Morgan Stanley |
|
|
1.875 |
% |
|
|
01/05/18 |
|
|
|
375,000 |
|
|
*** |
|
|
374 |
|
|
|
Murray St Inv Trust I Company |
|
|
4.647 |
% |
|
|
03/09/17 |
|
|
|
295,000 |
|
|
*** |
|
|
311 |
|
|
|
Ncua Guaranteed Notes |
|
|
2.900 |
% |
|
|
10/29/20 |
|
|
|
339,000 |
|
|
*** |
|
|
348 |
|
|
|
Nationwide Financial Services |
|
|
5.375 |
% |
|
|
03/25/21 |
|
|
|
329,000 |
|
|
*** |
|
|
370 |
|
|
|
Nbc Universal Media Llc Company |
|
|
4.375 |
% |
|
|
04/01/21 |
|
|
|
409,000 |
|
|
*** |
|
|
450 |
|
|
|
21St Century Fox America Company |
|
|
4.500 |
% |
|
|
02/15/21 |
|
|
|
650,000 |
|
|
*** |
|
|
711 |
|
|
|
Niagara Mohawk Power |
|
|
3.508 |
% |
|
|
10/01/24 |
|
|
|
735,000 |
|
|
*** |
|
|
757 |
|
|
|
Nippon Telegr + Teleph |
|
|
1.400 |
% |
|
|
07/18/17 |
|
|
|
500,000 |
|
|
*** |
|
|
499 |
|
|
|
Nissan Auto Receivables Owner |
|
|
1.940 |
% |
|
|
09/15/17 |
|
|
|
180,939 |
|
|
*** |
|
|
182 |
|
|
|
Noble Energy Inc |
|
|
8.250 |
% |
|
|
03/01/19 |
|
|
|
342,000 |
|
|
*** |
|
|
410 |
|
|
|
Noble Energy Inc |
|
|
4.150 |
% |
|
|
12/15/21 |
|
|
|
220,000 |
|
|
*** |
|
|
224 |
|
|
|
Omnicom Group Inc |
|
|
3.650 |
% |
|
|
11/01/24 |
|
|
|
250,000 |
|
|
*** |
|
|
250 |
|
|
|
Oracle Corp |
|
|
2.375 |
% |
|
|
01/15/19 |
|
|
|
900,000 |
|
|
*** |
|
|
916 |
|
|
|
Oracle Corp |
|
|
3.400 |
% |
|
|
07/08/24 |
|
|
|
875,000 |
|
|
*** |
|
|
894 |
|
|
|
PNC Bank |
|
|
3.800 |
% |
|
|
07/25/23 |
|
|
|
520,000 |
|
|
*** |
|
|
536 |
|
|
|
PNC Bank |
|
|
2.200 |
% |
|
|
01/28/19 |
|
|
|
635,000 |
|
|
*** |
|
|
635 |
|
|
|
Penske Truck Leasing |
|
|
3.750 |
% |
|
|
05/11/17 |
|
|
|
500,000 |
|
|
*** |
|
|
523 |
|
|
|
Penske Truck Leasing |
|
|
4.250 |
% |
|
|
01/17/23 |
|
|
|
255,000 |
|
|
*** |
|
|
265 |
|
|
|
Peoples United Fin Inc |
|
|
3.650 |
% |
|
|
12/06/22 |
|
|
|
595,000 |
|
|
*** |
|
|
600 |
|
|
|
Pepco Holdings Inc |
|
|
2.700 |
% |
|
|
10/01/15 |
|
|
|
265,000 |
|
|
*** |
|
|
268 |
|
|
|
Pernod Ricard |
|
|
4.250 |
% |
|
|
07/15/22 |
|
|
|
335,000 |
|
|
*** |
|
|
354 |
|
|
|
Plains All Amer Pipeline |
|
|
3.600 |
% |
|
|
11/01/24 |
|
|
|
855,000 |
|
|
*** |
|
|
839 |
|
|
|
Precision Castparts Corp |
|
|
2.500 |
% |
|
|
01/15/23 |
|
|
|
480,000 |
|
|
*** |
|
|
462 |
|
|
|
Province of Quebec |
|
|
2.750 |
% |
|
|
08/25/21 |
|
|
|
390,000 |
|
|
*** |
|
|
398 |
|
|
|
Ryder System Inc |
|
|
3.150 |
% |
|
|
03/02/15 |
|
|
|
220,000 |
|
|
*** |
|
|
221 |
|
|
|
Santander Holdings |
|
|
4.625 |
% |
|
|
04/19/16 |
|
|
|
127,000 |
|
|
*** |
|
|
132 |
|
|
|
Santander Holdings |
|
|
3.000 |
% |
|
|
09/24/15 |
|
|
|
120,000 |
|
|
*** |
|
|
121 |
|
|
|
Sempra Energy |
|
|
9.800 |
% |
|
|
02/15/19 |
|
|
|
170,000 |
|
|
*** |
|
|
218 |
|
|
|
Shell International |
|
|
2.250 |
% |
|
|
01/06/23 |
|
|
|
950,000 |
|
|
*** |
|
|
908 |
|
|
|
Small Business Administration |
|
|
5.200 |
% |
|
|
11/01/15 |
|
|
|
73,210 |
|
|
*** |
|
|
75 |
|
|
|
Small Business Administration |
|
|
4.090 |
% |
|
|
11/01/29 |
|
|
|
393 |
|
|
*** |
|
|
421 |
|
|
|
Small Business Administration |
|
|
2.860 |
% |
|
|
03/01/20 |
|
|
|
490,193 |
|
|
*** |
|
|
505 |
|
|
|
Small Business Administration |
|
|
2.870 |
% |
|
|
05/01/20 |
|
|
|
686,056 |
|
|
*** |
|
|
707 |
|
|
|
Small Business Administration |
|
|
2.440 |
% |
|
|
07/01/20 |
|
|
|
859,061 |
|
|
*** |
|
|
875 |
|
|
|
Small Business Administration |
|
|
1.970 |
% |
|
|
9/1/2020 |
|
|
|
819,754 |
|
|
*** |
|
|
826 |
|
|
|
Small Business Administration |
|
|
2.210 |
% |
|
|
02/01/33 |
|
|
|
722,435 |
|
|
*** |
|
|
712 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-43
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest,
collateral, par or maturity value |
|
|
(d) Cost |
|
(e)
Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest
rate |
|
|
Maturity |
|
Par Value |
|
|
|
|
|
|
|
|
State Street Corp |
|
|
2.875 |
% |
|
03/07/16 |
|
|
400,000 |
|
|
*** |
|
$ |
410 |
|
|
|
State Street Corp |
|
|
3.100 |
% |
|
05/15/23 |
|
|
575,000 |
|
|
*** |
|
|
567 |
|
|
|
Lehman Brothers Small Balance |
|
|
5.520 |
% |
|
09/25/30 |
|
|
113,150 |
|
|
*** |
|
|
114 |
|
|
|
Suncorp Metway |
|
|
1.700 |
% |
|
03/28/17 |
|
|
1,000,000 |
|
|
*** |
|
|
999 |
|
|
|
Svenska Handelsbanken |
|
|
3.125 |
% |
|
07/12/16 |
|
|
300,000 |
|
|
*** |
|
|
310 |
|
|
|
Svenska Handelsbanken |
|
|
2.250 |
% |
|
06/17/19 |
|
|
630,000 |
|
|
*** |
|
|
633 |
|
|
|
Synchrony Financial |
|
|
1.875 |
% |
|
08/15/17 |
|
|
150,000 |
|
|
*** |
|
|
150 |
|
|
|
Synchrony Financial |
|
|
3.750 |
% |
|
08/15/21 |
|
|
755,000 |
|
|
*** |
|
|
771 |
|
|
|
Teck Resources Limited |
|
|
4.750 |
% |
|
01/15/22 |
|
|
165,000 |
|
|
*** |
|
|
161 |
|
|
|
Telefonica Emisiones |
|
|
3.192 |
% |
|
04/27/18 |
|
|
275,000 |
|
|
*** |
|
|
283 |
|
|
|
Texas Instruments Inc |
|
|
2.375 |
% |
|
05/16/16 |
|
|
465,000 |
|
|
*** |
|
|
476 |
|
|
|
Time Warner Inc |
|
|
4.000 |
% |
|
01/15/22 |
|
|
70,000 |
|
|
*** |
|
|
73 |
|
|
|
Time Warner Inc |
|
|
3.550 |
% |
|
06/01/24 |
|
|
400,000 |
|
|
*** |
|
|
398 |
|
|
|
Time Warner Inc |
|
|
8.250 |
% |
|
04/01/19 |
|
|
283,000 |
|
|
*** |
|
|
346 |
|
|
|
Total Capital |
|
|
0.802 |
% |
|
08/10/18 |
|
|
935,000 |
|
|
*** |
|
|
940 |
|
|
|
Toyota Motor Credit Corp |
|
|
2.750 |
% |
|
05/17/21 |
|
|
580,000 |
|
|
*** |
|
|
589 |
|
|
|
Trans Canada Pipelines |
|
|
0.937 |
% |
|
06/30/16 |
|
|
750,000 |
|
|
*** |
|
|
754 |
|
|
|
Travelers Cos Inc |
|
|
3.900 |
% |
|
11/01/20 |
|
|
146,000 |
|
|
*** |
|
|
157 |
|
|
|
Tyco Electronics Group |
|
|
6.550 |
% |
|
10/01/17 |
|
|
161,000 |
|
|
*** |
|
|
181 |
|
|
|
UBS |
|
|
2.375 |
% |
|
08/14/19 |
|
|
1,115,000 |
|
|
*** |
|
|
1,115 |
|
|
|
Mufg Union Bank |
|
|
5.950 |
% |
|
05/11/16 |
|
|
385,000 |
|
|
*** |
|
|
408 |
|
|
|
US Bancorp |
|
|
2.200 |
% |
|
11/15/16 |
|
|
500,000 |
|
|
*** |
|
|
510 |
|
|
|
US Treasury |
|
|
2.750 |
% |
|
02/15/24 |
|
|
401,000 |
|
|
*** |
|
|
422 |
|
|
|
US Treasury |
|
|
1.500 |
% |
|
08/31/18 |
|
|
4,580,000 |
|
|
*** |
|
|
4,602 |
|
|
|
US Treasury |
|
|
1.000 |
% |
|
08/31/16 |
|
|
16,000,000 |
|
|
*** |
|
|
16,120 |
|
|
|
US Treasury |
|
|
1.750 |
% |
|
10/31/18 |
|
|
1,392,000 |
|
|
*** |
|
|
1,410 |
|
|
|
US Treasury |
|
|
1.000 |
% |
|
03/31/17 |
|
|
8,792,000 |
|
|
*** |
|
|
8,829 |
|
|
|
US Treasury |
|
|
0.250 |
% |
|
07/15/15 |
|
|
6,867,000 |
|
|
*** |
|
|
6,871 |
|
|
|
US Treasury |
|
|
0.625 |
% |
|
08/31/17 |
|
|
3,870,000 |
|
|
*** |
|
|
3,833 |
|
|
|
US Treasury |
|
|
1.000 |
% |
|
08/31/19 |
|
|
10,750,000 |
|
|
*** |
|
|
10,457 |
|
|
|
US Treasury |
|
|
0.250 |
% |
|
10/15/15 |
|
|
13,280,000 |
|
|
*** |
|
|
13,281 |
|
|
|
US Treasury |
|
|
0.750 |
% |
|
10/31/17 |
|
|
9,168,000 |
|
|
*** |
|
|
9,095 |
|
|
|
US Treasury |
|
|
0.875 |
% |
|
01/31/18 |
|
|
695,000 |
|
|
*** |
|
|
6,899 |
|
|
|
US Treasury |
|
|
1.750 |
% |
|
05/15/23 |
|
|
5,290,000 |
|
|
*** |
|
|
5,151 |
|
|
|
United Technologies Corp |
|
|
6.125 |
% |
|
02/01/19 |
|
|
175,000 |
|
|
*** |
|
|
203 |
|
|
|
United Technologies Corp |
|
|
0.734 |
% |
|
06/01/15 |
|
|
363,000 |
|
|
*** |
|
|
364 |
|
|
|
Valero Energy Corp Company |
|
|
9.375 |
% |
|
03/15/19 |
|
|
114,000 |
|
|
*** |
|
|
142 |
|
|
|
Vanderbilt University |
|
|
5.250 |
% |
|
04/01/19 |
|
|
650,000 |
|
|
*** |
|
|
735 |
|
|
|
Verizon Communications |
|
|
2.450 |
% |
|
11/01/22 |
|
|
750,000 |
|
|
*** |
|
|
704 |
|
|
|
Verizon Communications |
|
|
2.625 |
% |
|
02/21/20 |
|
|
1,034,000 |
|
|
*** |
|
|
1,022 |
|
|
|
Vodafone Group Plc |
|
|
5.625 |
% |
|
02/27/17 |
|
|
455,000 |
|
|
*** |
|
|
493 |
|
|
|
Walmart Stores Inc |
|
|
3.300 |
% |
|
04/22/24 |
|
|
380,000 |
|
|
*** |
|
|
392 |
|
|
|
Walgreens Boots Alliance |
|
|
3.300 |
% |
|
11/18/21 |
|
|
855,000 |
|
|
*** |
|
|
861 |
|
|
|
Wells Fargo Bank |
|
|
3.300 |
% |
|
09/09/24 |
|
|
1,030,000 |
|
|
*** |
|
|
1,036 |
|
|
|
FNMA Pool 888341 |
|
|
5.000 |
% |
|
02/01/37 |
|
|
143,359 |
|
|
*** |
|
|
159 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-44
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or
similar party |
|
(c) Description of investment including
maturity date, rate of interest, collateral,
par or maturity value |
|
|
(d) Cost |
|
(e) Current
value |
|
| |
|
Shared Holdings (aa) |
|
Interest rate |
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
Wells Fargo Bank |
|
0.442% |
|
|
05/16/16 |
|
|
|
1,000,000 |
|
|
*** |
|
$ |
997 |
|
|
|
Westlake Chemical Corp Company |
|
3.600% |
|
|
07/15/22 |
|
|
|
576,000 |
|
|
*** |
|
|
569 |
|
|
|
Westpac Banking Corp |
|
4.200% |
|
|
02/27/15 |
|
|
|
440,000 |
|
|
*** |
|
|
442 |
|
|
|
WF RBS Commercial |
|
2.862% |
|
|
03/15/47 |
|
|
|
640,000 |
|
|
*** |
|
|
657 |
|
|
|
Williams Partners LP |
|
4.300% |
|
|
03/04/24 |
|
|
|
295,000 |
|
|
*** |
|
|
294 |
|
|
|
Glencore Finance Canada Co |
|
4.950% |
|
|
11/15/21 |
|
|
|
552,000 |
|
|
*** |
|
|
582 |
|
|
|
Yara International |
|
7.875% |
|
|
06/11/19 |
|
|
|
285,000 |
|
|
*** |
|
|
340 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal HIMCO bond fund |
|
|
|
|
|
237,933 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BNY Mellon |
|
Stable Value Fund, including the following contracts: |
|
|
|
|
|
|
|
|
American General Life |
|
Stable Value Contract #1646368,
1.82%** |
|
|
*** |
|
|
97,126 |
|
|
|
American General Life |
|
Stable Value Contract #1635582,
1.14%** |
|
|
*** |
|
|
63,507 |
|
|
|
Prudential |
|
Stable Value Contract #GA62433,
2.76%** |
|
|
*** |
|
|
164,884 |
|
|
|
RGA |
|
Stable Value Contract #RGA00058,
2.76%** |
|
|
*** |
|
|
40,994 |
|
|
|
|
|
|
|
|
| |
|
Shared Holdings (bb) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
BlackRock |
|
BlackRock Intermediate Term Credit Bond Index Fund |
|
|
*** |
|
|
15,199 |
|
|
|
BlackRock |
|
BlackRock Commerical Mortgage-Backed Securities Index |
|
|
*** |
|
|
3,474 |
|
|
|
BlackRock |
|
BlackRock Intermediate Government Bond Index Fund |
|
|
*** |
|
|
2,770 |
|
|
|
BlackRock |
|
BlackRock Mortgage-Backed Securities Index Fund |
|
|
*** |
|
|
32,055 |
|
|
|
BlackRock |
|
BlackRock 1-3 Year Government Bond Index Fund |
|
|
*** |
|
|
27,505 |
|
|
|
BlackRock |
|
BlackRock Asset-Backed Securities Index Fund |
|
|
*** |
|
|
24,817 |
|
|
|
BlackRock |
|
BlackRock 1-3 Year Credit Bond Index Fund |
|
|
*** |
|
|
32,270 |
|
|
|
|
|
|
|
|
| |
|
Shared Holdings (bb) |
|
Interest rate |
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
Banc of America Commercial |
|
5.728% |
|
|
05/10/45 |
|
|
|
2,600,000 |
|
|
*** |
|
|
2,707 |
|
|
|
Caisee Centrale Desjardn |
|
2.650% |
|
|
09/16/15 |
|
|
|
600,000 |
|
|
*** |
|
|
608 |
|
|
|
California Republic Auto |
|
0.910% |
|
|
08/15/18 |
|
|
|
2,370,000 |
|
|
*** |
|
|
2,366 |
|
|
|
Chase Issuance |
|
1.150% |
|
|
01/15/19 |
|
|
|
3,000,000 |
|
|
|
|
|
2,999 |
|
|
|
GCCFC Commercial Mortgage |
|
5.381% |
|
|
03/10/39 |
|
|
|
807,285 |
|
|
*** |
|
|
810 |
|
|
|
Credit Suisse Mortgage Trust |
|
5.970% |
|
|
02/15/41 |
|
|
|
649,070 |
|
|
*** |
|
|
647 |
|
|
|
Detroit Edison Securitization |
|
6.620% |
|
|
03/01/16 |
|
|
|
1,212,503 |
|
|
*** |
|
|
1,225 |
|
|
|
Discover Card Execution Note |
|
1.040% |
|
|
04/15/19 |
|
|
|
3,600,000 |
|
|
*** |
|
|
3,596 |
|
|
|
Fannie Mae |
|
2.000% |
|
|
03/25/25 |
|
|
|
575,258 |
|
|
*** |
|
|
583 |
|
|
|
Fannie Mae |
|
2.000% |
|
|
08/25/26 |
|
|
|
1,330,793 |
|
|
*** |
|
|
1,345 |
|
|
|
Fannie Mae |
|
2.000% |
|
|
05/25/25 |
|
|
|
2,866,863 |
|
|
*** |
|
|
2,908 |
|
|
|
Freddie Mac |
|
3.000% |
|
|
06/15/39 |
|
|
|
1,873,293 |
|
|
*** |
|
|
1,932 |
|
|
|
Freddie Mac |
|
3.000% |
|
|
07/15/39 |
|
|
|
2,003,079 |
|
|
*** |
|
|
2,036 |
|
|
|
Freddie Mac |
|
2.500% |
|
|
08/15/25 |
|
|
|
1,303,367 |
|
|
*** |
|
|
1,337 |
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
| (bb) |
See F-47 for definition. |
F-45
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar party |
|
(c) Description of investment including
maturity date, rate of interest, collateral, par
or maturity value |
|
|
(d)
Cost |
|
(e) Current
value |
|
| |
|
Shared Holdings (bb) |
|
Interest rate |
|
Maturity |
|
|
Par Value |
|
|
|
|
|
|
|
|
Freddie Mac |
|
2.000% |
|
|
02/15/40 |
|
|
|
1,212,524 |
|
|
*** |
|
$ |
1,227 |
|
|
|
Freddie Mac |
|
2.000% |
|
|
11/15/21 |
|
|
|
2,934,037 |
|
|
*** |
|
|
2,954 |
|
|
|
Freddie Mac |
|
4.000% |
|
|
07/15/17 |
|
|
|
773,335 |
|
|
*** |
|
|
780 |
|
|
|
Freddie Mac |
|
5.000% |
|
|
09/15/38 |
|
|
|
215,457 |
|
|
*** |
|
|
224 |
|
|
|
Freddie Mac |
|
4.500% |
|
|
09/15/37 |
|
|
|
237,985 |
|
|
*** |
|
|
243 |
|
|
|
Fannie Mae |
|
2.250% |
|
|
03/25/39 |
|
|
|
2,112,067 |
|
|
*** |
|
|
2,144 |
|
|
|
Fannie Mae |
|
4.000% |
|
|
03/25/25 |
|
|
|
1,531,177 |
|
|
*** |
|
|
1,600 |
|
|
|
FNMA Pool |
|
2.500% |
|
|
02/01/23 |
|
|
|
1,460,168 |
|
|
*** |
|
|
1,502 |
|
|
|
Government National Mortgage |
|
5.000% |
|
|
02/16/32 |
|
|
|
168,598 |
|
|
*** |
|
|
173 |
|
|
|
Government National Mortgage |
|
2.000% |
|
|
08/20/35 |
|
|
|
851,401 |
|
|
*** |
|
|
855 |
|
|
|
Government National Mortgage |
|
1.000% |
|
|
12/16/36 |
|
|
|
1,685,438 |
|
|
*** |
|
|
1,679 |
|
|
|
Government National Mortgage |
|
2.000% |
|
|
09/16/51 |
|
|
|
3,315,230 |
|
|
*** |
|
|
3,300 |
|
|
|
Government National Mortgage |
|
2.000% |
|
|
01/16/46 |
|
|
|
2,956,404 |
|
|
*** |
|
|
2,958 |
|
|
|
Government National Mortgage |
|
3.000% |
|
|
03/20/39 |
|
|
|
2,709,127 |
|
|
*** |
|
|
2,764 |
|
|
|
Government STIF |
|
0.012% |
|
|
12/31/30 |
|
|
|
912,559 |
|
|
*** |
|
|
913 |
|
|
|
JP Morgan Chase |
|
1.855% |
|
|
04/15/46 |
|
|
|
2,750,000 |
|
|
*** |
|
|
2,749 |
|
|
|
LB UBS |
|
4.954% |
|
|
09/15/30 |
|
|
|
2,097,469 |
|
|
*** |
|
|
2,108 |
|
|
|
LB UBS |
|
5.866% |
|
|
09/15/45 |
|
|
|
2,809,326 |
|
|
*** |
|
|
3,086 |
|
|
|
NCUA Guaranteed |
|
1.600% |
|
|
10/29/20 |
|
|
|
86,498 |
|
|
*** |
|
|
87 |
|
|
|
New York Life Global |
|
3.000% |
|
|
05/04/15 |
|
|
|
415,000 |
|
|
*** |
|
|
419 |
|
|
|
Nissan Auto Receivables |
|
0.950% |
|
|
02/16/16 |
|
|
|
223,665 |
|
|
*** |
|
|
224 |
|
|
|
US Treasury |
|
1.000% |
|
|
12/15/17 |
|
|
|
3,496,000 |
|
|
*** |
|
|
3,618 |
|
|
|
Volkswagen Auto Loan |
|
0.700% |
|
|
04/20/18 |
|
|
|
2,600,000 |
|
|
*** |
|
|
2,592 |
|
|
|
World Omni Auto Receivables |
|
0.960% |
|
|
08/15/16 |
|
|
|
238,566 |
|
|
*** |
|
|
239 |
|
|
|
Prudential |
|
0.000% |
|
|
|
|
|
|
12,758,564 |
|
|
*** |
|
|
164,884 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal BNY Mellon Bond Fund |
|
|
366,511 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Separate Account Guaranteed Investment Contract |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
New York Life |
|
Stable Value Contract #GA29021,
2.41%** |
|
|
*** |
|
|
91,195 |
|
|
|
|
|
|
|
|
|
|
Wrapper Contracts |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Transamerica Premier Life |
|
#MDA01097TR, 2.79%** |
|
|
*** |
|
|
80 |
|
|
|
|
|
|
|
|
American General Life |
|
#1646368, 1.82%** |
|
|
*** |
|
|
(102 |
) |
|
|
|
|
|
|
|
American General Life |
|
#1635582, 1.14%** |
|
|
*** |
|
|
(46 |
) |
|
|
|
|
|
|
|
RGA |
|
#RGA00058, 2.95%** |
|
|
*** |
|
|
— |
|
|
|
|
|
|
|
|
Prudential |
|
#GA62433, 2.76%** |
|
|
*** |
|
|
59 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Wrapper Contracts |
|
|
(9 |
) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
F-46
EIN# 06-0383750
Plan# 100
THE HARTFORD
INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF
YEAR)
AS OF DECEMBER 31, 2014 (continued)
($ IN THOUSANDS, except for par value)
|
|
|
|
|
|
|
|
|
|
|
|
|
| (a) |
|
(b) Identity of issue, borrower, lessor, or similar
party |
|
(c) Description of investment including maturity date,
rate
of interest, collateral, par or maturity |
|
(d) Cost |
|
|
(e) Current
value |
|
| * |
|
State Street Bank and Trust |
|
State Street Cash Fund – STIF |
|
|
*** |
|
|
$ |
9,651 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Stable Value Fund |
|
|
|
|
|
|
9,651 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Clearing Account |
|
|
|
|
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
Clearing Account |
|
|
*** |
|
|
|
873 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Clearing Account |
|
|
|
|
|
|
873 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Master Expense Account |
|
|
|
|
|
|
|
|
|
|
| * |
|
State Street Bank and Trust |
|
Master Expense Account |
|
|
*** |
|
|
|
6 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Master Expense Account |
|
|
|
|
|
|
6 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investments Total |
|
|
|
|
|
$ |
3,490,841 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Loan Fund |
|
|
|
|
|
|
|
|
|
|
| * |
|
Plan Members |
|
Notes Receivable from Participants, maturing in |
|
|
|
|
|
|
|
|
|
|
|
|
2015 through 2028 bearing interest at rates from |
|
|
|
|
|
|
|
|
|
|
|
|
4.25% – 10.50% |
|
|
N/A |
|
|
|
57,145 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Subtotal Loan Fund |
|
|
|
|
|
|
57,145 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Grand Total |
|
|
|
|
|
$ |
3,547,986 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| * |
Indicates party-in-interest. |
| ** |
These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios. |
| *** |
Cost information is not required for Member directed investments, and therefore is not included. |
| (aa) |
Shared holdings are other underlying securities making up the total value of the Guaranteed Investment Contracts under the HIMCO Bond fund: Transamerica Premier Life #MDA01097TR. |
| (bb) |
Shared holdings are other underlying securities making up the total value of the four Guaranteed Investment Contracts under the Bank of New York Mellon (“BNY”) Bond fund: American General Life #1646368,
American General Life #1635582, RGA #RGA00058 and Prudential #GA62433. |
F-47
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused
this annual report to be signed on behalf of The Hartford Investment and Savings Plan by the undersigned thereunto duly authorized.
THE HARTFORD
INVESTMENT AND SAVINGS PLAN
|
| BY: /s/Erin Ridge |
| Erin Ridge |
| Plan Administrator |
| June 29, 2015 |
F-48
EXHIBIT 23.1
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in Registration Statement Nos. 333-105706, 333-34092 and 333-157372 of The Hartford Financial Services Group,
Inc. on Form S-8 of our report dated June 29, 2015, relating to the financial statements and supplemental schedule of The Hartford Investment & Savings Plan (the “Plan”) appearing in this Annual Report on Form 11-K of the
Plan for the year ended December 31, 2014.
DELOITTE & TOUCHE LLP
Hartford, Connecticut
June 29, 2015
F-49
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