schemaVersion:

N-CEN: Filer Information

Submission Contact Information

Name
 
Phone
 
E-Mail Address
 

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000081376 
Class ID Record:1
Class ID
C000244148 
Series ID Record:2
Series ID
S000073404 
Class ID Record:1
Class ID
C000230284 
Series ID Record:3
Series ID
S000058872 
Class ID Record:1
Class ID
C000193049 
Series ID Record:4
Series ID
S000073664 
Class ID Record:1
Class ID
C000230731 
Series ID Record:5
Series ID
S000067959 
Class ID Record:1
Class ID
C000217911 
Series ID Record:6
Series ID
S000061914 
Class ID Record:1
Class ID
C000200624 
Series ID Record:7
Series ID
S000058871 
Class ID Record:1
Class ID
C000193047 
Series ID Record:8
Series ID
S000057958 
Class ID Record:1
Class ID
C000189003 
Series ID Record:9
Series ID
S000073398 
Class ID Record:1
Class ID
C000230267 

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2025-07-31 
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
Hartford Funds Exchange-Traded Trust 
b. Investment Company Act file number ( e.g., 811-)
811-23222 
c. CIK
0001501825 
d. LEI
549300IA3XO4BB2LUL19 

Item B.2. Address and telephone number of Registrant.

a. Street 1
690 LEE ROAD 
Street 2
 
b. City
WAYNE 
c. State, if applicable
PENNSYLVANIA  
d. Foreign country, if applicable
UNITED STATES OF AMERICA  
e. Zip code and zip code extension, or foreign postal code
19087 
f. Telephone number (including country code if foreign)
610-386-4068 
g. Public Website, if any
hartfordfunds.com 

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
Wellington Management Company LLP 
b. Street 1
280 Congress Street 
Street 2
 
c. City
Boston 
d. State, if applicable
MASSACHUSETTS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
02210 
g. Telephone number (including country code if foreign)
617-951-5000 
h. Briefly describe the books and records kept at this location:
Records relating to its function as sub-adviser 
Location books Record: 2
a. Name of person (e.g., a custodian of records)
Schroder Investment Management North America Inc. 
b. Street 1
7 Bryant Park 
Street 2
 
c. City
New York 
d. State, if applicable
NEW YORK  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
10018 
g. Telephone number (including country code if foreign)
212-641-3800 
h. Briefly describe the books and records kept at this location:
Records relating to its function as sub-adviser 
Location books Record: 3
a. Name of person (e.g., a custodian of records)
Schroder Investment Management North America Limited 
b. Street 1
1 London Wall Place 
Street 2
 
c. City
London 
d. State, if applicable
 
e. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
f. Zip code and zip code extension, or foreign postal code
EC2Y 5AU 
g. Telephone number (including country code if foreign)
020-7658-6000 
h. Briefly describe the books and records kept at this location:
Records relating to its function as sub-sub-adviser 
Location books Record: 4
a. Name of person (e.g., a custodian of records)
Hartford Funds Management Company, LLC 
b. Street 1
690 Lee Road 
Street 2
 
c. City
Wayne 
d. State, if applicable
PENNSYLVANIA  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
19087 
g. Telephone number (including country code if foreign)
610-386-4068 
h. Briefly describe the books and records kept at this location:
Records relating to its function as investment manager and administrator 
Location books Record: 5
a. Name of person (e.g., a custodian of records)
ALPS Distributors, Inc. 
b. Street 1
1290 Broadway 
Street 2
Suite 1000 
c. City
Denver 
d. State, if applicable
COLORADO  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
80203 
g. Telephone number (including country code if foreign)
303-623-2577 
h. Briefly describe the books and records kept at this location:
Records relating to its function as distributor 
Location books Record: 6
a. Name of person (e.g., a custodian of records)
State Street Bank and Trust Company 
b. Street 1
One Congress Street 
Street 2
Suite 1 
c. City
Boston 
d. State, if applicable
MASSACHUSETTS  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Zip code and zip code extension, or foreign postal code
02114 
g. Telephone number (including country code if foreign)
617-786-3000 
h. Briefly describe the books and records kept at this location:
Custody, Transfer Agent, and Fund Accounting Records 

Item B.4. Initial or final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
HARTFORD FUNDS 

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked  a. Open-end management investment company registered under the Act on Form N-1A 
Checkbox not checked  b. Closed-end management investment company registered under the Act on Form N-2  
Checkbox not checked  c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 
Checkbox not checked  d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 
Checkbox not checked  e. Small business investment company registered under the Act on Form N-5 
Checkbox not checked  f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 
Checkbox not checked  g. Unit investment trust registered under the Act on Form N-8B-2 
i. Total number of Series of the Registrant
8 
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
Terminated Organization Record: 1
i. Name of the Series
Hartford Schroders Commodity Strategy ETF 
ii. Series identification number
S000073398 
iii. Date of termination (month/year)
06/2025 

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button checked Yes Radio button not checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Paul L. Rosenberg 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23002 
File Number Record: 2
File Number Record:
811-23776 
File Number Record: 3
File Number Record:
811-08629 
File Number Record: 4
File Number Record:
811-07589 
File Number Record: 5
File Number Record:
811-00558 
Director Record: 2
a. Full Name
Andrew A. Johnson 
b. CRD number, if any
004347413 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-08629 
File Number Record: 2
File Number Record:
811-23002 
File Number Record: 3
File Number Record:
811-23776 
File Number Record: 4
File Number Record:
811-00558 
File Number Record: 5
File Number Record:
811-07589 
Director Record: 3
a. Full Name
Robin C. Beery 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-07589 
File Number Record: 2
File Number Record:
811-23002 
File Number Record: 3
File Number Record:
811-00558 
File Number Record: 4
File Number Record:
811-23776 
File Number Record: 5
File Number Record:
811-08629 
Director Record: 4
a. Full Name
Derrick D. Cephas 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-00558 
File Number Record: 2
File Number Record:
811-23776 
File Number Record: 3
File Number Record:
811-07589 
File Number Record: 4
File Number Record:
811-08629 
File Number Record: 5
File Number Record:
811-23002 
Director Record: 5
a. Full Name
Hilary E. Ackermann 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23002 
File Number Record: 2
File Number Record:
811-00558 
File Number Record: 3
File Number Record:
811-08629 
File Number Record: 4
File Number Record:
811-07589 
File Number Record: 5
File Number Record:
811-23776 
Director Record: 6
a. Full Name
Christine R. Detrick 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-00558 
File Number Record: 2
File Number Record:
811-23776 
File Number Record: 3
File Number Record:
811-08629 
File Number Record: 4
File Number Record:
811-23002 
File Number Record: 5
File Number Record:
811-07589 
Director Record: 7
a. Full Name
David Sung 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23002 
File Number Record: 2
File Number Record:
811-23776 
File Number Record: 3
File Number Record:
811-07589 
File Number Record: 4
File Number Record:
811-08629 
File Number Record: 5
File Number Record:
811-00558 
Director Record: 8
a. Full Name
Gregory A. Frost 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button checked Yes Radio button not checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23776 
File Number Record: 2
File Number Record:
811-07589 
File Number Record: 3
File Number Record:
811-23002 
File Number Record: 4
File Number Record:
811-00558 
File Number Record: 5
File Number Record:
811-08629 
Director Record: 9
a. Full Name
John J. Gauthier 
b. CRD number, if any
N/A 
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
811-23776 
File Number Record: 2
File Number Record:
811-08629 
File Number Record: 3
File Number Record:
811-00558 
File Number Record: 4
File Number Record:
811-07589 
File Number Record: 5
File Number Record:
811-23002 

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Joseph G. Melcher 
b. CRD Number, if any
003152206 
c. Street Address 1
c/o Hartford Funds 690 Lee Road 
Street Address 2
 
d. City
Wayne 
e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Zip code and zip code extension, or foreign postal code
19087 
h. Telephone number (including country code if foreign)
XXXXXX 
i. Has the chief compliance officer changed since the last filing? Radio button not checked Yes Radio button checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
N/A 
ii. Person's IRS Employer Identification Number
N/A 

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-32971 

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
ALPS Distributors, Inc. 
ii. SEC file number (e.g., 8-)
8-34626 
iii. CRD number
000016853 
iv. Identifying number(s)
LEI
N/A 
RSSD ID
 
v. State, if applicable
COLORADO  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button not checked Yes Radio button checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about each independent public accountant:
Public accountant Record: 1
a. Full Name
PricewaterhouseCoopers LLP 
b. PCAOB Number
238 
c. Identifying number(s)
LEI
5493002GVO7EO8RNNS37 
RSSD ID
 
d. State, if applicable
PENNSYLVANIA  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button not checked Yes Radio button checked No

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

Hartford Quality Value ETF 

b. Series identication number, if any

S000081376 

c. LEI

5493000J15AUKFBLCN75 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Quality Value ETF 
ii. Class identification number, if any

C000244148 

iii. Ticker symbol, if any

QUVU 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

828,750.66000000 

g. Provide the net income from securities lending activities

7,729.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. Identifying number(s)
LEI

58PU97L1C0WSRCWADL48 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,643.90000000 

Brokers Record: 2
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. Identifying number(s)
LEI

T6FIZBDPKLYJKFCRVK44 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,313.66000000 

Brokers Record: 3
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

897.32000000 

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,883.44000000 

Brokers Record: 5
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. Identifying number(s)
LEI

549300LCO2FLSSVFFR64 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,155.46000000 

Brokers Record: 6
i. Full name of broker
Cabrera Capital Markets LLC 
ii. SEC file number

8-26406 

iii. CRD number
000010081 
iv. Identifying number(s)
LEI

254900BIRJU76JRBK985 

RSSD ID

 

v. State, if applicable
ILLINOIS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

138.12000000 

Brokers Record: 7
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,426.67000000 

Brokers Record: 8
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,365.98000000 

Brokers Record: 9
i. Full name of broker
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. Identifying number(s)
LEI

5493008F0LRLS5N8LZ81 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

556.45000000 

Brokers Record: 10
i. Full name of broker
Cowen and Company, LLC 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. Identifying number(s)
LEI

SUVUFHICNZMP2WKHG940 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,144.58000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

14,525.58000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
National Securities Clearing Corporation 
ii. SEC file number

8-164 

iii. CRD number
000007569 
iv. Identifying number(s)
LEI

549300RYC9NELN2ICA34 

RSSD ID

 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

116,583,828.77000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

116,583,828.77000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

176,242,799.98153846 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

Hartford Strategic Income ETF 

b. Series identication number, if any

S000073404 

c. LEI

5493008HCG7WQT8RZC73 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Strategic Income ETF 
ii. Class identification number, if any

C000230284 

iii. Ticker symbol, if any

HFSI 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

43,613.99000000 

g. Provide the net income from securities lending activities

493.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. Identifying number(s)
LEI

549300O1LQYCQ7G1IM57 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. Identifying number(s)
LEI

KR6LSKV3BTSJRD41IF75 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Citibank, National Association (Mumbai, Maharashtra, IN, Branch) 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
State Street Bank and Trust Company (Edinburgh, GB, Branch) 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Citibank, National Association (Singapore, SG, Branch) 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
Cititrust Colombia S A Sociedad Fiduciaria 
ii. Identifying number(s)
LEI

549300242J3IJCOSGI49 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Stanbic IBTC Bank Ltd 
ii. Identifying number(s)
LEI

549300NIVXF92ZIOVW61 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NIGERIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Skandinaviska Enskilda Banken AB 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Standard Chartered Bank (Hong Kong) Limited 
ii. Identifying number(s)
LEI

X5AV1MBDXGRPX5UGMX13 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Citibank, Anonim Sirketi 
ii. Identifying number(s)
LEI

CWZ8NZDH5SKY12Q4US31 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Deutsche Bank (Malaysia) Berhad 
ii. Identifying number(s)
LEI

529900DLWFR8HK7DR278 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) 
ii. Identifying number(s)
LEI

N1FBEDJ5J41VKZLO2475 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ROMANIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
Citibank Europe Public Limited Company 
ii. Identifying number(s)
LEI

N1FBEDJ5J41VKZLO2475 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Citibank del Peru S.A. 
ii. Identifying number(s)
LEI

MYTK5NHHP1G8TVFGT193 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
BNP Paribas 
ii. Identifying number(s)
LEI

R0MUWSFPU8MPRO8K5P83 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
BANCO CITI MEXICO S.A. INSTITUCION DE BANCA MULTIPLE, GRUPO FINANCIERO CITI MEXICO 
ii. Identifying number(s)
LEI

529900H31AYI6WA1J534 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Royal Bank of Canada 
ii. Identifying number(s)
LEI

ES7IP3U3RHIGC71XBU11 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
State Street Trust Company Canada 
ii. Identifying number(s)
LEI

549300L71XG2CTQ2V827 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
First Abu Dhabi Bank MISR S.A.E. 
ii. Identifying number(s)
LEI

549300FRMQH3ELEXQI94 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
EGYPT  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
Intesa Sanpaolo S.p.A. 
ii. Identifying number(s)
LEI

2W8N8UU78PMDQKZENC08 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
UniCredit Bank Srbija a.d. Beograd 
ii. Identifying number(s)
LEI

52990001O0THU00TYK59 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SERBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) 
ii. Identifying number(s)
LEI

7LTWFZYICNSX8D621K86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
Standard Chartered Bank Ghana PLC 
ii. Identifying number(s)
LEI

549300WFGKTC3MGDCX95 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GHANA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
Banco de Chile 
ii. Identifying number(s)
LEI

8B4EZFY8IHJC44TT2K84 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
Bank Handlowy w Warszawie Spolka Akcyjna 
ii. Identifying number(s)
LEI

XLEZHWWOI4HFQDGL4793 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
State Street Bank International GmbH 
ii. Identifying number(s)
LEI

ZMHGNT7ZPKZ3UFZ8EO46 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 37
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. (Bratislava, Bratislavsky, SK, Branch) 
ii. Identifying number(s)
LEI

KR6LSKV3BTSJRD41IF75 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SLOVAKIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 38
i. Full name
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 39
i. Full name
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) 
ii. Identifying number(s)
LEI

7LTWFZYICNSX8D621K86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Tigress Financial Partners, LLC 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

254900LUN6D4YD8ZWD27 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

8.00000000 

Brokers Record: 2
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

11,533.60000000 

Brokers Record: 3
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1.20000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

11,542.80000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

435,116,490.13000000 

Principal Transactions Record: 2
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. Identifying number(s)
LEI

RUC0QBLBRPRCU4W1NE59 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,305,755.92000000 

Principal Transactions Record: 3
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

39,935,555.29000000 

Principal Transactions Record: 4
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

78,117,215.97000000 

Principal Transactions Record: 5
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. Identifying number(s)
LEI

AC28XWWI3WIBK2824319 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

32,246,106.53000000 

Principal Transactions Record: 6
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

8-17822 

iii. CRD number
000002525 
iv. Identifying number(s)
LEI

9J6MBOOO7BECTDTUZW19 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

15,606,603.82000000 

Principal Transactions Record: 7
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

16,695,470.10000000 

Principal Transactions Record: 8
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

38,803,261.00000000 

Principal Transactions Record: 9
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-8177 

iii. CRD number
000007059 
iv. Identifying number(s)
LEI

MBNUM2BPBDO7JBLYG310 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

11,869,883.37000000 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

59,711,194.04000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

826,906,991.38000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

96,509,029.65461538 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 2
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 3
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 4
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 5
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 6
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 7
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 8
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 9
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 10
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 11
Name of fund
Hartford Schroders Tax-Aware Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 12
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 13
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 14
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 15
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 16
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 17
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 18
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 19
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 20
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 21
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 22
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 23
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 24
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 25
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 26
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 27
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 28
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 29
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 30
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 31
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 32
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 33
Name of fund
Hartford Core Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 34
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 35
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 36
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 37
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 38
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 39
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 40
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 41
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 42
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 43
Name of fund
Hartford Municipal Opportunities ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 44
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 45
Name of fund
Hartford AAA CLO ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 46
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 47
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 48
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 49
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 50
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 51
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 52
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 53
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 54
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 55
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 56
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 57
Name of fund
Hartford Total Return Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 58
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 59
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 60
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 61
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 62
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 63
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 64
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 65
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 66
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 67
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

Hartford Schroders Tax-Aware Bond ETF 

b. Series identication number, if any

S000058872 

c. LEI

549300X7W5UUZO6BLI07 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Schroders Tax-Aware Bond ETF 
ii. Class identification number, if any

C000193049 

iii. Ticker symbol, if any

HTAB 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A 

g. Provide the net income from securities lending activities

N/A 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Schroder Investment Management North America Inc. 
ii. SEC file number (e.g., 801-), if applicable

801-15834 

iii. CRD number
000105820 
iv. Identifying number(s)
LEI

5493003P29LAPF3HFV10 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
i. Full name
Schroder Investment Management North America Limited 
ii. SEC file number (e.g., 801-), if applicable

801-37163 

iii. CRD number
000106585 
iv. Identifying number(s)
LEI

54930087VYMSIGK4TY26 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,530.66000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

1,530.66000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. Identifying number(s)
LEI

RUC0QBLBRPRCU4W1NE59 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

34,220,812.74000000 

Principal Transactions Record: 2
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-8177 

iii. CRD number
000007059 
iv. Identifying number(s)
LEI

MBNUM2BPBDO7JBLYG310 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

59,892,531.47000000 

Principal Transactions Record: 3
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

81,873,548.36000000 

Principal Transactions Record: 4
i. Full name of dealer
BNY Capital Markets, LLC 
ii. SEC file number

8-35255 

iii. CRD number
000017454 
iv. Identifying number(s)
LEI

VJW2DOOHGDT6PR0ZRO63 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

43,883,924.40000000 

Principal Transactions Record: 5
i. Full name of dealer
Stifel, Nicolaus & Company, Incorporated 
ii. SEC file number

8-1447 

iii. CRD number
000000793 
iv. Identifying number(s)
LEI

5WUVMA08EYG4KEUPW589 

RSSD ID

 

v. State, if applicable
MISSOURI  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

24,877,948.25000000 

Principal Transactions Record: 6
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

36,170,881.38000000 

Principal Transactions Record: 7
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

96,599,657.17000000 

Principal Transactions Record: 8
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. Identifying number(s)
LEI

549300LCO2FLSSVFFR64 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

55,374,831.98000000 

Principal Transactions Record: 9
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

280,455,695.44000000 

Principal Transactions Record: 10
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

70,481,771.56000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

899,622,626.12000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

417,191,081.88769230 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 2
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 3
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 4
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 5
Name of fund
Hartford Strategic Income ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 6
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 7
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 8
Name of fund
Hartford Core Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 9
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 10
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 11
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 12
Name of fund
Hartford Municipal Opportunities ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 13
Name of fund
Hartford AAA CLO ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 14
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 15
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 16
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 17
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 18
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 19
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 20
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 21
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 22
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 23
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 24
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 25
Name of fund
Hartford Total Return Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 26
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 27
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 28
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 29
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 30
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 31
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 32
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 33
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 34
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 35
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 36
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 37
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 38
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 39
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 40
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 41
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 42
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 43
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 44
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 45
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 46
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 47
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 48
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 49
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 50
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 51
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 52
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 53
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 54
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 55
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 56
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 57
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 58
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 59
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 60
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 61
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 62
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 63
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 64
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 65
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 66
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 67
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

Hartford Large Cap Growth ETF 

b. Series identication number, if any

S000073664 

c. LEI

549300BFJAB3EUJ2N702 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Large Cap Growth ETF 
ii. Class identification number, if any

C000230731 

iii. Ticker symbol, if any

HFGO 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

261,450.58000000 

g. Provide the net income from securities lending activities

340.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. Identifying number(s)
LEI

549300LCO2FLSSVFFR64 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,575.57000000 

Brokers Record: 2
i. Full name of broker
UBS Securities LLC 
ii. SEC file number

8-22651 

iii. CRD number
000007654 
iv. Identifying number(s)
LEI

T6FIZBDPKLYJKFCRVK44 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

828.06000000 

Brokers Record: 3
i. Full name of broker
Allen & Company LLC 
ii. SEC file number

8-12123 

iii. CRD number
000001042 
iv. Identifying number(s)
LEI

549300RO3RYDN328JY68 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

333.33000000 

Brokers Record: 4
i. Full name of broker
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

577.14000000 

Brokers Record: 5
i. Full name of broker
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

1,155.64000000 

Brokers Record: 6
i. Full name of broker
Cowen and Company, LLC 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. Identifying number(s)
LEI

SUVUFHICNZMP2WKHG940 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

657.10000000 

Brokers Record: 7
i. Full name of broker
Evercore Group L.L.C. 
ii. SEC file number

8-49830 

iii. CRD number
000042405 
iv. Identifying number(s)
LEI

5493008F0LRLS5N8LZ81 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

445.74000000 

Brokers Record: 8
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,552.57000000 

Brokers Record: 9
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

587.41000000 

Brokers Record: 10
i. Full name of broker
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. Identifying number(s)
LEI

58PU97L1C0WSRCWADL48 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

2,456.23000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

12,215.40000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,389,388.00000000 

Principal Transactions Record: 2
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

57,243,179.00000000 

Principal Transactions Record: 3
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-8177 

iii. CRD number
000007059 
iv. Identifying number(s)
LEI

MBNUM2BPBDO7JBLYG310 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

27,900.00000000 

Principal Transactions Record: 4
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

13,200.00000000 

Principal Transactions Record: 5
i. Full name of dealer
National Securities Clearing Corporation 
ii. SEC file number

8-164 

iii. CRD number
000007569 
iv. Identifying number(s)
LEI

549300RYC9NELN2ICA34 

RSSD ID

 

v. State, if applicable
NEW JERSEY  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

119,554,472.88000000 

Principal Transactions Record: 6
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,827,051.20000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

182,055,191.08000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

135,692,054.08307692 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

Hartford Core Bond ETF 

b. Series identication number, if any

S000067959 

c. LEI

54930082MBO8AM8BIK30 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Core Bond ETF 
ii. Class identification number, if any

C000217911 

iii. Ticker symbol, if any

HCRB 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

194,406.59000000 

g. Provide the net income from securities lending activities

3,097.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

10,077.66000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

10,077.66000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-8177 

iii. CRD number
000007059 
iv. Identifying number(s)
LEI

MBNUM2BPBDO7JBLYG310 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

14,858,940.52000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

352,737,228.95000000 

Principal Transactions Record: 3
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

30,699,913.20000000 

Principal Transactions Record: 4
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

226,654,875.39000000 

Principal Transactions Record: 5
i. Full name of dealer
BMO Capital Markets Corp. 
ii. SEC file number

8-34344 

iii. CRD number
000016686 
iv. Identifying number(s)
LEI

RUC0QBLBRPRCU4W1NE59 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

13,630,598.51000000 

Principal Transactions Record: 6
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

340,585,144.00000000 

Principal Transactions Record: 7
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. Identifying number(s)
LEI

AC28XWWI3WIBK2824319 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

67,365,935.24000000 

Principal Transactions Record: 8
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

523,610,322.98000000 

Principal Transactions Record: 9
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

226,013,813.78000000 

Principal Transactions Record: 10
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. Identifying number(s)
LEI

12UUJYTN7D3SW8KCSG25 

RSSD ID

 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

13,426,760.59000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

1,885,825,692.95000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

294,381,155.94076923 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 2
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 3
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 4
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 5
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 6
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 7
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 8
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 9
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 10
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 11
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 12
Name of fund
Hartford Total Return Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 13
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 14
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 15
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 16
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 17
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 18
Name of fund
Hartford Schroders Tax-Aware Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 19
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 20
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 21
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 22
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 23
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 24
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 25
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 26
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 27
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 28
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 29
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 30
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 31
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 32
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 33
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 34
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 35
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 36
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 37
Name of fund
Hartford Municipal Opportunities ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 38
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 39
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 40
Name of fund
Hartford AAA CLO ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 41
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 42
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 43
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 44
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 45
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 46
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 47
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 48
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 49
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 50
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 51
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 52
Name of fund
Hartford Strategic Income ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 53
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 54
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 55
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 56
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 57
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 58
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 59
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 60
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 61
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 62
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 63
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 64
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 65
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 66
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 67
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 6

Item C.1. Background information.

a. Full Name of the Fund

Hartford AAA CLO ETF 

b. Series identication number, if any

S000061914 

c. LEI

549300FUVHXM8XPJVH45 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford AAA CLO ETF 
ii. Class identification number, if any

C000200624 

iii. Ticker symbol, if any

TRPA 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A 

g. Provide the net income from securities lending activities

N/A 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox not checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Intesa Sanpaolo S.p.A. 
ii. Identifying number(s)
LEI

2W8N8UU78PMDQKZENC08 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Skandinaviska Enskilda Banken AB 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
UniCredit Bank Austria AG 
ii. Identifying number(s)
LEI

D1HEB8VEU6D9M8ZUXG17 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Royal Bank of Canada 
ii. Identifying number(s)
LEI

ES7IP3U3RHIGC71XBU11 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Skandinaviska Enskilda Banken AB (Copenhagen, Hovedstaden, DK, Branch) 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
DENMARK  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
State Street Trust Company Canada 
ii. Identifying number(s)
LEI

549300L71XG2CTQ2V827 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
FINLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
State Street Bank and Trust Company (Edinburgh, GB, Branch) 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
BNP Paribas 
ii. Identifying number(s)
LEI

R0MUWSFPU8MPRO8K5P83 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
State Street Bank International GmbH 
ii. Identifying number(s)
LEI

ZMHGNT7ZPKZ3UFZ8EO46 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Citibank Europe Public Limited Company 
ii. Identifying number(s)
LEI

N1FBEDJ5J41VKZLO2475 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
BNP Paribas (Athens, Attica, GR, Branch) 
ii. Identifying number(s)
LEI

R0MUWSFPU8MPRO8K5P83 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. Identifying number(s)
LEI

RSSD ID

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7,661,072.89000000 

Principal Transactions Record: 2
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

9,057,030.92000000 

Principal Transactions Record: 3
i. Full name of dealer
Deutsche Bank Securities Inc. 
ii. SEC file number

8-17822 

iii. CRD number
000002525 
iv. Identifying number(s)
LEI

9J6MBOOO7BECTDTUZW19 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,146,572.50000000 

Principal Transactions Record: 4
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. Identifying number(s)
LEI

AC28XWWI3WIBK2824319 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,539,000.00000000 

Principal Transactions Record: 5
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. Identifying number(s)
LEI

549300LCO2FLSSVFFR64 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,000,000.00000000 

Principal Transactions Record: 6
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

12,386,485.00000000 

Principal Transactions Record: 7
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

191,460,586.00000000 

Principal Transactions Record: 8
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. Identifying number(s)
LEI

RCNB6OTYUAMMP879YW96 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5,853,571.24000000 

Principal Transactions Record: 9
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,842,500.00000000 

Principal Transactions Record: 10
i. Full name of dealer
SG Americas Securities, LLC 
ii. SEC file number

8-66125 

iii. CRD number
000128351 
iv. Identifying number(s)
LEI

549300F35UE0BOM1WJ55 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,639,380.00000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

268,082,967.30000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

96,346,174.51000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hartford Municipal Opportunities ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 2
Name of fund
Hartford Schroders Tax-Aware Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 3
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 4
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 5
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 6
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 7
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 8
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 9
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 10
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 11
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 12
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 13
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 14
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 15
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 16
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 17
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 18
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 19
Name of fund
Hartford Total Return Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 20
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 21
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 22
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 23
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 24
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 25
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 26
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 27
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 28
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 29
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 30
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 31
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 32
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 33
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 34
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 35
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 36
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 37
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 38
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 39
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 40
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 41
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 42
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 43
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 44
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 45
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 46
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 47
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 48
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 49
Name of fund
Hartford Core Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 50
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 51
Name of fund
Hartford Strategic Income ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 52
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 53
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 54
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 55
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 56
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 57
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 58
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 59
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 60
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 61
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 62
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 63
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 64
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 65
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 66
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 67
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 7

Item C.1. Background information.

a. Full Name of the Fund

Hartford Municipal Opportunities ETF 

b. Series identication number, if any

S000058871 

c. LEI

549300NHT5DKUBQSM732 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Municipal Opportunities ETF 
ii. Class identification number, if any

C000193047 

iii. Ticker symbol, if any

HMOP 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox not checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A 

g. Provide the net income from securities lending activities

N/A 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
i. Full name of broker
ii. SEC file number

iii. CRD number
iv. Identifying number(s)
LEI

RSSD ID

v. State, if applicable
vi. Foreign country, if applicable
vii. Gross commissions paid by the Fund for the reporting period

b. Aggregate brokerage commissions paid by Fund during the reporting period:

0.00000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BNY Capital Markets, LLC 
ii. SEC file number

8-35255 

iii. CRD number
000017454 
iv. Identifying number(s)
LEI

VJW2DOOHGDT6PR0ZRO63 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

38,392,940.55000000 

Principal Transactions Record: 2
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

25,827,951.30000000 

Principal Transactions Record: 3
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

32,864,340.15000000 

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

60,679,865.00000000 

Principal Transactions Record: 5
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

48,981,807.45000000 

Principal Transactions Record: 6
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. Identifying number(s)
LEI

AC28XWWI3WIBK2824319 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

52,329,219.60000000 

Principal Transactions Record: 7
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,445,289,809.00000000 

Principal Transactions Record: 8
i. Full name of dealer
Piper Sandler & Co. 
ii. SEC file number

8-15204 

iii. CRD number
000000665 
iv. Identifying number(s)
LEI

549300GRQCWQ3XGH0H10 

RSSD ID

 

v. State, if applicable
MINNESOTA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

38,571,066.95000000 

Principal Transactions Record: 9
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

74,344,147.45000000 

Principal Transactions Record: 10
i. Full name of dealer
RBC Capital Markets, LLC 
ii. SEC file number

8-45411 

iii. CRD number
000031194 
iv. Identifying number(s)
LEI

549300LCO2FLSSVFFR64 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

55,884,049.25000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

2,008,105,533.45000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

507,650,614.90692307 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 2
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 3
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 4
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 5
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 6
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 7
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 8
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 9
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 10
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 11
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 12
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 13
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 14
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 15
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 16
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 17
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 18
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 19
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 20
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 21
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 22
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 23
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 24
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 25
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 26
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 27
Name of fund
Hartford Strategic Income ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 28
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 29
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 30
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 31
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 32
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 33
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 34
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 35
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 36
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 37
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 38
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 39
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 40
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 41
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 42
Name of fund
Hartford Schroders Tax-Aware Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 43
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 44
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 45
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 46
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 47
Name of fund
Hartford Total Return Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 48
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 49
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 50
Name of fund
Hartford AAA CLO ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 51
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 52
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 53
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 54
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 55
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 56
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 57
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 58
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 59
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 60
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 61
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 62
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 63
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 64
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 65
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 66
Name of fund
Hartford Core Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 67
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No
Management Investment Record: 8

Item C.1. Background information.

a. Full Name of the Fund

Hartford Total Return Bond ETF 

b. Series identication number, if any

S000057958 

c. LEI

549300TXMIMTONBLXT62 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0 

b. How many new Classes of shares of the Fund were added during the reporting period?

0 

c. How many Classes of shares of the Fund were terminated during the reporting period?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Hartford Total Return Bond ETF 
ii. Class identification number, if any

C000189003 

iii. Ticker symbol, if any

HTRB 


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
 a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund 
      i.   Checkbox checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark 
 d.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox not checked   N/A 

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button not checked Yes Radio button checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button checked Yes Radio button not checked No
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? Radio button not checked Yes Radio button checked No
2. The Fund was otherwise adversely impacted? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
Securities Lending Record: 1
i. Full name of securities lending agent
Citibank, National Association 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
Securities Lending Record: 2
i. Full name of securities lending agent
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
Idemnity Providers Record: 1
1. Name of person providing indemnification
N/A 
2. Identifying number(s)
LEI

N/A 

RSSD ID

 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. Identifying number(s)
LEI

RSSD ID

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox not checked  vi. Other  
Checkbox not checked   N/A  
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

1,000,170.65000000 

g. Provide the net income from securities lending activities

5,885.00000000 


Item C.7. Reliance on certain statutory exemption and rules.

Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox not checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox not checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox not checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox not checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox checked  k. Rule 6c-11 (17 CFR 270.6c-11) 
Checkbox not checked  l. Rule 12d1-4 (17 CFR 270.12d1-4) 
Checkbox not checked  m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) 
Checkbox checked  n. Rule 18f-4 (17 CFR 270.18f-4) 
Checkbox not checked  i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))? 
Checkbox not checked  ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? 
Checkbox not checked  iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? 
Checkbox not checked  iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? 
Checkbox not checked  v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? 
Checkbox checked  vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? 
Checkbox not checked  N/A 

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. SEC file number (e.g., 801-)

801-77209 

iii.CRD number
000147746 
iv. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

v. State, if applicable
PENNSYLVANIA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub-adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 

c. For each sub-adviser to the Fund, provide the information requested:
Sub Advisors Record: 1
i. Full name
Wellington Management Company LLP 
ii. SEC file number (e.g., 801-), if applicable

801-15908 

iii. CRD number
000106595 
iv. Identifying number(s)
LEI

549300YHP12TEZNLCX41 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
 
ii. SEC file number (e.g., 801-)

 

iii. CRD number
 
iv. Identifying number(s)
LEI

 

RSSD ID

 

v. State, if applicable
 
vi. Foreign country, if applicable
 
vii. Termination date

 


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii.SEC file number (e.g., 84- or 85-)

85-05003 

iii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iv. State, if applicable
MASSACHUSETTS  
v. Foreign country, if applicable
UNITED STATES OF AMERICA  
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
ICE Data Services, Inc. 
ii. Identifying number(s)
LEI

13-3668779 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
GEORGIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
London Stock Exchange Group PLC 
ii. Identifying number(s)
LEI

213800QAUUUP6I445N30 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
PricingDirect Inc. 
ii. Identifying number(s)
LEI

549300WIC0TOJ7N7GD54 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
S&P Global Inc. 
ii. Identifying number(s)
LEI

Y6X4K52KMJMZE7I7MY94 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Bloomberg L.P. 
ii. Identifying number(s)
LEI

549300B56MD0ZC402L06 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
NEW YORK  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Intesa Sanpaolo S.p.A. 
ii. Identifying number(s)
LEI

2W8N8UU78PMDQKZENC08 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ITALY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Citibank del Peru S.A. 
ii. Identifying number(s)
LEI

MYTK5NHHP1G8TVFGT193 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
PERU  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Deutsche Bank (Malaysia) Berhad 
ii. Identifying number(s)
LEI

529900DLWFR8HK7DR278 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
MALAYSIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Standard Chartered Bank (Thai) Public Company Limited 
ii. Identifying number(s)
LEI

549300O1LQYCQ7G1IM57 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
THAILAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) 
ii. Identifying number(s)
LEI

7LTWFZYICNSX8D621K86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
Citibank, National Association (Singapore, SG, Branch) 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SINGAPORE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. (Bratislava, Bratislavsky, SK, Branch) 
ii. Identifying number(s)
LEI

KR6LSKV3BTSJRD41IF75 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SLOVAKIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) 
ii. Identifying number(s)
LEI

RB0PEZSDGCO3JS6CEU02 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
JAPAN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Standard Chartered Bank (Johannesburg, Gauteng, ZA, Branch) 
ii. Identifying number(s)
LEI

RILFO74KP1CM8P6PCT96 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SOUTH AFRICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) 
ii. Identifying number(s)
LEI

N1FBEDJ5J41VKZLO2475 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ROMANIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
AUSTRALIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
State Street Trust Company Canada 
ii. Identifying number(s)
LEI

549300L71XG2CTQ2V827 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
State Street Bank International GmbH 
ii. Identifying number(s)
LEI

ZMHGNT7ZPKZ3UFZ8EO46 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GERMANY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NEW ZEALAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NORWAY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. Identifying number(s)
LEI

KR6LSKV3BTSJRD41IF75 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Citibank, Anonim Sirketi 
ii. Identifying number(s)
LEI

CWZ8NZDH5SKY12Q4US31 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
Royal Bank of Canada 
ii. Identifying number(s)
LEI

ES7IP3U3RHIGC71XBU11 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
BANCO CITI MEXICO S.A. INSTITUCION DE BANCA MULTIPLE, GRUPO FINANCIERO CITI MEXICO 
ii. Identifying number(s)
LEI

529900H31AYI6WA1J534 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Stanbic IBTC Bank Ltd 
ii. Identifying number(s)
LEI

549300NIVXF92ZIOVW61 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
NIGERIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
UBS Switzerland AG 
ii. Identifying number(s)
LEI

549300WOIFUSNYH0FL22 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWITZERLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
UniCredit Bank Hungary Zrt. 
ii. Identifying number(s)
LEI

Y28RT6GGYJ696PMW8T44 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Banco de Chile 
ii. Identifying number(s)
LEI

8B4EZFY8IHJC44TT2K84 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
CHILE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
State Street Bank and Trust Company (Edinburgh, GB, Branch) 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
Bank Handlowy w Warszawie Spolka Akcyjna 
ii. Identifying number(s)
LEI

XLEZHWWOI4HFQDGL4793 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) 
ii. Identifying number(s)
LEI

E57ODZWZ7FF32TWEFA76 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BRAZIL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
Euroclear Bank 
ii. Identifying number(s)
LEI

549300OZ46BRLZ8Y6F65 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
BELGIUM  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
Citibank Europe Public Limited Company 
ii. Identifying number(s)
LEI

N1FBEDJ5J41VKZLO2475 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
IRELAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
Cititrust Colombia S A Sociedad Fiduciaria 
ii. Identifying number(s)
LEI

549300242J3IJCOSGI49 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
COLOMBIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
BNP Paribas 
ii. Identifying number(s)
LEI

R0MUWSFPU8MPRO8K5P83 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
FRANCE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
Skandinaviska Enskilda Banken AB 
ii. Identifying number(s)
LEI

F3JS33DEI6XQ4ZBPTN86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
SWEDEN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
i. Full name
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) 
ii. Identifying number(s)
LEI

7LTWFZYICNSX8D621K86 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
The Hongkong and Shanghai Banking Corporation Limited 
ii. Identifying number(s)
LEI

2HI3YI5320L3RW6NJ957 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
HONG KONG  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 35
i. Full name
Bank Hapoalim B.M. 
ii. Identifying number(s)
LEI

B6ARUI4946ST4S7WOU88 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
ISRAEL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 36
i. Full name
Standard Chartered Bank Ghana PLC 
ii. Identifying number(s)
LEI

549300WFGKTC3MGDCX95 

RSSD ID

 

iii. State, if applicable
 
iv. Foreign country, if applicable
GHANA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
State Street Bank and Trust Company 
ii. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
MASSACHUSETTS  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
Hartford Funds Management Company, LLC 
ii. Identifying number(s)
LEI

549300P3DI8LOUAPBT80 

RSSD ID

 

Other identifying number

 

Description of other identifying number

 

iii. State, if applicable
PENNSYLVANIA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
Hartford Funds Distributors, LLC 
b. SEC file number

8-51290 

c. CRD number
000045995 
d. Identifying number(s)
LEI

549300P8EOSTW88HR087 

RSSD ID

 

e. State, if applicable
PENNSYLVANIA  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Gross commissions paid by the Fund for the reporting period

132,804.91000000 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

132,804.91000000 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. Identifying number(s)
LEI

RCNB6OTYUAMMP879YW96 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

85,143,024.97000000 

Principal Transactions Record: 2
i. Full name of dealer
Barclays Capital Inc. 
ii. SEC file number

8-41342 

iii. CRD number
000019714 
iv. Identifying number(s)
LEI

AC28XWWI3WIBK2824319 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,091,292,524.78000000 

Principal Transactions Record: 3
i. Full name of dealer
Citadel Securities LLC 
ii. SEC file number

8-53574 

iii. CRD number
000116797 
iv. Identifying number(s)
LEI

12UUJYTN7D3SW8KCSG25 

RSSD ID

 

v. State, if applicable
FLORIDA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

135,458,569.28000000 

Principal Transactions Record: 4
i. Full name of dealer
Wells Fargo Securities, LLC 
ii. SEC file number

8-65876 

iii. CRD number
000126292 
iv. Identifying number(s)
LEI

VYVVCKR63DVZZN70PB21 

RSSD ID

 

v. State, if applicable
NORTH CAROLINA  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,015,320,002.74000000 

Principal Transactions Record: 5
i. Full name of dealer
BofA Securities, Inc. 
ii. SEC file number

8-69787 

iii. CRD number
000283942 
iv. Identifying number(s)
LEI

549300HN4UKV1E2R3U73 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2,100,828,154.01000000 

Principal Transactions Record: 6
i. Full name of dealer
State Street Bank and Trust Company 
ii. SEC file number

N/A 

iii. CRD number
N/A 
iv. Identifying number(s)
LEI

571474TGEMMWANRLN572 

RSSD ID

 

v. State, if applicable
MASSACHUSETTS  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,661,183,114.00000000 

Principal Transactions Record: 7
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. Identifying number(s)
LEI

9R7GPTSO7KV3UQJZQ078 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4,365,594,121.11000000 

Principal Transactions Record: 8
i. Full name of dealer
J.P. Morgan Securities LLC 
ii. SEC file number

8-35008 

iii. CRD number
000000079 
iv. Identifying number(s)
LEI

ZBUT11V806EZRVTWT807 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1,677,412,142.25000000 

Principal Transactions Record: 9
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-129 

iii. CRD number
000000361 
iv. Identifying number(s)
LEI

FOR8UP27PHTHYVLBNG30 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3,090,542,083.36000000 

Principal Transactions Record: 10
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-8177 

iii. CRD number
000007059 
iv. Identifying number(s)
LEI

MBNUM2BPBDO7JBLYG310 

RSSD ID

 

v. State, if applicable
NEW YORK  
vi. Foreign country, if applicable
UNITED STATES OF AMERICA  
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

949,433,531.23000000 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

16,605,419,372.28000000 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,930,949,225.19384615 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

350,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
CITIBANK, N.A. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Hartford Schroders Tax-Aware Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 2
Name of fund
The Hartford Growth Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 3
Name of fund
The Hartford Balanced Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 4
Name of fund
The Hartford Equity Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 5
Name of fund
Hartford Sustainable Municipal Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 6
Name of fund
Hartford Small Cap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 7
Name of fund
Hartford Schroders Core Fixed Income Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 8
Name of fund
Hartford Total Return Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 9
Name of fund
The Hartford Midcap Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 10
Name of fund
Hartford Midcap HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 11
Name of fund
Hartford Small Cap Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 12
Name of fund
The Hartford Total Return Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 13
Name of fund
The Hartford Checks And Balances Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 14
Name of fund
The Hartford International Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 15
Name of fund
The Hartford Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 16
Name of fund
Hartford Disciplined Equity HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 17
Name of fund
Hartford Strategic Income ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 18
Name of fund
Hartford Schroders Diversified Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 19
Name of fund
The Hartford Capital Appreciation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 20
Name of fund
Hartford Dividend And Growth HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 21
Name of fund
Hartford Municipal Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 22
Name of fund
Hartford Schroders International Contrarian Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 23
Name of fund
Hartford Stock HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 24
Name of fund
The Hartford World Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 25
Name of fund
Hartford Core Bond ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 26
Name of fund
The Hartford Floating Rate Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 27
Name of fund
Hartford Ultrashort Bond HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 28
Name of fund
The Hartford High Yield Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 29
Name of fund
Hartford AAA CLO ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 30
Name of fund
Hartford Capital Appreciation HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 31
Name of fund
Hartford Schroders Us Midcap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 32
Name of fund
The Hartford Healthcare Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 33
Name of fund
Hartford Low Duration High Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 34
Name of fund
Hartford Schroders International Multi-Cap Value Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 35
Name of fund
Hartford International Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 36
Name of fund
The Hartford Short Duration Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 37
Name of fund
The Hartford Midcap Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 38
Name of fund
The Hartford Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 39
Name of fund
Hartford Global Impact Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 40
Name of fund
The Hartford Small Company Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 41
Name of fund
The Hartford Growth Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 42
Name of fund
The Hartford Conservative Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 43
Name of fund
Hartford Core Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 44
Name of fund
Hartford Municipal Opportunities ETF 
SEC File number( e.g., 811- )
811-23222 
Shared Credit Users Record: 45
Name of fund
Hartford Healthcare HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 46
Name of fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 47
Name of fund
Hartford Multifactor Emerging Markets ETF 
SEC File number( e.g., 811- )
811-23002 
Shared Credit Users Record: 48
Name of fund
Hartford Schroders International Stock Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 49
Name of fund
Hartford Schroders Diversified Emerging Markets Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 50
Name of fund
Hartford Climate Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 51
Name of fund
The Hartford Inflation Plus Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 52
Name of fund
The Hartford International Value Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 53
Name of fund
Hartford Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 54
Name of fund
The Hartford Dividend And Growth Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 55
Name of fund
Hartford Moderate Allocation Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 56
Name of fund
Hartford Real Asset Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 57
Name of fund
The Hartford International Opportunities Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 58
Name of fund
Hartford Small Company HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 59
Name of fund
Hartford International Opportunities HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 60
Name of fund
Hartford Balanced HLS Fund 
SEC File number( e.g., 811- )
811-08629 
Shared Credit Users Record: 61
Name of fund
Hartford Dynamic Bond Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 62
Name of fund
Hartford Multi-Asset Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 63
Name of fund
The Hartford Strategic Income Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 64
Name of fund
Hartford Schroders Us Small Cap Opportunities Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 65
Name of fund
The Hartford Emerging Markets Local Debt Fund 
SEC File number( e.g., 811- )
811-07589 
Shared Credit Users Record: 66
Name of fund
Hartford Schroders Tax-Aware Bond Fund 
SEC File number( e.g., 811- )
811-00558 
Shared Credit Users Record: 67
Name of fund
Hartford Schroders Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-00558 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No


Item C.22. Liquidity classification services. For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following:

a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period:
i. Full name
ii. Identifying number(s)
LEI

RSSD ID

Other identifying number

Description of other identifying number

iii. State, if applicable
iv. Foreign country, if applicable
v. Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button not checked No
vi. Asset class(es) for which liquidity classification services were provided to the Fund (check all that apply) Checkbox not checked  Short-term investment vehicle 
Checkbox not checked  Repurchase agreement 
Checkbox not checked  Equity-common 
Checkbox not checked  Equity-preferred 
Checkbox not checked  Debt 
Checkbox not checked  Derivative-commodity 
Checkbox not checked  Derivative-credit 
Checkbox not checked  Derivative-equity 
Checkbox not checked  Derivative-foreign exchange 
Checkbox not checked  Derivative-interest rate 
Checkbox not checked  Derivative-other 
Checkbox not checked  Structured note 
Checkbox not checked  Loan 
Checkbox not checked  ABS-mortgage backed security 
Checkbox not checked  ABS-asset backed commercial paper 
Checkbox not checked  ABS-collateralized bond/debt obligation 
Checkbox not checked  ABS-other 
Checkbox not checked  Commodity 
Checkbox not checked  Real estate 
Checkbox not checked  Other 
If "other," provide a brief description

 

b. Was a liquidity classification service hired or terminated during the reporting period? Radio button not checked Yes Radio button not checked No

N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds


Exchange Record: 1


Fund Name
Hartford Quality Value ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CBOE STOCK EXCHANGE  
b. Ticker. Provide the Fund's ticker symbol:
QUVU 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1,257,019.13000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1,800,773.88000000 
Authorized Participants Record: 2
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
2,403,882.60000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
8,176,328.68000000 
Authorized Participants Record: 9
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 10
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
54,989,677.46000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
51,507,801.48000000 
Authorized Participants Record: 12
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button not checked Yes Radio button checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
25,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
4.65785714 %  
ii. The standard deviation of the percentage of that value composed of cash:
6.21110891 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
95.34214285 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
6.21110891 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
3.26181818 %  
ii. The standard deviation of the percentage of that value composed of cash:
3.16470110 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
96.73818181 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
3.16470110 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
150.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
150.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
150.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
150.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 2


Fund Name
Hartford Strategic Income ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CBOE STOCK EXCHANGE  
b. Ticker. Provide the Fund's ticker symbol:
HFSI 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 9
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
107,574,431.55000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
3,368,621.90000000 
Authorized Participants Record: 10
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
3,484,937.60000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
22.82529411 %  
ii. The standard deviation of the percentage of that value composed of cash:
23.11134891 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
77.17470588 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
23.11134891 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
1.90000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
98.10000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
382.35294117 
3. A percentage of the value of each creation unit, if charged on that basis:
0.04424590 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
382.35294117 
3. A percentage of the value of each creation unit, if charged on that basis:
0.18266988 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
400.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00314193 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
400.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.16536513 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 3


Fund Name
Hartford Schroders Tax-Aware Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
HTAB 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
6,860,605.70000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
3,875,339.00000000 
Authorized Participants Record: 4
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1,849,315.70000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
15,705,370.95000000 
Authorized Participants Record: 7
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
70,575,372.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
29,364,807.90000000 
Authorized Participants Record: 8
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
4,897,914.20000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
27,056,940.55000000 
Authorized Participants Record: 9
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 10
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
51,925,840.20000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
6,685,171.65000000 
Authorized Participants Record: 14
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button not checked Yes Radio button checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.07196973 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.07196973 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.11250004 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.11250004 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 4


Fund Name
Hartford Large Cap Growth ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CBOE STOCK EXCHANGE  
b. Ticker. Provide the Fund's ticker symbol:
HFGO 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
17,940,333.39000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
28,947,322.37000000 
Authorized Participants Record: 5
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 9
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
24,894,702.58000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
24,987,849.50000000 
Authorized Participants Record: 10
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
13,736,681.16000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
6,300,710.03000000 
Authorized Participants Record: 12
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
6,365,515.67000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1,751,826.79000000 
Authorized Participants Record: 14
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
25,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
1.77302325 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.68350510 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
98.22697674 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.68350510 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
2.63241379 %  
ii. The standard deviation of the percentage of that value composed of cash:
6.66956631 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
97.36758620 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
6.66956631 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
250.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00017741 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
250.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.01001266 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
250.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.00037999 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
250.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.01000319 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 5


Fund Name
Hartford Core Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CBOE STOCK EXCHANGE  
b. Ticker. Provide the Fund's ticker symbol:
HCRB 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
24,405,977.35000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
10,526,694.60000000 
Authorized Participants Record: 2
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
20,903,924.85000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
8,677,744.65000000 
Authorized Participants Record: 6
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 9
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 10
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
28,034,754.50000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
15,739,628.85000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
35.46653846 %  
ii. The standard deviation of the percentage of that value composed of cash:
33.65541560 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
64.53346153 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
33.65541560 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
16.79600000 %  
ii. The standard deviation of the percentage of that value composed of cash:
12.62513936 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
83.20400000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
12.62513936 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
342.30769230 
3. A percentage of the value of each creation unit, if charged on that basis:
0.03192033 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
342.30769230 
3. A percentage of the value of each creation unit, if charged on that basis:
0.08999902 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
400.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.01511636 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
400.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.09003924 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 6


Fund Name
Hartford AAA CLO ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CBOE STOCK EXCHANGE  
b. Ticker. Provide the Fund's ticker symbol:
TRPA 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1,948,905.40000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 9
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 10
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
19,496,216.15000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1,929,440.00000000 
Authorized Participants Record: 11
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
7,809,485.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
3,905,550.05000000 
Authorized Participants Record: 13
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1,946,383.35000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button not checked Yes Radio button checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.06100005 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.06100005 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.05500009 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.05500009 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 7


Fund Name
Hartford Municipal Opportunities ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
HMOP 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
3,806,611.83000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
71,759,968.19000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
8,668,390.73000000 
Authorized Participants Record: 6
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
8,668,779.13000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2,909,591.40000000 
Authorized Participants Record: 9
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
51,606,440.51000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
981,001.73000000 
Authorized Participants Record: 10
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
33,489,479.15000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 13
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button not checked Yes Radio button checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
25,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
100.00000000 %  
ii. The standard deviation of the percentage of that value composed of cash:
0.00000000 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.00000000 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.06517244 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.06517244 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.05999996 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
100.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.05999996 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

Exchange Record: 8


Fund Name
Hartford Total Return Bond ETF 

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA  
b. Ticker. Provide the Fund's ticker symbol:
HTRB 

Item E.2. Authorized participants.

Instruction. The term "authorized participant" means a member or participant of a clearing agency registered with the Commission, which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its service providers that allows the authorized participant to place orders for the purchase and redemption of creation units.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Jane Street Capital, LLC 
b. SEC file number
8-52275 
c. CRD number
000103782 
d. Identifying number(s)
LEI
549300ZM16HMPEPNV857 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 2
a. Full Name
Mizuho Securities USA LLC 
b. SEC file number
8-37710 
c. CRD number
000019647 
d. Identifying number(s)
LEI
7TK5RJIZDFROZCA6XF66 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 3
a. Full Name
Credit Suisse Securities (USA) LLC 
b. SEC file number
8-422 
c. CRD number
000000816 
d. Identifying number(s)
LEI
1V8Y6QCX6YMJ2OELII46 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 4
a. Full Name
Virtu Americas LLC 
b. SEC file number
8-68193 
c. CRD number
000149823 
d. Identifying number(s)
LEI
549300RA02N3BNSWBV74 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 5
a. Full Name
Citadel Securities LLC 
b. SEC file number
8-53574 
c. CRD number
000116797 
d. Identifying number(s)
LEI
12UUJYTN7D3SW8KCSG25 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 6
a. Full Name
Jefferies LLC 
b. SEC file number
8-15074 
c. CRD number
000002347 
d. Identifying number(s)
LEI
58PU97L1C0WSRCWADL48 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 7
a. Full Name
Credit Suisse Securities (Europe) Limited 
b. SEC file number
8-000 
c. CRD number
N/A 
d. Identifying number(s)
LEI
DL6FFRRLF74S01HE2M14 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 8
a. Full Name
Cantor Fitzgerald & Co. 
b. SEC file number
8-201 
c. CRD number
000000134 
d. Identifying number(s)
LEI
5493004J7H4GCPG6OB62 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 9
a. Full Name
J.P. Morgan Securities LLC/JPMC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
29,403,561.70000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
116,284,877.60000000 
Authorized Participants Record: 10
a. Full Name
UBS Securities LLC 
b. SEC file number
8-22651 
c. CRD number
000007654 
d. Identifying number(s)
LEI
T6FIZBDPKLYJKFCRVK44 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 11
a. Full Name
J.P. Morgan Securities LLC 
b. SEC file number
8-35008 
c. CRD number
000000079 
d. Identifying number(s)
LEI
ZBUT11V806EZRVTWT807 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 12
a. Full Name
Merrill Lynch Professional Clearing Corp. 
b. SEC file number
8-33359 
c. CRD number
000016139 
d. Identifying number(s)
LEI
549300PMHS66E71I2D34 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
238,495,927.35000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
77,437,116.95000000 
Authorized Participants Record: 13
a. Full Name
Goldman Sachs & Co. LLC 
b. SEC file number
8-129 
c. CRD number
000000361 
d. Identifying number(s)
LEI
FOR8UP27PHTHYVLBNG30 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
258,520,454.50000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
Authorized Participants Record: 14
a. Full Name
Morgan Stanley & Co. LLC 
b. SEC file number
8-15869 
c. CRD number
000008209 
d. Identifying number(s)
LEI
9R7GPTSO7KV3UQJZQ078 
RSSD ID
 
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000 
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000 
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
(for purchases)
50,000.00000000 
(for redemptions, if different)
 
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
22.09336842 %  
ii. The standard deviation of the percentage of that value composed of cash:
16.95367028 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
77.90663157 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
16.95367028 %  
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
21.18384615 %  
ii. The standard deviation of the percentage of that value composed of cash:
15.27154998 %  
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
78.81615384 %  
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
15.27154998 %  
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
491.57894736 
3. A percentage of the value of each creation unit, if charged on that basis:
0.02431905 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
491.39784946 
3. A percentage of the value of each creation unit, if charged on that basis:
0.10998960 %  
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.02330337 %  
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000 
2. Dollars for one or more creation units redeemed on the same day, if charged on that basis:
500.00000000 
3. A percentage of the value of each creation unit, if charged on that basis:
0.11006191 %  

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? Radio button not checked Yes Radio button checked No

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked   i. Legal proceedings  
Checkbox not checked  ii. Provision of financial support  
Checkbox checked  iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)  
Checkbox not checked  iv. Change in accounting principles and practices  
Checkbox not checked  v. Information required to be filed pursuant to exemptive orders  
Checkbox not checked  vi. Other information required to be included as an attachment pursuant to Commission rules and regulations 

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI, RSSD ID).

(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
Hartford Funds Exchange-Traded Trust 
Date
2025-10-03 
Signature
William Zook 
Title
Assistant Treasurer