11-K 1 a202011-kdocumentnextgenco.htm 11-K Document

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, 2020


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, 2020 and 2019


Page No(s).
Report of Independent Registered Public Accounting FirmF-3
Financial Statements:
   Statements of Net Assets Available for Benefits as of December 31, 2020 and 2019F-4
   Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2020 F-5
   Notes to Financial Statements as of December 31, 2020 and 2019 and for the year ended December 31, 2020F-6 - F-15
Supplemental Schedule:
   Form 5500, Schedule H, Part IV, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2020
F-16 - F-43
                             

SignatureF-44 - F-45
Exhibit Index
Exhibit Number Exhibit Name




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.
F-2



REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Plan Participants and Plan Administrator of
The Hartford Investment and Savings Plan
Hartford, Connecticut

Opinion on the Financial Statements

We have audited the accompanying statements of net assets available for benefits of The Hartford Investment and Savings Plan (the "Plan") as of December 31, 2020 and 2019, the related statement of changes in net assets available for benefits for the year ended December 31, 2020, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2020 and 2019, and the changes in net assets available for benefits for the year ended December 31, 2020, in conformity with accounting principles generally accepted in the United States of America.

Basis for Opinion

These financial statements are the responsibility of the Plan's management. Our responsibility is to express an opinion on the Plan's financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.

Report on Supplemental Schedule

The supplemental schedule of assets (held at end of year) as of December 31, 2020, has been subjected to audit procedures performed in conjunction with the audit of the Plan's financial statements. The supplemental schedule is the responsibility of the Plan's management. Our audit procedures included determining whether the supplemental schedule reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental schedule. In forming our opinion on the supplemental schedule, we evaluated whether the supplemental schedule, including its form and content, is presented in compliance with the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, such schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.

/s/ DELOITTE & TOUCHE LLP

Hartford, Connecticut
June 22, 2021


We have served as the auditor of the Plan since 2001.

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EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN
STATEMENTS OF NET ASSETS AVAILABLE FOR BENEFITS
AS OF DECEMBER 31, 2020 AND 2019
($ IN THOUSANDS)


20202019
Assets
Investments:
Investments, at fair value (Note 4)$4,874,491 $4,329,928 
Investments, at contract value (Note 3)811,455 741,963 
Total investments5,685,946 5,071,891 
Receivables:
Notes receivable from Members73,941 73,552 
Dividends and interest receivable4,338 3,085 
Total receivables78,279 76,637 
Total assets5,764,225 5,148,528 
Liabilities
Investment management expenses payable934 788 
Administrative expenses payable49 49 
Total liabilities983 837 
Net assets available for benefits$5,763,242 $5,147,691 




See Notes to Financial Statements.






















F-4


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, 2020
($ IN THOUSANDS)
2020
Additions to net assets attributed to:
Contributions:
Member contributions$180,784 
Employer contributions141,173 
Rollover contributions31,686 
Total contributions353,643 
Investment income:
Net appreciation in fair value of investments578,297 
Dividends11,579 
Total investment income589,876 
Interest income on notes receivable from Members3,886 
Total additions947,405 
Deductions from net assets attributed to:
Benefits paid to Members325,756 
Investment management fees5,863 
Administrative expenses235 
Total deductions331,854 
Net increase in net assets615,551 
Net assets available for benefits:
Beginning of year5,147,691 
End of year$5,763,242 



See Notes to Financial Statements.

F-5



THE HARTFORD INVESTMENT AND SAVINGS PLAN
NOTES TO FINANCIAL STATEMENTS
AS OF DECEMBER 31, 2020 AND 2019
AND FOR THE YEAR ENDED DECEMBER 31, 2020
($ 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”, or the “Company”) is an insurance and financial services company. The Hartford, headquartered in Connecticut, is among the largest providers of property and casualty insurance and group life and disability products to individual and business customers in the United States of America. The Hartford is also a provider of mutual funds and exchange traded products to investors. The Plan Sponsor, Hartford Fire Insurance Company, is a wholly owned subsidiary of The Hartford.

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

Plan Changes

See Note 9 for a general description of amendments made to the Plan document during 2020 and 2019.

General

The Plan is a defined contribution plan covering substantially all full-time and part-time employees of the Company. The Pension Administration Committee of the Company controls and manages the operation and administration of the Plan, subject to certain exemptions that are specified in the Plan document. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”).

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

Contributions

Members may elect to contribute a percentage of their eligible compensation (including, overtime and certain annual bonuses and sales incentives) and may designate their contributions as before-tax, Roth 401(k), after-tax or a combination thereof. Generally, Members may contribute 1% to 50% of eligible compensation, except that Members who are highly compensated employees may have contribution limits of less than 50% due to the operation of certain tests required under the Internal Revenue Code of 1986, as amended (the “IRC”). If Members do not elect otherwise, they are automatically enrolled to make before-tax contributions equal to 6% of eligible compensation.

The Company's contributions include a non-elective contribution of 2% of eligible compensation (“Non-elective Company contributions”) and a dollar-for-dollar matching contribution of up to 6% of eligible compensation contributed by the Member each pay period (“Matching Company contributions”). Prior to January 1, 2013, in addition to matching company contributions, the Company made floor company contributions equal to 0.5% of highly compensated eligible employees’ base salary and 1.5% of all other eligible employees’ base salary.

F-6


Note 1. Description of the Plan (continued)

Member contributions in excess of 6% of the eligible 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.

Member Accounts

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

Vesting

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

Members are vested 20% in Matching Company contributions made prior to January 1, 2013 for each completed year of service, until five years of service at which time the Members are 100% vested. Members are fully vested in floor company contributions made prior to January 1, 2013.

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

Investment Options

Members may direct the investment of their future contributions and/or existing account balances into various investment options offered by the Plan and may change investments and transfer amounts between funds daily. Member contributions, Matching Company contributions and Non-Elective Company contributions may be invested in any of the various investment options of the Plan in multiples of 1%, as elected or deemed elected by the Member (“Member directed investments”).

Certain investment options are parties-in-interest with The Hartford. See Note 8 for further discussion.

Notes Receivable from Members

Members may borrow from their accounts to a maximum equal to the lesser of $50 or 50% of their vested account balance, reduced by any pre-existing outstanding loan amounts during the last 12 months. Loan transactions are treated as transfers between the investment funds and the loan fund. Loan terms range from one to five years, or up to 15 years for the purchase of a primary residence. The loan is secured by the balance in the Member’s account. The interest rate on a loan in a calendar quarter is set on the last business day of the prior February, May, August or November based on the prime rate provided by Thomson Reuters on that date plus one percentage point and is fixed for the term of the loan. Principal and interest is paid ratably through payroll deductions.
Payment of Benefits

On termination of service due to retirement, death, disability, or certain other reasons, Members or their designated beneficiaries may elect to receive either a lump sum amount equal to the value of their vested account balance, or, in the case of


F-7


Note 1. Description of the Plan (continued)

Members meeting certain requirements, annual installments over a period not greater than thirty years (subject to certain conditions), or annual installments over the recipient’s life expectancy. If a Member was receiving installment payments, upon the Member’s death, the designated beneficiary has the option of receiving the remaining value either in a lump sum or annual installments over the beneficiary’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.

Forfeitures

When a Member terminates employment before he or she has vested in his or her Matching Company and Non-Elective Company contributions, the non-vested portion of the Member’s account as defined by the Plan, represents a forfeiture. The Plan document permits the use of forfeitures to either reduce future Company contributions or Plan administrative expenses for the Plan year. However, if a participant is re-employed and fulfills certain requirements, as defined in the Plan document, the account will be reinstated. At December 31, 2020 and 2019, forfeited non-vested account balances totaled $16 and $25, respectively, that had not been applied yet to future contributions or expenses.

These forfeitures are applied to reduce future Matching Company contributions. During the year ended December 31, 2020, Matching Company contributions were reduced by $3,553 from forfeitures.

Adoption of New Accounting Standards

In August 2018, the Financial Accounting Standards Board ("FASB") issued Accounting Standards Update ("ASU") 2018-13, Fair Value Measurement (Topic 820) – Disclosure Framework – Changes to the Disclosure Requirements for Fair Value Measurement, which amends certain disclosure requirements of ASC 820, effective for fiscal years beginning after December 15, 2019 with early adoption permitted. Early adoption is only permitted for the eliminated or modified disclosure requirements. The ASU removed the requirement to disclose the amount of and reasons for transfers between level 1 and level 2 of the fair value hierarchy as well as the policy for timing of transfers between levels. The ASU also modified the disclosure for investments in certain entities that calculate Net Asset Value ("NAV") to disclose the timing of liquidation of an investee’s assets and the date when restrictions from redemption might lapse only if the investee has communicated the timing to the Plan or announced the timing publicly. It also clarified the measurement uncertainty disclosure to communicate information about the uncertainty in measurement as of the reporting date. This disclosure is applicable to the Plan and the Plan adopted the new guidance as of December 31, 2019 and affected disclosures are incorporated in Note 4, Fair Value Measurements. There were no effects on the statements of net assets available for benefits or changes therein.

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.

Risks and Uncertainties

The Plan provides various investment options to its Members. 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.

F-8


Note 2. Accounting Policies (continued)

The 2019 novel coronavirus ("COVID-19") outbreak, which was declared a pandemic by the World Health Organization on March 11, 2020, has negatively impacted the world economy and its future effects on the Plan’s net assets available for benefits and changes in net assets available for benefits are uncertain.

Investment Valuation and Income Recognition

The Plan’s investments are stated at fair value, except for fully benefit-responsive guaranteed investment contracts (“GICs”), which are reported at contract value. Fair value of a financial instrument is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. Contract value is the amount Members would receive if they were to initiate permitted transactions under the terms of the Plan (see Note 3). See Note 4 for discussion on fair value measurements.
Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Net appreciation includes the Plan’s gains and losses on investments bought and sold as well as held during the year.

Investment expenses charged to the Plan for investments in mutual funds and collective investment trusts are charged directly against the assets of the fund and are not separately reflected. Consequently, investment expenses are reflected as a reduction of
investment gain (loss) for such investments. For investments other than mutual funds and collective investment trusts, investment expenses are recognized as expenses of the Plan.

Payment of Benefits

Benefits paid to Members are recorded when distributed.

Contributions

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

Excess Contribution Payable

The Plan is required to return contributions received during the Plan year in excess of the IRC limits. There were no such excess contributions in 2020 or 2019.

Notes Receivable from Members

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

Administrative Expenses

Certain administrative expenses of the Plan are paid by the Plan Sponsor as provided in the Plan document. Recordkeeping fees of the Plan are paid by the Plan. All investment management and transaction fees directly related to the Plan investments are paid by the Plan.

Note 3. Fully Benefit-Responsive Investment Contracts with Financial Institutions

The Plan’s stable value fund ("the Fund") available to Members as an investment option is a separately managed account, managed solely for the Plan, with a stable value fund investment strategy. Members who transfer money out of the Fund cannot move that money into the Hartford Total Return Bond HLS Fund or the Vanguard Federal Money Market Fund for 90 days. The investment contracts within the stable value fund meet the fully benefit-responsive investment contract criteria and, therefore, are reported at contract value. Contract value is the relevant measure for fully benefit-responsive investment contracts because this is the amount received by Members if they were to initiate permitted transactions under the terms of the Plan. Contract value represents contributions made under the contract, plus earnings based on crediting rates, less Member
F-9


withdrawals and less administrative expenses. The following represents the disaggregation of contract value between types of investment contracts held by the Plan:




Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
Contract IssuerContract NumberMajor Credit RatingsAs of 12/31/2020 Investments at Contract ValueAs of 12/31/2019 Investments at Contract Value
Synthetic GIC Contracts:
Transamerica Premier LifeMDA01097TRAA- / Aa2$233,328 $226,659 
American General Life1646368AA / Aa2108,552 106,452 
American General Life1635582AA+ / Aa283,530 81,789 
RGARGA00058AA / Aa297,645 44,690 
PrudentialGA62433AA / Aal185,572 181,686 
Traditional GIC Contract:
New York LifeGA29021AA+ / Aaa102,828 100,687 
Total$811,455 $741,963 

The key difference between a synthetic guaranteed investment contract ("GIC") and a traditional GIC is that the Plan owns the underlying assets of the synthetic GIC. A synthetic GIC includes a wrapper contract, which is an agreement with the wrap issuer, such as a bank or insurance company, to make payments to the Plan in certain circumstances. The wrapper contract typically includes certain conditions and limitations on the underlying assets owned by the Plan. Synthetic and traditional GICs are designed to accrue interest based on crediting rates established by the contract issuers.

The synthetic GICs held by the Plan includes wrapper contracts that provide a guarantee that the crediting rate with respect to the applicable underlying assets will not fall below 0%. Cash flow volatility (for example, timing of benefit payments) as well as asset underperformance can be passed through to the Plan through adjustments to future contract crediting rates. Formulas are provided in the contract that adjusts renewal crediting rates to recognize the difference between the fair value and the book value of the underlying assets. Crediting rates are reviewed monthly for resetting.
The Plan also holds a traditional GIC. The contract issuer is contractually obligated to repay the principal and interest at a specific interest rate that is guaranteed to the Plan. The crediting rate is based on a formula established by the contract issuer but may not be less than 0%. The crediting rate is reviewed on a quarterly basis for resetting. The contract cannot be terminated before the scheduled maturity date.

The Plan’s ability to receive amounts due in accordance with the traditional and the synthetic GIC is dependent on the third-party issuer’s ability to meet its financial obligations. The issuer’s ability to meet its contractual obligations may be affected by future economic and regulatory developments.
Certain events might limit the ability of the Plan to transact at contract value with the contract issuer. Examples of such events include the following:
1.The Plan’s failure to qualify under Section 401(a) of the Internal Revenue Code or the failure of the trust to     be tax-exempt under Section 501(a) of the Internal Revenue Code
2.Premature termination of the traditional GIC contract or the synthetic GIC contract
3.Plan termination or merger
4.Changes to the Plan’s prohibition on competing investment options
5.Bankruptcy of the Plan Sponsor or other Plan Sponsor events (for example, divestitures or spinoffs of a subsidiary) that significantly affect the Plan’s normal operations.
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Note 3. Fully Benefit-Responsive Investment Contract with Financial Institutions (continued)
The Plan Sponsor does not believe that any such events are probable of occurring that might limit the ability of the Plan to transact at contract value with the contract issuer or that would limit the ability of the Plan to transact at contract value with the Members.
In addition, certain events allow the issuer to terminate the contract with the Plan and settle at an amount different from contract value. Examples of such events include the following:
1.An uncured violation of the Plan’s investment guidelines
2.A breach of a material obligation under the contract by the Plan Sponsor
3.A material misrepresentation by the Plan Sponsor
4.A material amendment to the agreements without the consent of the issuer.
Note 4. Fair Value Measurements

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

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

Level 1 - Fair values based primarily on unadjusted quoted prices for identical assets, or liabilities, in active markets that the Plan has the ability to access at the measurement date.

Level 2 - Fair values primarily based on observable inputs, other than quoted prices included in Level 1, or based on prices for similar assets and liabilities.

Level 3 - Fair values derived when one or more of the significant inputs are unobservable (including assumptions about risk). With little or no observable market, the determination of fair values uses considerable judgment and represents the Plan’s best estimate of an amount that could be realized in a market exchange for the asset or liability. Also included are securities that are traded within illiquid markets and/or priced by independent brokers.

Asset Valuation Techniques - Valuation techniques maximize the use of relevant observable inputs and minimize the use of unobservable inputs. The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used during 2020 or 2019.

Short-term Investments - Valued at quoted prices.

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

Equity Securities - Valued at the closing price reported on the active market on which the individual securities are traded.

Collective Investment Trusts - Valued at the NAV of units of a collective trust. The NAV, as provided by the Trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investment for an amount different than the reported NAV. Member transactions (purchases and sales) may occur daily. Were the Plan to initiate a full redemption of the collective trust, the investment advisor reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner. As of December 31, 2020 and 2019 there were no unfunded commitments or redemption restrictions on collective investment trusts.
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Note 4. 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, 2020 and 2019.

Investment Assets at Fair Value December 31, 2020
Active Markets for Identical Assets (Level 1)Other Observable Inputs (Level 2)Significant Unobservable Inputs (Level 3)Total
Invested Assets
Short Term Investments$817 $— $— $817 
Mutual Funds872,239 — — 872,239 
Equity Securities786,052 — — 786,052 
Total Investments at fair value [1]$1,659,108 $— $— $1,659,108 
Investments at net asset value:
Collective investment trusts3,215,383 
Total investments$4,874,491 

[1] Excludes $1,171 of investment receivable, $1,392 of dividend receivable and $1,775 of interest receivable recorded at fair value.

Investment Assets at Fair Value December 31, 2019
Active Markets for Identical Assets (Level 1)Other Observable Inputs (Level 2)Significant Unobservable Inputs (Level 3)Total
Invested Assets
Short Term Investments$— $6,680 $— $6,680 
Mutual Funds770,292 — — 770,292 
Equity Securities821,810 — — 821,810 
Total Investments at fair value [1]$1,592,102 $6,680 $— $1,598,782 
Investments at net asset value:
Collective investment trusts2,731,146 
Total investments$4,329,928 

[1] Excludes $1,310 of dividend receivable and $1,775 of interest receivable recorded at fair value.

The Plan Sponsor's Investment and Savings Plan Investment Committee, which oversees the Plan’s menu of investments, works with an unaffiliated investment consultant to monitor the performance of Plan investments, periodically reviews the Plan’s menu of investments and, when appropriate, makes changes.

The valuation methods described in Note 2 may produce a fair value calculation that may not be indicative of net realizable value or reflective of future fair values. Furthermore, although the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different fair value measurement at the reporting date.

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Note 5. Federal Income Tax Status

The Internal Revenue Service (“IRS”) has determined and informed the Company by letter dated June 13, 2017 that the Plan and related Trust are designed in accordance with the applicable regulations of the IRC. The Plan has been amended since receiving the determination letter, however, the Company and Plan management believe that the Plan is currently designed and operated in compliance with the applicable requirements of the IRC and the Plan and related Trust continue to be tax-exempt. No provision for income taxes has been included in the Plan’s financial statements. 


Note 6. Plan Termination

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




Note 7. Reconciliation of Financial Statements to Form 5500

The following is a reconciliation of net assets available for benefits between the accompanying financial statements and the amounts reflected in Form 5500 as of December 31, 2020 and 2019:
20202019
Net assets available for benefits per accompanying financial statements$5,763,242 $5,147,691 
Adjustment from contract value to fair value for fully benefit-responsive investment contracts37,769 18,487 
Net assets per Form 5500$5,801,011 $5,166,178 


The following is a reconciliation of total investment income, contributions and interest income on notes receivable on the accompanying financial statements and the amount reflected in Form 5500 for the year ended December 31, 2020:
Total investment income, contributions and interest income on notes receivable per accompanying financial statements$947,405 
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at beginning of the year$(18,487)
Adjustment from contract value to fair value for fully benefit-responsive investment contracts at end of the year$37,769 
Total income per Form 5500$966,687 

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, 2020:
Benefits paid to Members per accompanying financial statements$325,756 
Deduct amounts allocated to deemed loan distributions116 
Benefits paid to Members per Form 5500$325,640 

Note 8. Exempt Party-in-Interest Transactions

Certain Plan investments are in funds managed by the Trustee and certain subsidiaries of the Company. Fees paid by the Plan for trustee, custodial and investment management services provided by Company affiliates amounted to $56 for the year ended December 31, 2020. In addition, certain Plan investments include shares of mutual funds that are advised and distributed by a subsidiary and shares of Hartford Stock. At December 31, 2020 and 2019, the fair value of affiliated mutual funds held by the Plan was $748,670 and $770,292, respectively. At December 31, 2020 and 2019, the Plan held 3,799,183 shares and 3,598,901
F-13


shares of Hartford Stock with a cost basis of $118,352 and $121,470, respectively. The shares of Hartford Stock had a fair value of $171,418 and $218,705 at December 31, 2020 and 2019, respectively. During the year ended December 31, 2020, the Plan recorded dividend income from Hartford Stock and The Hartford’s mutual funds of $5,028.

Note 9. Plan Amendments and Other Changes

Effective January 1, 2019, the Plan was amended so that (a) a Member is no longer required to obtain a plan loan before requesting a hardship withdrawal; (b) member contributions will no longer be suspended after receipt of a hardship withdrawal; and (c) earnings on before-tax contributions will be included as part of a hardship withdrawal.

Effective May 23, 2019, the definition of Service was revised to give credit for employment with Navigators to former Navigators employees who became Company employees on May 23, 2019 as a result of the Navigators transaction.  In addition, former Navigators employees who did not otherwise enroll in the Plan were automatically enrolled within 90 days of the May 23, 2019 acquisition date.

Effective May 23, 2019, the definition of “Eligible Employee” was amended by adding the following to the list of Ineligible Persons:  (a)  a person who is a nonresident alien and who receives no earned income (within the meaning of Code Section 911(d)(2)) from the Company or its affiliate which constitutes income from sources within the United States (within the meaning of Code Section 861(a)(3)); and (b) a person who is a U.S. citizen working in a foreign country for the Company or its affiliate who is not on the U.S. payroll of Hartford Fire Insurance Company.

Effective July 1, 2019, the Plan was amended to (a) increase the maximum Member contribution from 30% of eligible pay to 50%; and (b) allow partial loan prepayments.

Effective January 1, 2020, the Plan was amended so that an eligible employee hired on or after January 1, 2020 will no longer need to wait 90 days to become a Member for purposes of making contributions to the Plan; they are immediately eligible.

Effective January 1, 2020, the Plan was amended so that the Required Beginning Date for Members who attain age 70.5 on or after January 1, 2020 will be April 1 following the calendar year in which they turn age 72 (or retire, if later).

Effective January 1, 2020, the Plan was amended so that upon the death of a Member or Deferred Member who was receiving periodic payments, the non-spouse beneficiary of the Member or Deferred Member may elect to have payments made over a period not to exceed the tenth calendar year following the year of death.

Effective March 27, 2020, the Plan was amended to include the following relief provisions permitted by the Coronavirus Aid, Relief, and Economic Security (CARES) act:

Coronavirus-related distribution – Qualified participants could take a coronavirus-related distribution of up to $100 from the Plan without a 10% early withdrawal penalty. Eligible distributions could be taken up to December 31, 2020. Coronavirus-related distributions may be repaid within three years.
Participant loans – Qualified participants could borrow up to $100 from the Plan (an increase from the $50 previously allowed) through September 22, 2020, and repayments were delayed until January 1, 2021.
Required minimum distributions (RMDs) – RMDs were temporarily suspended for 2020.




Note 10. Subsequent Events

Effective January 1, 2021, the Plan was amended to remove the 90-day limitation on transferring funds from the Stable Value Fund to the Hartford Total Return Bond Fund.

Effective July 1, 2021, the Plan will be amended to reflect that the share class of the Vanguard Target Retirement Trust funds, the Plan's default funds, will change from the Vanguard Target Retirement Trust Plus to the Vanguard Target Retirement Trust Select.

Effective July 1, 2021, the Plan will be amended to add new fixed percent, fixed amount, and life expectancy periodic payment options, and expand the fixed time frame periodic payment option for participants who (i) are age 55 or older and are no longer
F-14


employed at the Company, (ii) terminate employment before reaching age 55 due to Retirement, provided such participant has an original hire date before January 1, 2002, or (iii) terminate employment before reaching age 55 due to Disability.

Management has evaluated events subsequent to December 31, 2020, through the date the financial statements were issued, noting there are no other subsequent events requiring adjustment or disclosure in the financial statements.

******





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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date (d) Cost(e) Current Value
Chartwell Equity Securities
AAR CORP***$433 
AMERICAN EQUITY INVT LIFE HL***947
AVISTA CORP***772
BLACK HILLS CORP***797
CVB FINANCIAL CORP***786
CACTUS INC A***918
CHAMPIONX CORP***908
CHEESECAKE FACTORY INC/THE***952
COLUMBIA BANKING SYSTEM INC***1,397
COMMVAULT SYSTEMS INC***1,690
DENNY S CORP***1,398
DIODES INC***2,241
DYCOM INDUSTRIES INC***1,610
EAGLE MATERIALS INC***1,103
EAGLE PHARMACEUTICALS INC***806
ENPRO INDUSTRIES INC***1,489
FNB CORP***945
FERRO CORP***1,060
FIRST FINANCIAL BANCORP***765
FIRST INDUSTRIAL REALTY TR***782
FIRST MIDWEST BANCORP INC/IL***1,029
FRESH DEL MONTE PRODUCE INC***887
G III APPAREL GROUP LTD***978
GLATFELTER CORP***1,319
HARSCO CORP***1,032
HEALTHCARE REALTY TRUST INC***1,164
HUB GROUP INC CL A***1,093
ITT INC***2,356
INDEPENDENT BANK GROUP INC***1,344
JACK IN THE BOX INC***1,825
JELD WEN HOLDING INC***512
KEMPER CORP***1,073







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

See accompanying Report of Independent Registered Public Accounting Firm.
F-16

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)



(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
KITE REALTY GROUP TRUST***458
KNOLL INC***625
KORN FERRY***1,103
MCGRATH RENTCORP***1,076
MINERALS TECHNOLOGIES INC***1,272
MOOG INC CLASS A***1,215
MUELLER WATER PRODUCTS INC A***1,440
NORTHWESTERN CORP***1,356
OXFORD INDUSTRIES INC***540
PDC ENERGY INC***439
PNM RESOURCES INC***1,203
PRA GROUP INC***1,607
PS BUSINESS PARKS INC/CA***1,368
PACIFIC PREMIER BANCORP INC***1,275
PARSONS CORP***1,532
PATTERSON COS INC***1,680
PEBBLEBROOK HOTEL TRUST***765
PHIBRO ANIMAL HEALTH CORP A***533
PIEDMONT OFFICE REALTY TRU A***974
PLEXUS CORP***1,480
PROGRESS SOFTWARE CORP***1,201
RENASANT CORP***1,061
RUSH ENTERPRISES INC CL A***1,869
SAIA INC***2,125
SANDERSON FARMS INC***1,219
SANDY SPRING BANCORP INC***1,143
SELECTIVE INSURANCE GROUP***1,923
SOUTH STATE CORP***1,442
SOUTHWEST GAS HOLDINGS INC***903
STAG INDUSTRIAL INC***1,273
TRI POINTE HOMES INC***1,037
TOWNE BANK***1,065



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

See accompanying Report of Independent Registered Public Accounting Firm.
F-17

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
TRIMAS CORP***1,340
TRUEBLUE INC***880
UMB FINANCIAL CORP***1,164
UMPQUA HOLDINGS CORP***1,027
UNIFIRST CORP/MA***1,544
UNITED COMMUNITY BANKS/GA***1,554
UNITED BANKSHARES INC***667
US DOLLAR***649
WOLVERINE WORLD WIDE INC***934
Subtotal Chartwell Equity Securities84,372
Clearing Account
State Street Bank and Trust***-6,420
Subtotal Clearing Account-6,420
Collective Investment Trusts
SSGASSGA Real Asset Fund***39,829
SPRUCEGROVEINTERNATIONAL STOCK FUND***98,194
STATE STREETSSGA S&P 500 INDEX NON LENDING***778,192
STATE STREETSTATE STREET***81,230
STATE STREETSTATE STREET***158,346
VANGUARD GROUPTARGET RETIREMENT 2050***154,837
VANGUARD GROUPTARGET RETIREMENT 2045***299,936
VANGUARD GROUPTARGET RETIREMENT 2040***170,886
VANGUARD GROUPTARGET RETIREMENT 2035***422,706
VANGUARD GROUPTARGET RETIREMENT 2030***210,828
VANGUARD GROUPTARGET RETIREMENT 2025***374,661
VANGUARD GROUPTARGET RETIREMENT 2020***103,921
VANGUARD GROUPTARGET RETIREMENT 2015***79,134
VANGUARD GROUPTARGET RETIREMENT INCOME FUND***53,605
VANGUARD GROUPTARGET RETIREMENT 2055***100,261
VANGUARD GROUPTARGET RETIREMENT 2060***47,626
VANGUARD GROUP, THETARGET RETIREMENT 2065***5,296
Subtotal Collective Investment Trusts3,179,488




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

See accompanying Report of Independent Registered Public Accounting Firm.
F-18

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
Loomis Sayles Growth Fund
ALIBABA GROUP HOLDING SP ADR***14,994
ALPHABET INC CL C***8,812
ALPHABET INC CL A***8,795
AMAZON.COM INC***23,113
AUTODESK INC***16,564
AUTOMATIC DATA PROCESSING***2,216
BOEING CO/THE***14,530
CERNER CORP***5,282
CISCO SYSTEMS INC***5,220
COLGATE PALMOLIVE CO***4,825
DEERE + CO***12,681
EXPEDITORS INTL WASH INC***7,198
FACEBOOK INC CLASS A***18,117
FACTSET RESEARCH SYSTEMS INC***4,662
GSTIF 25 BPS***2,608
ILLUMINA INC***7,743
INTUITIVE SURGICAL INC***4,518
MICROSOFT CORP***12,889
MONSTER BEVERAGE CORP***11,467
NOVARTIS AG SPONSORED ADR***10,900
NOVO NORDISK A/S SPONS ADR***2,735
NVIDIA CORP***15,602
ORACLE CORP***12,390
QUALCOMM INC***8,879
REGENERON PHARMACEUTICALS***8,408
ROCHE HOLDINGS LTD SPONS ADR***8,781
SEI INVESTMENTS COMPANY***4,553
SALESFORCE.COM INC***12,703
SCHLUMBERGER LTD***3,837
STARBUCKS CORP***8,484
US DOLLAR***1,000
VISA INC CLASS A SHARES***18,364
WALT DISNEY CO/THE***12,138




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

See accompanying Report of Independent Registered Public Accounting Firm.
F-19

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
WORKDAY INC CLASS A***4,991
YUM BRANDS INC***4,006
YUM CHINA HOLDINGS INC***2,946
Subtotal Loomis Sayles Growth Fund326,951
Lee Munder Equity Securities
AERCAP HOLDINGS NV***1,452
AGNC INVESTMENT CORP***1,868
ALEXANDRIA REAL ESTATE EQUIT***2,631
AMERICAN CAMPUS COMMUNITIES***1,668
AMERICAN INTERNATIONAL GROUP***1,609
AMERISOURCEBERGEN CORP***877
AMERIPRISE FINANCIAL INC***2,694
ARCH CAPITAL GROUP LTD***2,309
AUTOZONE INC***1,425
BERRY GLOBAL GROUP INC***2,297
BORGWARNER INC***1,781
BOSTON PROPERTIES INC***1,230
CARTER S INC***1,338
CENTENE CORP***2,252
CENTERPOINT ENERGY INC***2,572
CHARLES RIVER LABORATORIES***1,502
CIMAREX ENERGY CO***767
CLEAN HARBORS INC***2,372
COLUMBIA SPORTSWEAR CO***1,411
CONSTELLATION BRANDS INC A***1,582
DTE ENERGY COMPANY***2,103
DARLING INGREDIENTS INC***2,704
DENTSPLY SIRONA INC***1,285
DIGITAL REALTY TRUST INC***1,308
DOLLAR GENERAL CORP***1,189
DOLLAR TREE INC***2,013
DOVER CORP***1,416
ENCOMPASS HEALTH CORP***2,475
*     Indicates party-in-interest.
**     These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
***    Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.
F-20

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
ENTERGY CORP***2,311
ENVISTA HOLDINGS CORP***2,158
EVERGY INC***2,055
FMC CORP***1,970
HAIN CELESTIAL GROUP INC***1,548
HASBRO INC***1,615
HEXCEL CORP***1,526
HOST HOTELS + RESORTS INC***1,006
HUNTINGTON INGALLS INDUSTRIE***780
INGREDION INC***2,743
ISHARES RUSSELL MID CAP VALUE***3,212
LKQ CORP***3,254
LABORATORY CRP OF AMER HLDGS***1,726
LAMB WESTON HOLDINGS INC***1,717
LEIDOS HOLDINGS INC***2,000
LIVENT CORP***1,846
M + T BANK CORP***828
MACOM TECHNOLOGY SOLUTIONS H***1,699
MID AMERICA APARTMENT COMM***1,682
NISOURCE INC***2,199
OLIN CORP***808
PTC INC***2,490
PACWEST BANCORP***848
PARKER HANNIFIN CORP***1,601
PARSLEY ENERGY INC CLASS A***858
PINNACLE FINANCIAL PARTNERS***1,803
PINNACLE WEST CAPITAL***1,202
PIONEER NATURAL RESOURCES CO***1,017
QORVO INC***1,953
RPM INTERNATIONAL INC***1,434
REGAL BELOIT CORP***2,700
REINSURANCE GROUP OF AMERICA***2,327
SIGNATURE BANK***2,240
SNAP ON INC***1,605
*     Indicates party-in-interest.
**     These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
***    Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.
F-21

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrorwer, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
SPIRE INC***1,376
STERICYCLE INC***1,552
STERLING BANCORP/DE***1,561
TREEHOUSE FOODS INC***2,575
TYSON FOODS INC CL A***1,917
US DOLLAR***993
VALERO ENERGY CORP***1,209
VALVOLINE INC***1,537
ZIMMER BIOMET HOLDINGS INC***1,700
Subtotal Lee Munder Equity Securities125,311
T. Rowe Price
AAON INC***190
AMN HEALTHCARE SERVICES INC***357
ASGN INC***444
ACADIA PHARMACEUTICALS INC***355
ACCELERON PHARMA INC***492
ACI WORLDWIDE INC***385
ADDUS HOMECARE CORP***300
AEROJET ROCKETDYNE HOLDINGS***502
ADVANCED ENERGY INDUSTRIES***351
AGIOS PHARMACEUTICALS INC***135
ALARM.COM HOLDINGS INC***124
ALBANY INTL CORP CL A***288
ALCOA CORP***231
ALECTOR INC***54
ALKERMES PLC***150
ALLEGIANT TRAVEL CO***76
ALLOGENE THERAPEUTICS INC***86
AMEDISYS INC***409
AMERIS BANCORP***93
AMICUS THERAPEUTICS INC***275
APA CORP***60
APELLIS PHARMACEUTICALS INC***149
ARCTURUS THERAPEUTICS HOLDIN***45
*     Indicates party-in-interest.
**     These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
***    Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.
F-22

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrorwer, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
ARRAY TECHNOLOGIES INC***233
ARVINAS INC***152
ASBURY AUTOMOTIVE GROUP***233
ASPEN TECHNOLOGY INC***387
ATKORE INC***305
ATRICURE INC***136
AXSOME THERAPEUTICS INC***122
BERRY GLOBAL GROUP INC***214
BIOHAVEN PHARMACEUTICAL HOLD***74
BIOTELEMETRY INC***62
BLACKBAUD INC***255
BLACKLINE INC***53
BLUEBIRD BIO INC***28
BLUEPRINT MEDICINES CORP***331
BOOZ ALLEN HAMILTON HOLDINGS***612
BOSTON BEER COMPANY INC A***894
BOYD GAMING CORP***325
BRIGHT HORIZONS FAMILY SOLUT***302
BRINKER INTERNATIONAL INC***45
BROADRIDGE FINANCIAL SOLUTIO***146
BRUKER CORP***242
BRUNSWICK CORP***362
BUILDERS FIRSTSOURCE INC***512
BURLINGTON STORES INC***307
CBOE GLOBAL MARKETS INC***237
CMC MATERIALS INC***361
CABLE ONE INC***722
CACI INTERNATIONAL INC CL A***645
CACTUS INC A***114
CANTEL MEDICAL CORP***248
CAREDX INC***226
CASELLA WASTE SYSTEMS INC A***653
*     Indicates party-in-interest.
**     These synthetic portfolios have no final maturity date. Final maturity is based on the underlying assets in the bond portfolios.
***    Cost information is not required for Member directed investments, and therefore is not included.

See accompanying Report of Independent Registered Public Accounting Firm.
F-23

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
CASEY S GENERAL STORES INC***647
CATALENT INC***513
CAVCO INDUSTRIES INC***132
CERIDIAN HCM HOLDING INC***81
CERTARA INC***66
CHARLES RIVER LABORATORIES***389
CHASE CORP***215
CHEMED CORP***348
CHEMOCENTRYX INC***141
CHOICE HOTELS INTL INC***430
CRISPR THERAPEUTICS AG***589
CHURCHILL DOWNS INC***688
CIRRUS LOGIC INC***381
CLEARWAY ENERGY INC C***213
COCA COLA CONSOLIDATED INC***240
COGENT COMMUNICATIONS HOLDIN***172
COGNEX CORP***305
COMFORT SYSTEMS USA INC***206
COMMVAULT SYSTEMS INC***206
CORESITE REALTY CORP***85
CORVEL CORP***231
CURTISS WRIGHT CORP***386
DECIPHERA PHARMACEUTICALS IN***121
DECKERS OUTDOOR CORP***465
DENALI THERAPEUTICS INC***350
DESCARTES SYSTEMS GRP/THE***279
DIAMONDBACK ENERGY INC***116
DIGITAL TURBINE INC***269
DOMINO S PIZZA INC***193
DOUGLAS DYNAMICS INC***217
EAGLE MATERIALS INC***262
EHEALTH INC***156
ELEMENT SOLUTIONS INC***151

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-24

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
EMCOR GROUP INC***400
EMERGENT BIOSOLUTIONS INC***475
ENANTA PHARMACEUTICALS INC***33
ENCOMPASS HEALTH CORP***174
ENPRO INDUSTRIES INC***124
ENSIGN GROUP INC/THE***537
ENTEGRIS INC***785
ENVESTNET INC***455
EPLUS INC***74
EPIZYME INC***15
EQUITY LIFESTYLE PROPERTIES***229
EURONET WORLDWIDE INC***693
EXACT SCIENCES CORP***355
EXELIXIS INC***127
EXLSERVICE HOLDINGS INC***281
EXPONENT INC***604
FABRINET***222
FACTSET RESEARCH SYSTEMS INC***192
FAIR ISAAC CORP***688
FATE THERAPEUTICS INC***315
FIBROGEN INC***186
FIRST BANCORP/NC***164
FIRST INDUSTRIAL REALTY TR***356
FIVE9 INC***715
FORMFACTOR INC***344
FORTINET INC***105
FRONTDOOR INC***208
H.B. FULLER CO.***90
GARTNER INC***152
GENERAC HOLDINGS INC***300
GIBRALTAR INDUSTRIES INC***285
GLOBAL BLOOD THERAPEUTICS IN***158
GLOBUS MEDICAL INC A***348
GRACO INC***445

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-25

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
GREEN DOT CORP CLASS A***105
HAEMONETICS CORP/MASS***416
HAIN CELESTIAL GROUP INC***214
HALOZYME THERAPEUTICS INC***321
HELEN OF TROY LTD***668
HEXCEL CORP***167
HILTON GRAND VACATIONS INC***205
HORIZON THERAPEUTICS PLC***313
HYDROFARM HOLDINGS GROUP INC***29
IAA INC***601
ICU MEDICAL INC***450
IGM BIOSCIENCES INC***94
IRHYTHM TECHNOLOGIES INC***445
INGEVITY CORP***272
INSMED INC***252
INNOSPEC INC***287
INPHI CORP***488
INSPIRE MEDICAL SYSTEMS INC***188
INSPERITY INC***269
INSTALLED BUILDING PRODUCTS***102
INNOVATIVE INDUSTRIAL PROPER***128
INTELLIA THERAPEUTICS INC***130
INVITAE CORP***298
IONIS PHARMACEUTICALS INC***89
IOVANCE BIOTHERAPEUTICS INC***278
J + J SNACK FOODS CORP***310
JOHN BEAN TECHNOLOGIES CORP***352
J2 GLOBAL INC***208
KADANT INC***203
KARUNA THERAPEUTICS INC***81
KARYOPHARM THERAPEUTICS INC***50
KEMPER CORP***470
KODIAK SCIENCES INC***542
LGI HOMES INC***255


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

See accompanying Report of Independent Registered Public Accounting Firm.
F-26

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
LCI INDUSTRIES***335
LPL FINANCIAL HOLDINGS INC***144
LANDSTAR SYSTEM INC***332
LANTHEUS HOLDINGS INC***94
LENNOX INTERNATIONAL INC***90
LIBERTY BROADBAND C***342
LIGAND PHARMACEUTICALS***65
LINCOLN ELECTRIC HOLDINGS***189
LITTELFUSE INC***530
LUMENTUM HOLDINGS INC***130
LYDALL INC***99
MKS INSTRUMENTS INC***705
MSA SAFETY INC***385
STEVEN MADDEN LTD***289
MADISON SQUARE GARDEN ENTERT***221
MADRIGAL PHARMACEUTICALS INC***66
MANHATTAN ASSOCIATES INC***434
MARKETAXESS HOLDINGS INC***516
MAXLINEAR INC***352
MAXIMUS INC***269
MCGRATH RENTCORP***175
MEDPACE HOLDINGS INC***677
MERCURY SYSTEMS INC***36
MERIT MEDICAL SYSTEMS INC***261
MERSANA THERAPEUTICS INC***61
MIDDLESEX WATER CO***215
MIRATI THERAPEUTICS INC***381
MOLINA HEALTHCARE INC***389
MONOLITHIC POWER SYSTEMS INC***721
MOOG INC CLASS A***286
MURPHY USA INC***205
NCR CORPORATION***130
NEKTAR THERAPEUTICS***42
NEOGENOMICS INC***441


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

See accompanying Report of Independent Registered Public Accounting Firm.
F-27

EIN# 06-0383750
Plan# 100
THE HARTFORD INVESTMENT AND SAVINGS PLAN SUPPLEMENTAL SCHEDULE
FORM 5500, SCHEDULE H, PART IV, LINE 4i – SCHEDULE OF ASSETS (HELD AT END OF YEAR)
AS OF DECEMBER 31, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
NEUROCRINE BIOSCIENCES INC***157
NEVRO CORP***347
NEWMARKET CORP***191
NEXSTAR MEDIA GROUP INC CL A***303
NORDSON CORP***317
NOVANTA INC***532
NUVASIVE INC***212
OSI SYSTEMS INC***263
OMNICELL INC***506
ONTO INNOVATION INC***98
ORMAT TECHNOLOGIES INC***334
PRA HEALTH SCIENCES INC***334
PS BUSINESS PARKS INC/CA***163
PTC THERAPEUTICS INC***243
PTC INC***104
PACIRA BIOSCIENCES INC***111
PALOMAR HOLDINGS INC***150
PAPA JOHN S INTL INC***279
PARK HOTELS + RESORTS INC***257
PATRICK INDUSTRIES INC***359
PAYLOCITY HOLDING CORP***589
PEGASYSTEMS INC***484
PENN NATIONAL GAMING INC***255
PENNANT GROUP INC/THE***307
PENUMBRA INC***278
PERFORMANCE FOOD GROUP CO***562
PHIBRO ANIMAL HEALTH CORP A***70
PLANET FITNESS INC CL A***318
POOL CORP***614
POWER INTEGRATIONS INC***472
PRIMERICA INC***625
PROG HOLDINGS INC***124
PROOFPOINT INC***287
QUAKER CHEMICAL CORP***337
QUALYS INC***428

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
QUIDEL CORP***196
RH***666
RBC BEARINGS INC***265
REALPAGE INC***203
REATA PHARMACEUTICALS INC A***122
RENEWABLE ENERGY GROUP INC***262
REPLIGEN CORP***758
REPLIMUNE GROUP INC***43
ROCKET PHARMACEUTICALS INC***114
RYMAN HOSPITALITY PROPERTIES***244
SLM CORP***149
SPX CORP***220
SPS COMMERCE INC***435
SS+C TECHNOLOGIES HOLDINGS***338
SAGE THERAPEUTICS INC***150
SAIA INC***465
JOHN B. SANFILIPPO + SON INC***131
SAPIENS INTERNATIONAL CORP***207
SAREPTA THERAPEUTICS INC***188
SCHOLAR ROCK HOLDING CORP***79
SCIENCE APPLICATIONS INTE***267
SCOTTS MIRACLE GRO CO***300
SEAGEN INC***224
SERVICE CORP INTERNATIONAL***183
SIGNATURE BANK***175
SITEONE LANDSCAPE SUPPLY INC***270
SIX FLAGS ENTERTAINMENT CORP***177
SPROUTS FARMERS MARKET INC***60
STAMPS.COM INC***261
STEPAN CO***144
STRATEGIC EDUCATION INC***139
SUNSTONE HOTEL INVESTORS INC***67
SUPERNUS PHARMACEUTICALS INC***101
TABULA RASA HEALTHCARE INC***32
TANDEM DIABETES CARE INC***445
TARGA RESOURCES CORP***129

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
TECHTARGET***46
TELEDYNE TECHNOLOGIES INC***555
TEMPUR SEALY INTERNATIONAL I***362
TERMINIX GLOBAL HOLDINGS INC***417
TERRENO REALTY CORP***426
TEXAS PACIFIC LAND TRUST***390
TEXAS ROADHOUSE INC***412
TG THERAPEUTICS INC***131
THERAVANCE BIOPHARMA INC***45
TOPBUILD CORP***604
TORO CO***410
TURNING POINT THERAPEUTICS I***308
TWIST BIOSCIENCE CORP***230
TYLER TECHNOLOGIES INC***509
UFP INDUSTRIES INC***285
U.S. PHYSICAL THERAPY INC***256
UBIQUITI INC***333
ULTRAGENYX PHARMACEUTICAL IN***711
UNIFIRST CORP/MA***389
UNIQURE NV***109
UNIVERSAL HEALTH RLTY INCOME***22
UNIVERSAL INSURANCE HOLDINGS***18
US DOLLAR***681
US ECOLOGY INC***67
VAIL RESORTS INC***346
WATSCO INC***414
WENDY S CO/THE***416
WEST PHARMACEUTICAL SERVICES***291

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
WESTERN ALLIANCE BANCORP***316
WEX INC***450
WOODWARD INC***522
WORKIVA INC***46
*WPX ENERGY INC***113
XPO LOGISTICS INC***363
XENCOR INC***175
*ZEBRA TECHNOLOGIES CORP CL A***600
*ZYMEWORKS INC***95
*ZYNGA INC CL A***417
*Subtotal T. Rowe Price85,352
Loan Fund
Notes receivable from MembersNotes receivable from Members, maturing in 2021 through 2033 bearing interest at rates from 4.25% - 9.25%N/A73,941
Subtotal Loan Fund73,941
Master Expense Account
HARTFORD MASTER EXPENSE FUNDSubtotal Master Expense Account2
Mutual Funds
Hartford HLS Divident & Growth Fd Cl Ia***335,527
Hartford HLS Mut Fds Bond HLS Fd Cl Ia***186,520
Hartford HLS Mut Fds Intl Opportunities HLS Fd Cl I***97,436
Hartford HLS Mut Fds Midcap HLS Fd Cl Ia***129,187
Vanguard Federal Money Market***123,569
Subtotal Mutual Funds872,239
Separate Account GIC
New York Life***107,716
Subtotal Separate Account GIC107,716
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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
Shared Holdings (aa) - HIMCO Bond Fund
ABBVIE INC4.25 %11/14/2028***599
AEP TEXAS INC2.40 %10/1/2022***774
ALLY AUTO RECEIVABLES TRUST1.96 %12/16/2024***325
AMERICAN EXPRESS CO3.00 %10/30/2024***1,365
AMERICAN EXPRESS CREDIT ACCOUN2.67 %11/15/2024***892
AMERICAN HONDA FINANCE2.35 %1/8/2027***808
AMERICAN INTL GROUP3.75 %7/10/2025***1,123
ANHEUSER BUSCH CO/INBEV3.65 %2/1/2026***1,130
APPLE INC2.20 %9/11/2029***1,080
ASTRAZENECA PLC3.50 %8/17/2023***916
AT+T INC2.30 %6/1/2027***1,333
BANK OF AMERICA CORP3.88 %8/1/2025***570
BANK OF AMERICA CORP3.25 %10/21/2027***1,343
BANK OF AMERICA CREDIT CARD TR1.74 %1/15/2025***881
BANK OF NY MELLON CORP3.25 %9/11/2024***972
BARCLAYS PLC1.01 %12/10/2024***1,007
BAYER US FINANCE II LLC4.25 %12/15/2025***0
BAYER US FINANCE II LLC4.38 %12/15/2028***1,176
BAYER US FINANCE LLC3.38 %10/8/2024***895
BERKSHIRE HATHAWAY INC2.20 %3/15/2021***501
BLACKROCK INC1.90 %1/28/2031***628
BMW VEHICLE OWNER TRUST1.95 %1/26/2026***408
BOSTON GAS COMPANY3.15 %8/1/2027***999
BOSTON SCIENTIFIC CORP1.90 %6/1/2025***315
BP CAPITAL MARKETS PLC3.81 %2/10/2024***719
BRISTOL MYERS SQUIBB CO3.40 %7/26/2029***728
BRITISH COLUMBIA PROV OF2.65 %9/22/2021***336
BURLINGTN NO SF 05 3 TR4.83 %1/15/2023***73

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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
BURLINGTN NORTH SANTA FE3.40 %9/1/2024***527
CALIFORNIA ST2.37 %4/1/2022***1,025
CAPITAL ONE FINANCIAL CO3.75 %3/9/2027***1,141
CAPITAL ONE PRIME AUTO RECEIVA1.96 %2/18/2025***805
CATERPILLAR INC2.60 %9/19/2029***829
CHARLES SCHWAB CORP0.90 %3/11/2026***608
CHARLES SCHWAB CORP1.65 %3/11/2031***606
CHUBB INA HOLDINGS INC2.70 %3/13/2023***763
CIGNA CORP4.38 %10/15/2028***755
CIGNA CORP4.50 %3/15/2021***0
CITIGROUP INC3.88 %10/25/2023***550
CITIGROUP INC2.70 %3/30/2021***1,006
CITIZENS BANK NA/RI3.70 %3/29/2023***497
COMCAST CORP3.95 %10/15/2025***0
COMCAST CORP4.15 %10/15/2028***752
COMM MORTGAGE TRUST3.76 %2/10/2049***1,133
COMM MORTGAGE TRUST1.87 %4/12/2035***31
COMMONWEALTH EDISON CO2.95 %8/15/2027***1,110
COSTCO WHOLESALE CORP1.38 %6/20/2027***773
CREDIT SUISSE GROUP AG4.28 %1/9/2028***1,185
CSAIL COMMERCIAL MORTGAGE TRUS3.81 %11/15/2048***1,128
CVS HEALTH CORP1.75 %8/21/2030***1,006
DELL INT LLC / EMC CORP5.45 %6/15/2023***1,123
DIAGEO CAPITAL PLC2.38 %10/24/2029***807
EVERSOURCE ENERGY2.75 %3/15/2022***513
EVERSOURCE ENERGY2.90 %10/1/2024***540
EXXON MOBIL CORPORATION2.44 %8/16/2029***1,085
FANNIE MAE0.56 %10/22/2025***2,001
FANNIE MAE0.31 %11/16/2023***2,002
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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
FANNIEMAE ACES3.35 %3/25/2024***892
FED HM LN PC POOL A115445.50 %6/1/2033***2
FED HM LN PC POOL A159426.00 %11/1/2033***5
FED HM LN PC POOL A265866.00 %9/1/2034***5
FED HM LN PC POOL A779525.00 %5/1/2038***7
FED HM LN PC POOL C035066.00 %5/1/2040***86
FED HM LN PC POOL G016296.00 %10/1/2033***7
FED HM LN PC POOL G141745.00 %3/1/2025***9
FED HM LN PC POOL G609483.00 %1/1/2047***1,391
FED HM LN PC POOL J010605.00 %1/1/2021***0
FED HM LN PC POOL J388263.50 %5/1/2033***387
FED HM LN PC POOL Q507033.00 %9/1/2047***0
FED HM LN PC POOL Q558515.00 %5/1/2048***683
FED HM LN PC POOL Q586344.00 %9/1/2048***3,138
FED HM LN PC POOL QA95653.50 %5/1/1950***1,190
FED HM LN PC POOL QB33882.50 %9/1/1950***3,051
FED HM LN PC POOL QB51502.00 %10/1/1950***1,292
FED HM LN PC POOL V825323.00 %8/1/2046***2,507
FED HM LN PC POOL V829423.00 %2/1/2047***1,802
FED HM LN PC POOL ZL18304.00 %8/1/2041***105
FHLMC MULTIFAMILY STRUCTURED P2.68 %10/25/2022***1,143
FIFTH THIRD BANK2.88 %10/1/2021***646
FNMA POOL 3578216.00 %5/1/2035***89
FNMA POOL 5554176.00 %5/1/2033***26
FNMA POOL 5555915.50 %7/1/2033***29
FNMA POOL 7257046.00 %8/1/2034***21
FNMA POOL 7307166.00 %8/1/2033***14
FNMA POOL 7340595.50 %8/1/2033***7
FNMA POOL 7459326.50 %11/1/2036***40
FNMA POOL 7561546.00 %11/1/2033***25
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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
FNMA POOL 7921915.50 %9/1/2034***32
FNMA POOL 8880225.00 %2/1/2036***62
FNMA POOL 8883415.00 %2/1/2037***43
FNMA POOL 8905285.50 %6/1/2039***60
FNMA POOL 9085605.50 %1/1/2022***0
FNMA POOL 9440266.50 %8/1/2037***105
FNMA POOL AA42664.50 %5/1/2024***5
FNMA POOL AB05366.00 %2/1/2037***33
FNMA POOL AJ57333.50 %12/1/2041***1,227
FNMA POOL AL01944.00 %1/1/2041***623
FNMA POOL AP06322.50 %7/1/2027***245
FNMA POOL AR94364.00 %8/1/2043***11
FNMA POOL AS87642.50 %2/1/2032***832
FNMA POOL AS97635.00 %6/1/2047***282
FNMA POOL AV23574.00 %1/1/2044***977
FNMA POOL AW10074.00 %5/1/2044***799
FNMA POOL AW50674.50 %7/1/2044***1,456
FNMA POOL AY54154.00 %3/1/2045***1,902
FNMA POOL AZ21664.00 %7/1/2045***864
FNMA POOL BC12123.00 %7/1/2046***3,022
FNMA POOL BC47504.00 %10/1/2046***394
FNMA POOL BC61214.00 %6/1/2046***371
FNMA POOL BC93643.50 %6/1/2046***1,710
FNMA POOL BD33123.00 %10/1/2046***359
FNMA POOL BD54292.50 %12/1/2046***898
FNMA POOL BJ06875.00 %4/1/2048***695
FNMA POOL BJ08524.50 %11/1/2047***1,215
FNMA POOL BJ19914.00 %11/1/2047***489
FNMA POOL BJ75924.50 %1/1/2049***1,615
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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
FNMA POOL BJ82714.50 %2/1/2048***1,006
FNMA POOL BK10273.50 %3/1/2048***496
FNMA POOL BN61434.00 %2/1/2049***305
FNMA POOL BO36944.00 %1/1/1950***786
FNMA POOL BO63083.50 %9/1/2049***511
FNMA POOL BO69353.50 %10/1/2049***3,917
FNMA POOL BQ05612.50 %10/1/1950***997
FNMA POOL BQ21272.00 %8/1/1950***1,031
FNMA POOL FM12513.00 %4/1/2045***973
FNMA POOL MA15433.50 %8/1/2033***827
FNMA POOL MA22762.50 %4/1/2045***363
FREDDIE MAC0.57 %10/8/2025***2,004
FREDDIE MAC0.36 %5/15/2024***2,001
FREDDIE MAC SLST3.50 %6/25/2028***1,085
FREDDIE MAC SLST3.50 %5/25/2029***459
GE COMMERCIAL MORTGAGE CORPORA— %3/10/2044***0
GENERAL DYNAMICS CORP3.50 %5/15/2025***1,677
GENERAL ELECTRIC CO3.45 %5/1/2027***566
GENERAL MILLS INC4.00 %4/17/2025***707
GLAXOSMITHKLINE CAP INC3.63 %5/15/2025***763
GLENCORE FINANCE CANADA4.25 %10/25/2022***586
GM FINANCIAL SECURITIZED TERM2.46 %7/17/2023***305
GM FINANCIAL SECURITIZED TERM1.90 %3/17/2025***305
GM FINANCIAL SECURITIZED TERM0.58 %1/16/2026***301
GM FINANCIAL SECURITIZED TERM0.50 %2/17/2026***251
GNMA II POOL 0036245.50 %10/20/2034***28
GNMA II POOL 0045995.00 %12/20/2039***90
GNMA II POOL 7846784.00 %1/20/2048***761
GNMA II POOL AB92753.00 %12/20/2042***613

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

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

See accompanying Report of Independent Registered Public Accounting Firm.
F-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, 2020
($ IN THOUSANDS)
(a)(b) Identity of issue, borrower, lessor, or similar party(c) Description of investment including maturity date, rate of interest, collateral, par or maturity date(d) Cost(e) Current Value
GNMA II POOL AC25523.50 %1/20/2043***742
GNMA II POOL BH04254.50 %6/20/2048***328
GNMA II POOL MA27543.50 %4/20/2045***668
GNMA II POOL MA28923.50 %6/20/2045***303
GNMA II POOL MA51903.00 %5/20/2048***903
GNMA II POOL MA51913.50 %5/20/2048***151
GNMA II POOL MA51924.00 %5/20/2048***179
GNMA II POOL MA51934.50 %5/20/2048***137
GNMA POOL 4347878.00 %5/15/2030***9
GNMA POOL 4858566.50 %10/15/2031***8
GNMA POOL 5104035.00 %1/15/2035***9
GNMA POOL 5108448.00 %12/15/2029***1
GNMA POOL 5339466.50 %4/15/2032***4
GNMA POOL 5508875.00 %8/15/2035***12
GNMA POOL 5510776.50 %11/15/2031***5
GNMA POOL 5511206.50 %8/15/2031***15
GNMA POOL 5693276.50 %4/15/2032***61
GNMA POOL 5808806.50 %11/15/2031***16
GNMA POOL 6222785.00 %4/15/2035***9
GNMA POOL 6312425.50 %6/15/2035***39
GNMA POOL 6416015.00 %3/15/2035***20
GNMA POOL 6468655.00 %8/15/2035