Holdings are itemized directly on this plan's Schedule of Assets, below.
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER SMITH | 13-5674085 | — | INVESTMENT ADVISOR | $83K | — |
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NOVA 401K ASSOCIATES | 20-1181458 | — | THIRD PARTY ADMINISTRATOR | $6K | — |
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SEPARATE ACCOUNT 401 TALCOTT RESOLUTION LIFE INSURANCE COMPANY · EIN 06-0974148 / PN 000 | Pooled Separate Account | — | — | $31.6M | 91.2% |
| Talcott Resolution Hartford Dividend and Growth R6 | — | — | — | $4.2M | 12.1% |
| Talcott Resolution JPMorgan Large Cap Growth R6 | — | — | — | $4.0M | 11.6% |
| Talcott Resolution Blackrock Ishares S&P 500 Index K | — | — | — | $2.7M | 7.7% |
| Talcott Resolution Fixed Account | — | — | — | $2.6M | 7.5% |
| Talcott Resolution American Funds Capital Income Builder R6 | — | — | — | $2.2M | 6.4% |
| Talcott Resolution Blackrock Ishares Russell MD Cap IX K | — | — | — | $1.9M | 5.5% |
| Talcott Resolution Vanguard Small-Cap Index ADM | — | — | — | $1.5M | 4.3% |
| Talcott Resolution PIMCO Income Inst | — | — | — | $1.4M | 4.1% |
| Talcott Resolution MFS International Growth R6 | — | — | — | $1.4M | 4.1% |
| Talcott Resolution Eaton Vance Inc Fund of Boston R6 | — | — | — | $1.4M | 4.1% |
| Talcott Resolution Indexselect Moderate 2035 I | — | — | — | $1.4M | 3.9% |
| Talcott Resolution Fidelity Advisor Total Bond Z | — | — | — | $1.2M | 3.5% |
| Talcott Resolution Indexselect Moderate 2055 I | — | — | — | $1.1M | 3.1% |
| Talcott Resolution Lord Abbett International Opportunities | — | — | — | $848K | 2.5% |
| Talcott Resolution PIMCO International Bond | — | — | — | $826K | 2.4% |
| Talcott Resolution American Funds New World R6 | — | — | — | $821K | 2.4% |
| Talcott Resolution Indexselect Moderate 2045 I | — | — | — | $731K | 2.1% |
| Talcott Resolution MFS Technology R6 | — | — | — | $618K | 1.8% |
| Talcott Resolution American Funds Balanced R6 | — | — | — | $449K | 1.3% |
| Participant Loans Interest Rate: 5.25% - 10.50% | Participant loans | — | — | $433K | 1.2% |
| Talcott Resolution Vanguard Total International Stock ADM | — | — | — | $414K | 1.2% |
| Talcott Resolution Blackrock Health Sciences Opps Portfolio K | — | — | — | $360K | 1.0% |
| Talcott Resolution MFS Government Securities R6 | — | — | — | $331K | 1.0% |
| Talcott Resolution American Funds New Perspective R6 | — | — | — | $314K | 0.9% |
| Talcott Resolution PGIM Jennison Small Company R6 | — | — | — | $288K | 0.8% |
| Talcott Resolution Hartford Balanced Income R6 | — | — | — | $202K | 0.6% |
| Talcott Resolution Hartford Schroders International Multi-cap Val SDR | — | — | — | $182K | 0.5% |
| Talcott Resolution Carillon Eagle Mid Cap Growth R6 | — | — | — | $159K | 0.5% |
| Talcott Resolution Columbia Global Equity Value Inst3 | — | — | — | $135K | 0.4% |
| Talcott Resolution Neuberger Berman Real Estate R6 | — | — | — | $84K | 0.2% |
| Talcott Resolution Indexselect Conservative 2035 I | — | — | — | $78K | 0.2% |
| Party in Borrower, Lessor, or Rate of Interest, Collateral Current Interest Similar Party Par or Maturity Value * Talcott Resolution Invesco Small Cap Value R6 | — | — | — | $70K | 0.2% |
| Talcott Resolution Allspring Special Mid Cap Value R6 | — | — | — | $69K | 0.2% |
| Talcott Resolution MFS Emerging Markets Debt R6 | — | — | — | $58K | 0.2% |
| Talcott Resolution Invesco Gold & Spec Minerals R6 | — | — | — | $49K | 0.1% |
| Talcott Resolution Indexselect Aggressive 2055 I | — | — | — | $37K | 0.1% |
| Talcott Resolution Indexselect Aggressive Retire Fund | — | — | — | $30K | <0.1% |
| Talcott Resolution Blackrock Inflation Protected Bond K | — | — | — | $24K | <0.1% |
| Talcott Resolution Indexselect Moderate Retire Fund | — | — | — | $16K | <0.1% |
