VIA ELECTRONIC TRANSMISSION
January 24, 2020
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-0505
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RE:
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The Hartford Mutual Funds, Inc.
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The Hartford Mutual Funds II, Inc.
Hartford Series Fund, Inc.
Hartford HLS Series Fund II, Inc.
Hartford Funds Master Fund
Lattice Strategies Trust
Hartford Funds Exchange-Traded Trust
Hartford Schroders Opportunistic Income
Fund
Ladies and Gentlemen:
On behalf of The Hartford Mutual Funds,
Inc., The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc., Hartford HLS Series Fund II, Inc., Hartford Funds Master
Fund, Lattice Strategies Trust, Hartford Funds Exchange-Traded Trust, and Hartford Schroders Opportunistic Income Fund (each
a “Registrant” and collectively, the “Registrants”), enclosed for filing, pursuant to Rule 17g-1 of
the Investment Company Act of 1940, as amended (the “1940 Act”) are the following documents:
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1.
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A copy of the Investment Company Blanket Bonds (the “Fidelity Bond”) for the Registrants,
including any riders thereto;
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2.
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A copy of the resolution approving the Fidelity Bond unanimously adopted by the members of the
Boards of Directors/Trustees of the Registrants who are not “interested persons” (as defined under Section 2(a)(19)
of the 1940 Act);
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3.
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A copy of the joint insured agreement; and
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4.
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A spreadsheet showing the amount of single insured bond coverage that each Registrant would be
required to obtain had it not obtained the Fidelity Bond.
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The premium of $63,000 was paid for the
period August 19, 2019 through August 19, 2020 for the fidelity bond coverage.
Please contact me at (610) 386-4068 if
you have any questions.
Sincerely,
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/s/ Thomas R. Phillips
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Thomas R. Phillips
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Secretary
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Investment Company Bond
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Declarations
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Travelers Casualty and Surety Company
of America
One Tower Square
Hartford, Connecticut 06183
(A Stock Insurance Company, herein called
the Company)
Hartford Series Fund, Inc.
Principal Address:
Corporate Risk Management
One Hartford Plaza
HARTFORD, CT 06155
(hereinafter, “Insured”)
Inception Date: August 19, 2019 Expiration Date:
August 19, 2020
12:01 A.M. local time as to both dates at the Principal
Address stated in ITEM 1.
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ITEM 3
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ALL NOTICES OF CLAIM OR LOSS MUST BE SENT TO THE COMPANY BY EMAIL, FACSIMILE, OR MAIL AS SET FORTH BELOW:
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Email: BSIclaims@travelers.com
Fax: (888) 460-6622
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Mail:
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Travelers Bond & Specialty Insurance Claim
385 Washington St. – Mail Code 9275-NB03F
St Paul, MN 55102
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Travelers Bond & Specialty Insurance Claim telephone
number: 800-842-8496
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ITEM 4
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If “Not Covered” is inserted opposite any specified Insuring Agreement below, or if no amount is included
in the Single Loss Limit of Insurance, such Insuring Agreement and any other reference thereto is deemed to be deleted from this
bond.
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SINGLE LOSS
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SINGLE LOSS
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LIMIT OF
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DEDUCTIBLE
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INSURING AGREEMENT
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INSURANCE
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AMOUNT
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A.
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FIDELITY
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Coverage A.1.
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Larceny or Embezzlement
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$
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10,000,000
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$
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0
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Coverage A.2.
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Restoration Expenses
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$
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10,000,000
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$
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250,000
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B.
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ON PREMISES
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$
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10,000,000
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$
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250,000
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IVBB-15001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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C.
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IN TRANSIT
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$
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10,000,000
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$
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250,000
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D.
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FORGERY OR ALTERATION
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$
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10,000,000
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$
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250,000
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E.
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SECURITIES
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$
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10,000,000
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$
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250,000
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F.
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COUNTERFEIT MONEY
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AND COUNTERFEIT MONEY ORDERS
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$
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10,000,000
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$
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250,000
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G.
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CLAIM EXPENSE
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$
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250,000
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$
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5,000
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H.
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STOP PAYMENT ORDERS OR
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WRONGFUL DISHONOR OF CHECKS
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$
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500,000
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$
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5,000
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I.
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COMPUTER SYSTEMS
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Coverage I.1.
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Computer Fraud
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$
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10,000,000
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$
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250,000
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Coverage I.2.
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Fraudulent Instructions
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$
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10,000,000
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$
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250,000
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Coverage I.3.
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Restoration Expense
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Not Covered
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J.
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UNCOLLECTIBLE ITEMS OF DEPOSIT
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$
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10,000,000
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$
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250,000
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ITEM 5
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PREVIOUS BONDS OR POLICIES:
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The Insured, by acceptance of this bond, gives notice
to the Company canceling or terminating prior bond or policy numbers:
Not Applicable
such cancellation or termination to be effective
as of the time this bond becomes effective.
Additional Premium Percentage:
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100% of the annualized premium
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Additional Months:
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12 months
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(If exercised in accordance with section VI. CONDITIONS, S. DISCOVERY PERIOD)
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ITEM 7
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FORMS AND ENDORSEMENTS ATTACHED AT ISSUANCE:
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IVBB-16001-0116; IVBB-19004-0116; IVBB-19010-0116;
IVBB-19011-0116; IVBB-10003-0816; IVBB-10006-1016; IVBB-10007-1016; IVBB-10008-1016; IVBB-10009-1016; IVBB-10010-1116; IVBB-19044-0518;
IVBB-19045-0319; IVBB-17005-0116
PRODUCER INFORMATION:
AON RISK SERVICES NE INC
ONE LIBERTY PLAZA
165 BROADWAY 3201
NEW YORK, NY 10006
IVBB-15001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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IN WITNESS WHEREOF, the Company has caused this bond to be signed
by its authorized officers.
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President, Bond & Specialty Insurance
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Corporate
Secretary
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IVBB-15001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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Investment Company Bond
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Table of Contents
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I.
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CONSIDERATION CLAUSE
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3
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II.
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INSURING AGREEMENTS
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3
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A.
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FIDELITY
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3
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Coverage A.1. Larceny or Embezzlement
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3
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Coverage A.2. Restoration Expenses
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3
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B.
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ON PREMISES
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3
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C.
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IN TRANSIT
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4
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D.
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FORGERY OR ALTERATION
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4
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E.
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SECURITIES
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4
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F.
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COUNTERFEIT MONEY AND COUNTERFEIT MONEY ORDERS
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5
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G.
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CLAIM EXPENSE
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5
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H.
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STOP PAYMENT ORDERS OR WRONGFUL DISHONOR OF CHECKS
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5
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I.
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COMPUTER SYSTEMS
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6
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Coverage I.1. Computer Fraud
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6
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Coverage I.2. Fraudulent Instructions
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6
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Coverage I.3. Restoration Expenses
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6
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J.
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UNCOLLECTIBLE ITEMS OF DEPOSIT
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6
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III.
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GENERAL AGREEMENTS
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6
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A.
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ORGANIC GROWTH
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6
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B.
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CONSOLIDATION - MERGER - PURCHASE OR ACQUISITION OF ASSETS
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7
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C.
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REPRESENTATION OF INSURED
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7
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D.
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JOINT INSURED
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7
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E.
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COURT COSTS AND ATTORNEY’S FEES - LEGAL PROCEEDINGS - ELECTION TO DEFEND
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8
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IV.
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DEFINITIONS
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8
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V.
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EXCLUSIONS
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16
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VI.
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CONDITIONS
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19
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A.
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ADDITIONAL COMPANIES INCLUDED AS INSURED
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19
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B.
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DISCOVERY
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19
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C.
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BOND PERIOD
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20
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D.
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SINGLE LOSS
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20
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E.
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SINGLE LOSS LIMIT OF INSURANCE
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20
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F.
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DEDUCTIBLE
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20
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G.
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NON-ACCUMULATION OF LIMITS
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20
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H.
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NOTICE - PROOF OF LOSS - LEGAL PROCEEDINGS
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20
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IVBB-16001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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I.
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VALUATION
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21
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J.
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ASSIGNMENT
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22
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K.
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SUBROGATION
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22
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L.
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RECOVERIES
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22
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M.
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COOPERATION
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23
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N.
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ANTI-BUNDLING
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23
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O.
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LIMIT OF INSURANCE UNDER THIS BOND AND PRIOR INSURANCE
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23
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P.
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OTHER INSURANCE OR INDEMNITY
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23
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Q.
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COVERED PROPERTY
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24
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R.
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CANCELATION, TERMINATION, CHANGE OR MODIFICATION
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24
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S.
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DISCOVERY PERIOD
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25
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T.
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HEADINGS
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25
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IVBB-16001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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Investment Company Bond
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with Extended Coverages
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IN CONSIDERATION of the payment of an agreed
premium and subject to the Declarations and pursuant to all the terms, conditions, exclusions and limitations of this bond, the
Company agrees to indemnify the Insured as set forth in ITEM 1 of the Declarations (herein called Insured) for:
Coverage A.1. Larceny or Embezzlement
Loss resulting directly from Larceny or Embezzlement
committed by an Employee acting alone or in collusion with others.
Coverage A.2. Restoration Expenses
Restoration Expenses incurred by the Insured
and resulting directly from a Computer Violation by an Employee.
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1.
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Loss of Property resulting directly from:
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a.
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robbery, burglary, mysterious unexplainable disappearance or misplacement and damage or destruction; or
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b.
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theft, false pretenses, or common law or statutory larceny, committed by a person physically present in an office of, or on
the premises of, the Insured at the time the Property was surrendered,
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while the Property is lodged or deposited within
offices or premises located anywhere. The premises of a Depository will be deemed premises of the Insured, but solely as
respects loss of Certificated Securities. Coverage for Certificated Securities held by such Depository is
limited to the extent of the Insured’s interest therein as effected by the making of appropriate entries on the books and
records of such Depository. The Company will not be liable under Insuring Agreement B for loss in connection with the central
handling of securities within the systems established and maintained by any Depository unless the amount of such loss exceeds
the amount recoverable or recovered under any bond or policy or participants’ fund insuring the Depository against
such loss.
This bond does not afford any coverage in favor of
any Depository or exchange or any nominee in whose name is registered any security included within the Depository’s
systems.
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2.
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Direct loss, through any hazard specified in Insuring Agreement B.1. of any Property while such Property is within
any of the Insured’s or an Investment Adviser’s offices and in the possession of any customer of the Insured,
any representative of such customer or any Employee whether or not the Insured is liable for the loss thereof, and provided
such loss, at the option of the Insured, is included in the Insured’s proof of loss, but excluding, in any event, loss caused
by such customer, any representative of such customer, or any Employee.
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IVBB-16001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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Loss of Property (occurring with or without negligence
or violence) resulting directly from robbery, larceny, theft, holdup, mysterious unexplainable disappearance, misplacement, being
lost or otherwise made away with, damage thereto or destruction thereof, and loss of subscription, conversion, redemption or deposit
privileges through the misplacement or loss of Property, while the Property is in transit anywhere in the custody
of any person or persons acting as Messenger, except while in the mail or with a carrier for hire other than an armored
motor vehicle company, for the purpose of transportation, such transit to begin immediately upon receipt of such Property by
the transporting person or persons, and to end immediately upon delivery thereof at destination, but only while the Property
is being conveyed.
Loss resulting directly from the Insured having, in
good faith, paid or transferred any Property in reliance on any Written, Original:
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1.
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Negotiable Instrument (except an Evidence of
Debt);
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2.
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Certificate of Deposit;
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6.
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receipt for the withdrawal of Property; or
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7.
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instruction or advice directed to the Insured or an Investment Adviser and purportedly signed by a Customer of
the Insured or by a Financial Institution,
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which (a) bears a handwritten signature which is a Forgery;
or (b) is altered, but only to the extent the Forgery or alteration causes the loss.
Actual physical possession of the items listed in 1.
through 7. above by the Insured is a condition precedent to the Insured’s having relied on the items.
Loss resulting directly from the Insured having, in
good faith, for its own account or for the account of others:
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1.
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acquired, sold, delivered, or given value, extended credit or assumed liability, on the faith of any Original Written document
that is a (an):
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a.
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Certificated Security;
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c.
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deed, mortgage, or other instrument conveying title to, or creating or discharging a lien on, real property;
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d.
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Certificate of Origin or Title;
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e.
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Certificate of Deposit;
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g.
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corporate, partnership, or personal Guarantee;
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IVBB-16001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
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j.
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Statement of Uncertificated Security,
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(1)
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bears a handwritten signature material to the validity or enforceability of the Original Written document that is a
Forgery, but only to the extent the Forgery causes the loss;
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(2)
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is altered, but only to the extent the alteration causes the loss; or
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2.
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guaranteed in writing or witnessed any handwritten signature upon any transfer, assignment, bill of sale, power of attorney,
Guarantee, endorsement, or any items listed in items 1.a. through 1.i. above; or
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3.
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acquired, sold or delivered, given value, extended credit or assumed liability, on the faith of any item listed in 1.a. through
1.d. above, that is a Counterfeit, but only to the extent the Counterfeit causes the loss.
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Actual physical possession, and continued actual physical
possession if taken as collateral, of the items listed in 1.a. through 1.j. above by the Insured, an Investment Adviser,
a Custodian, or a Federal or State chartered deposit institution of the Insured is a condition precedent to the Insured’s
having relied on the faith of such items. Release or return of such collateral is an acknowledgment by the Insured that it no longer
relies on such collateral.
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F.
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COUNTERFEIT MONEY AND COUNTERFEIT MONEY ORDERS
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Loss resulting directly from the receipt by the Insured,
in good faith, of any Counterfeit Money of the United States of America and its territories and possessions, Canada or any
other country, or of Counterfeit money orders denominated in United States or Canadian currency.
Reasonable expenses necessarily incurred and paid by
the Insured in preparing any covered claim for loss under any Insuring Agreement covered under this bond, which loss exceeds the
Single Loss Deductible Amount applicable to such Insuring Agreement. Such expenses include costs incurred (including necessary
wages of Employees) for that part of audits or examinations performed, whether or not required by State or Federal supervisory
authorities and conducted either by such authorities or by independent accountants, by reason of the discovery of loss sustained
by the Insured.
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H.
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STOP PAYMENT ORDERS OR WRONGFUL DISHONOR OF CHECKS
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Damages that the Insured becomes legally liable to pay
its customers resulting directly from the Insured or an Investment Adviser having:
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1.
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failed to comply with any notice of any customer of the Insured or any authorized representative of such customer to stop payment
on any check or draft made or drawn by such customer; or
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2.
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wrongfully dishonored or wrongfully failed to certify any check or draft made or drawn by the customer of the Insured or any
authorized representative of such customer.
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Notwithstanding any other provision of this bond, damages
under paragraph 2. above do not include the amount of any check or draft in question, or any amounts paid to the payee, endorser,
or accommodation party of such check or draft.
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
Coverage I.1. Computer Fraud
Loss resulting directly from Computer Fraud.
Coverage I.2. Fraudulent Instructions
Loss resulting directly from the Insured or an Investment
Adviser having, in good faith, caused a transfer of funds as a result of a Fraudulent Instruction when the Insured or
an Investment Adviser, prior to causing the transfer of the funds, used its best efforts to verify the identity of the person
transmitting the instruction; provided that if the instruction is purported to be from a Customer, the Insured, or an Investment
Adviser:
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a.
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performed a Callback Verification with respect to such instruction; or
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b.
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followed commercially reasonable Security Procedures applicable to the transaction and instruction.
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Such Fraudulent Instruction received and, if
applicable, Callback Verification performed, must be either recorded, logged, or documented by the Insured or an Investment
Adviser.
Coverage I.3. Restoration Expenses
Restoration Expenses incurred by the Insured
or an Investment Adviser and resulting from a Computer Violation by someone other than an Employee.
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J.
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UNCOLLECTIBLE ITEMS OF DEPOSIT
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Loss, including dividends and interest accrued not to
exceed 15% of the value of each Item of Deposit that is deposited, resulting directly from the Insured or Investment
Adviser having credited an account of a customer, shareholder or subscriber on the faith of any Items of Deposit that
prove to be uncollectible, provided that the crediting of such account causes:
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1.
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redemptions or withdrawals to be permitted;
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2.
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shares to be issued; or
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It is a condition precedent to coverage under this Insuring
Agreement that the Insured or Investment Adviser hold funds represented in Items of Deposit for the maximum number
of days allowable under Regulation CC before permitting any redemptions or withdrawals, or issuing any shares or paying any dividends
with respect to such Items of Deposit.
Items of Deposit will not be deemed to be uncollectible
until the Insured’s or Investment Adviser’s standard collection procedures have failed.
This Insuring Agreement applies to Insureds with exchange
privileges if all funds in the exchange program are insured by the Company for Uncollectible Items of Deposit. Regardless
of the number of transactions between funds, the maximum number of days allowable under Regulation CC begins from the date a deposit
was first credited to any fund in the exchange program.
If an Insured or Investment Adviser, while this
bond is in force, adds additional Employees other than by consolidation or merger with, or purchase or acquisition of the
assets, assets under management or
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
liabilities of, another institution, such Employees
will automatically be covered hereunder from the date of such addition without the requirement of notice to the Company or
the payment of additional premium for the remainder of the Policy Period as set forth in ITEM 2 of the Declarations.
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B.
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CONSOLIDATION - MERGER - PURCHASE OR ACQUISITION OF
ASSETS
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If the Insured or an Investment Adviser, while
this bond is in force, consolidates or merges with, or purchases or acquires assets, assets under management or liabilities of,
or purchases or acquires more than 50% voting stock ownership of another institution (hereinafter referred to as a “Transaction”),
coverage under this bond for loss which:
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1.
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has occurred or will occur in the offices or premises
of such institution;
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2.
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has been caused or will be caused by any employee or
employees of such institution; or
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3.
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has arisen or will arise out of the assets, assets under management or liabilities acquired by the Insured as a result of such
Transaction,
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is provided as follows:
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a.
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Automatic Loss Sustained Coverage
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If a Transaction involves assets, assets under management
and liabilities in an amount that is more than 25% of the consolidated assets of all Insureds as of the most recent calendar year-end
preceding the date of the Transaction, then coverage of this bond as respects the Transaction will be afforded for a Single Loss
that is both discovered and for which the acts giving rise to the loss occur in their entirety on or after the effective date of
the Transaction. This coverage terminates 60 days after the Transaction date, or the termination date of the bond, whichever comes
earlier, unless the Insured provides notice to the Company and obtains the written consent of the Company to extend such coverage
beyond said date and, upon obtaining such consent, pays to the Company an additional premium, if required.
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b.
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Automatic Discovery Coverage
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If a Transaction involves assets, assets under management
and liabilities in an amount that is 25% or less of the consolidated assets of all Insureds as of the most recent calendar year-end
preceding the date of the Transaction, then coverage of this bond as respects the Transaction will be afforded for a Single Loss
that is discovered on or after the effective date of the Transaction, for the remainder of the Policy Period as set forth in ITEM
2 of the Declarations, without additional premium being charged and without notice to the Company of the Transaction.
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C.
|
REPRESENTATION OF INSURED
|
No statement made by or on behalf of the Insured, whether
contained in the application or otherwise, is deemed to be a warranty of anything except that it is true to the best of the knowledge
and belief of the person making the statement.
This bond does not indemnify or hold harmless any Insured
for loss sustained by an Investment Adviser, or by a proprietorship, partnership or corporation that is owned, controlled
or operated by such Insured, and not named as an Insured hereunder, except as may be provided on a limited basis within General
Agreement B., but this paragraph does not apply to loss sustained by a nominee organized by an Insured hereunder other than a holding
company.
If two or more Insureds are covered under this bond,
the first named Insured will act for all Insureds. Payment by the Company to the first named Insured of loss sustained by any Insured
fully releases the Company on account of such loss. If the first named Insured ceases to be covered under this bond, the Insured
next named will thereafter be considered the first named Insured. In the absence of an Insured
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
being specifically next named, the Insured entity having
the greatest consolidated assets of all remaining Insureds then becomes the first named Insured. Knowledge possessed or discovery
made by any Insured or Investment Adviser constitutes knowledge or discovery by all Insureds for all purposes of this bond.
The liability of the Company for loss or losses sustained by all Insureds will not exceed the amount for which the Company would
have been liable had all such loss or losses been sustained by one Insured.
|
E.
|
COURT COSTS AND ATTORNEY’S FEES - LEGAL PROCEEDINGS
- ELECTION TO DEFEND
|
The Company will indemnify the Insured against court
costs and reasonable attorney’s fees incurred and paid by the Insured in defending any suit or legal proceeding brought against
the Insured to enforce the Insured’s liability, or alleged liability, on account of any loss, claim or damage that, if established
against the Insured, would constitute a collectible loss under this bond in excess of any Single Loss Deductible Amount, provided,
however, that with respect to Insuring Agreement A this indemnity will apply only in the event that:
|
1.
|
an Employee admits to being guilty of Larceny or Embezzlement;
|
|
2.
|
an Employee is adjudicated to be guilty of Larceny or Embezzlement; or
|
|
3.
|
in the absence of 1. or 2. above, an arbitration panel agrees, after a review of an agreed statement of facts, that an Employee
would be found guilty of Larceny or Embezzlement if such Employee were prosecuted.
|
Such indemnity is in addition to the Single Loss Limit
of Insurance for the applicable Insuring Agreement or Coverage.
The Insured or an Investment Adviser must notify
the Company promptly after notice thereof, of any such suit or legal proceeding and at the request of the Company will furnish
it with copies of all pleadings and other papers therein. At the Company’s election the Insured will permit the Company to
conduct the defense of such suit or legal proceeding, in the Insured’s name, through attorneys of the Company’s selection.
In such event, the Insured and Investment Adviser will give all reasonable information and assistance, other than pecuniary,
that the Company deems necessary to the defense of such suit or legal proceeding.
If the amount of the Insured’s liability or alleged
liability is greater than the amount recoverable under this bond, or if a Single Loss Deductible Amount is applicable, or both,
then the liability of the Company under this General Agreement E. is limited to the proportion of court costs and attorney’s
fees incurred and paid by the Insured or by the Company that the amount recoverable under this bond bears to the total amount of
the Insured’s liability or alleged liability. Any amount not recoverable by reason of the Insured’s liability or alleged
liability being greater than the amount recoverable under any insuring agreement of this bond, does not serve to reduce the Single
Loss Deductible Amount applicable to such Insuring Agreement or Coverage.
If the Company pays court costs and attorney’s
fees in excess of its proportionate share of such costs and fees, the Insured will promptly reimburse the Company for such excess.
As used in this bond:
|
A.
|
Acceptance means a Written draft that the drawee has, by signature thereon, engaged to honor as presented.
|
|
B.
|
Bond Period has the meaning set forth in section VI. CONDITIONS, C. BOND PERIOD.
|
|
C.
|
Callback Verification means a verbal conversation with the purported Customer, using a Pre-Determined
Telephone Number, to verify the identity of the Customer and the authenticity of a funds transfer request.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
D.
|
Certificate of Deposit means a Written acknowledgment by an Insured or a Financial Institution of
receipt of Money with an engagement to repay it.
|
|
E.
|
Certificate of Origin or Title means a Written document issued by a manufacturer of personal property
or a governmental agency evidencing the ownership of the personal property and by which ownership is transferred.
|
|
F.
|
Certificated Security means a share, participation or other interest in property of, or an enterprise of, the
issuer or an obligation of the issuer, that is:
|
|
1.
|
represented by a Written instrument issued in bearer or registered form;
|
|
2.
|
of a type commonly dealt in on securities exchanges or markets or commonly recognized in any area in which it is issued or
dealt in as a medium for investment; and
|
|
3.
|
either one of a class or series or by its terms divisible into a class or series of shares, participations, interests or obligations.
|
|
G.
|
Computer Fraud means an intentional, unauthorized, and fraudulent entry of data or computer instructions directly
into, or change of data or computer instructions within, a Computer System by a natural person or entity other than an Employee,
including any such entry or change made via the internet or a Network, provided that such entry or change causes:
|
|
1.
|
Property to be transferred, paid, or delivered;
|
|
2.
|
an account of the Insured, or of its customer, to be
added, deleted, debited or credited; or
|
|
3.
|
an unauthorized or fictitious account to be debited or
credited.
|
|
H.
|
Computer System means:
|
|
2.
|
any input, output, processing, storage or communication device, or any related network, operating system or application software,
that is connected to, or used in connection with, such computer,
|
that is rented by, owned by, leased by, licensed to,
or under the direct operational control of, the Insured or an Investment Adviser.
|
I.
|
Computer Violation means:
|
|
1.
|
the introduction of a Computer Virus into a Computer
System; or
|
|
2.
|
damage to, or destruction of, computer programs, software or other electronic data stored within a Computer System by
a natural person, who has:
|
|
a.
|
gained unauthorized access to such Computer System;
or
|
|
b.
|
authorized access to such Computer System but uses such access to cause such damage or destruction.
|
|
J.
|
Computer Virus means any malicious code that could destroy, alter, contaminate, or degrade the integrity, quality,
or performance of:
|
|
1.
|
electronic data used, or stored, in any Computer System
or network; or
|
|
2.
|
a computer network, any computer application software, or a computer operating system or related network.
|
|
K.
|
Counterfeit means a Written imitation of an actual, valid, or verifiable Original that is intended
to deceive and to be taken as the Original.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
L.
|
Custodian means an institution designated by an Insured or an Investment Adviser to maintain possession
and control of the Insured’s assets.
|
|
M.
|
Customer means, only with respect to Insuring Agreement I.2., an entity or natural person that has a Funds
Transfer Agreement with the Insured or with an Investment Adviser.
|
|
N.
|
Depository means a clearing corporation that is:
|
|
1.
|
registered with the Securities Exchange Commission as a clearing agency under section 17A of the Securities Exchange Act of
1934 (15 U.S.C. 78q-1); or
|
|
2.
|
a Federal Reserve Bank or other person or entity authorized to operate the federal book entry system described in the regulations
of the Department of Treasury codified at 31 CFR 357, Subpart B, or book-entry systems operated pursuant to comparable regulations
of other federal agencies.
|
|
O.
|
Document of Title means a Written document that is a bill of lading, dock warrant, dock receipt, warehouse
receipt or order for the delivery of goods, and also any other Written document that in the regular course of business or
financing is treated as adequately evidencing that the person in possession of it is entitled to receive, hold and dispose of the
document and the goods it covers and must purport to be issued by or addressed to a bailee and purport to cover goods in the bailee’s
possession that are either identified or are fungible portions of an identified mass.
|
|
P.
|
Electronic Data Processor means a natural person, partnership or corporation authorized in writing by the Insured
or an Investment Adviser to perform services as a data processor of checks presented to the Insured by a customer or Financial
Institution, but excluding any such processor who acts as a transfer agent or in any other agency capacity in issuing checks,
drafts or securities for the Insured, A Federal Reserve Bank or clearinghouse will not be construed to be an Electronic Data
Processor.
|
|
Q.
|
Electronic Record means information that is created, generated, sent, communicated, received, or stored by electronic
means, and is retrievable in perceivable form.
|
|
1.
|
an officer, partner or other employee of the Insured, while such person is employed by and performing services for the Insured,
and whom the Insured directly compensates by wages, salaries or commissions; or for 60 days after such individual’s termination
of service, provided such termination is not due to employee fraud or dishonesty;
|
|
2.
|
a guest student or intern pursuing studies or duties in any of the Insured’s or an Investment Adviser’s offices
or premises covered hereunder, while such person is performing services for the Insured;
|
|
3.
|
any attorney retained by the Insured or an Investment Adviser, and any employee of such attorney, but only while performing
legal services for the Insured;
|
|
4.
|
any natural person assigned to perform the usual duties of an employee within the premises of the Insured or an Investment
Adviser and under the Insured’s supervision, by contract, including such persons provided by any employment agency furnishing
temporary personnel to the Insured or an Investment Adviser on a contingent or part-time basis, and including a natural
person who is leased to the Insured or an Investment Adviser under a written agreement between the Insured and a labor leasing
firm to perform duties related to the conduct of the Insured’s business; (all such natural persons provided by a single employment
agency or labor leasing firm will collectively be deemed to be one person for all the purposes of this bond, excepting, however,
the last paragraph of Condition R.2.);
|
|
5.
|
an employee of an institution merged or consolidated with the Insured prior to the effective date of this bond, or, subject
to General Agreement B., after the effective date of this bond, but only with respect to acts while an employee of such institution
and which acts caused said institution to
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
sustain a loss that was not known to the Insured or
to the institution at the time of the merger or consolidation;
|
6.
|
each natural person, partnership, or corporation authorized by the Insured or an Investment Adviser to perform services
as an Electronic Data Processor (each such Electronic Data Processor, and the partners, officers and employees of
such Electronic Data Processor will collectively be deemed to be one Employee for all the purposes of this bond,
except with respect to Condition R.2.);
|
|
7.
|
any director or trustee of an Insured, Investment Adviser, underwriter (distributor), transfer agent, shareholder accounting
record keeper, or administrator authorized by Written agreement with the Insured to keep financial or other required records,
but only while performing acts coming within the scope of the usual duties of an officer or employee or while acting as a member
of any committee duly elected or appointed to examine or audit or have custody of or access to the Property of the Insured;
|
|
8.
|
any natural person who is a volunteer, while such person is subject to the Insured’s direction and control and is performing
services for the Insured;
|
|
9.
|
any natural person who is a former employee retained as a consultant, pursuant to a written agreement with the Insured, while
that person is subject to the Insured’s direction and control and performing services for the Insured; and
|
|
10.
|
any officer, partner, or employee of:
|
|
a.
|
an Investment Adviser;
|
|
b.
|
an underwriter (distributor);
|
|
c.
|
a transfer agent or shareholder accounting record-keeper;
or
|
|
d.
|
an administrator authorized by written agreement to keep financial or other required records,
|
for an Insured but only while performing acts coming
within the scope of the usual duties of an officer or employee of the Insured, or while acting as a member of any committee duly
elected or appointed to examine or audit or have custody of or access to the Property of any such Insured, provided that
only employees or partners of a transfer agent, shareholder accounting record-keeper or administrator that is an affiliated person,
as defined in the Investment Company Act of 1940, of an Insured or is an affiliated person of the Investment Adviser, underwriter
or administrator of such Insured, and that is not a bank, will be included within the definition of Employee.
Employee also means any natural person described
above while such person is on medical, military, or other leave of absence. Coverage applies to any such Employee while
on leave, regardless of whether such person remains subject to the Insured’s direction and control during the time of leave.
Employee does not mean any agent, broker, factor,
commission merchant, consignee, independent contractor or representative or other person of the same general character not specified
above.
|
S.
|
Evidence of Debt means a Written instrument, including a Negotiable Instrument, executed, or purportedly
executed, by a customer of the Insured and held by the Insured or an Investment Adviser that in the regular course of business
is treated as evidencing the customer’s debt to the Insured.
|
|
T.
|
Financial Institution means:
|
|
1.
|
a bank, trust company, savings bank, credit union, savings and loan association, or similar thrift institution; or
|
|
2.
|
a stock brokerage firm, mutual fund, liquid assets fund
or similar investment institution;
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
provided that Financial Institution does not
include any such entity, institution or organization that is an Insured or an Investment Adviser.
|
U.
|
Forgery means signing the name of another person or organization with a handwritten signature directly applied
to a Written document without authority, and with the intent to deceive.
|
A signature written on an electronic pad that captures
the signature for purposes of creating an electronic digitized image of a handwritten signature, or a reproduction of a handwritten
signature, is treated the same as a handwritten signature. Any other form of electronic signature or digital signature is not treated
the same as a handwritten signature.
Forgery does not mean a signature that consists
in whole or in part of one’s own name signed with or without authority, in any capacity, for any purpose.
|
V.
|
Fraudulent Instruction means an intentional, fraudulent and unauthorized instruction directed to the Insured
or an Investment Adviser, that is:
|
|
1.
|
transmitted via telefacsimile, and:
|
|
a.
|
purports and reasonably appears to be from a Customer, a Financial Institution, or another office of the Insured;
|
|
b.
|
was in fact transmitted by someone other than a Customer, a Financial Institution, or another office of the Insured;
and
|
|
c.
|
purports and reasonably appears to contain the handwritten signature of a person authorized to initiate such transfer that
proves to have been used by an unauthorized person; or
|
|
2.
|
transmitted verbally, via telephone, and purports to
be from:
|
|
a.
|
an officer, director, partner or employee of a Customer, who is authorized by the Customer to instruct the Insured
or an Investment Adviser to make such a transfer;
|
|
b.
|
a Customer who is a natural person; or
|
|
c.
|
an Employee in another office of the Insured who was authorized by the Insured to instruct other Employees to
transfer funds on deposit in a Customer’s account; and was received by an Employee specifically designated
to receive and act upon such instructions,
|
but was in fact transmitted by someone other than
a person described in paragraph V.2.; or
|
3.
|
transmitted via electronic mail and purports and reasonably appears to be from a Customer of the Insured, but was in
fact transmitted by someone other than such Customer.
|
Fraudulent Instruction does not include any instruction
that purports to be from a Customer unless the instruction is transmitted by a method that is authorized in the Funds
Transfer Agreement between the Insured and the Customer.
|
W.
|
Funds Transfer Agreement means an agreement,
signed by the Customer, that:
|
|
a.
|
authorizes the Insured or an Investment Adviser to rely on instructions transmitted by either voice, telefacsimile or
electronic mail to make funds transfers; and
|
|
b.
|
provides the Insured or an Investment Adviser with the names of persons authorized to initiate funds transfers.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
X.
|
Guarantee means a Written undertaking obligating the signer to pay the debt of another to the Insured
or its assignee or to a Financial Institution from which the Insured has purchased participation in the debt, if the debt
is not paid in accordance with its terms.
|
|
Y.
|
Instruction means a Written order to the issuer of an Uncertificated Security requesting that the
transfer, pledge, or release from pledge of the Uncertificated Security specified be registered.
|
|
Z.
|
Investment Adviser means any entity defined in §202(a)(11) of, and registered under, the Investment Advisers
Act of 1940, as amended, but only while acting on behalf of the Insured.
|
|
AA.
|
Item of Deposit means any checks or drafts deposited into the account of a customer, shareholder or subscriber.
|
|
BB.
|
Larceny or Embezzlement means larceny or embezzlement as defined in the Investment Company Act of 1940, §37
as amended.
|
|
CC.
|
Letter of Credit means an engagement in writing by a Financial Institution or other person made at the
request of a customer that the Financial Institution or other person will honor drafts or other demands for payment upon
compliance with the conditions specified in the Letter of Credit.
|
|
DD.
|
Loan means all extensions of credit by the Insured and all transactions creating a creditor relationship in favor
of the Insured and all transactions by which the Insured assumes an existing creditor relationship.
|
|
EE.
|
Messenger means an Employee while in possession of the Insured’s Property away from the Insured’s
or Investment Adviser’s premises and any other natural person acting as custodian of the Property during an
emergency arising from the incapacity of the original Employee.
|
|
FF.
|
Money means a medium of exchange in current use authorized or adopted by a domestic or foreign government as
a part of its currency.
|
|
GG.
|
Negotiable Instrument means a Written document, that:
|
|
1.
|
is signed by the maker or drawer;
|
|
2.
|
contains an unconditional promise or order to pay a sum certain in Money and no other promise, order, obligation or
power given by the maker or drawer;
|
|
3.
|
is payable on demand or at a definite time; and
|
|
4.
|
is payable to order or bearer.
|
Negotiable Instrument also means a counterfeit
check or Substitute Check.
|
HH.
|
Network means any and all services provided by or through the facilities of any electronic or computer communication
system, including Fedwire, Clearing House Interbank Payment System (CHIPS), Society for Worldwide Interbank Financial Telecommunication
(SWIFT), National Automated Clearing House Association (NACHA) and similar interbank payment or settlement systems, including any
shared networks, internet access facilities, or other similar facilities for such systems in which the Insured participates, allowing
the input, output, examination, or transfer of data or programs from one computer to a Computer System.
|
|
II.
|
Original means the first rendering or archetype and does not include photocopies or electronic transmissions
even if received and printed.
|
|
JJ.
|
Pre-Determined Telephone Number means a
telephone number that:
|
|
1.
|
was provided by the Customer when the Customer opened the account with the Insured or an Investment Adviser;
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
2.
|
was provided in person by the Customer after the Customer opened the account with the Insured or an Investment
Adviser, while physically present on the Insured’s or Investment Adviser’s premises and while presenting
a government-issued photo identification;
|
|
3.
|
was provided in a Funds Transfer Agreement;
|
|
4.
|
replaced a telephone number previously provided for the Customer’s account, provided that confirmation of the
legitimacy of the change was achieved through direct contact with the Customer at a telephone number described in paragraph
JJ.1., JJ.2. or JJ.3. above; or
|
|
5.
|
replaced a telephone number previously provided for the Customer’s account and was received by the Insured or
the Investment Adviser at least 30 days prior to the receipt of the Fraudulent Instruction.
|
|
KK.
|
Property means Money, Certificated Securities, Uncertificated Securities, Negotiable Instruments, Certificates
of Deposit, Documents of Title, Acceptances, Evidences of Debt, Security Agreements, Withdrawal Orders, Certificates of Origin
or Title, Letters of Credit, insurance policies, abstracts of title, deeds and mortgages on real estate, revenue and other
stamps, tokens, unsold state lottery tickets, books of account and other records whether Written or recorded electronically,
gems, jewelry, precious metals of all kinds and in any form, and tangible items of personal property that are not hereinbefore
enumerated.
|
|
LL.
|
Restoration Expenses means reasonable costs incurred by the Insured or an Investment Adviser, with the
Company’s prior written consent, to restore, replace or reproduce damaged or destroyed computer programs, software or other
electronic data stored within a Computer System, or that the Insured owns, holds or is responsible for, to the condition
that existed immediately preceding a Computer Violation; provided that if it is determined by the Insured or Investment
Adviser that such computer programs, software or other electronic data cannot reasonably be restored, replaced or reproduced,
then Restoration Expenses means only the reasonable costs incurred by the Insured or an Investment Adviser, with
the Company’s prior written consent, to reach such determination.
|
Restoration Expenses do not include:
|
1.
|
expenses incurred as a result of the reconstruction of computer programs, software, or other electronic data that the Insured
did not have a license to use;
|
|
2.
|
expenses incurred to restore, replace, or reproduce damaged or destroyed computer programs, software or other electronic data
if such damage or destruction was caused by computer programs, software, or other electronic data that the Insured did not have
a license to use;
|
|
3.
|
expenses incurred to design, update, improve, or perfect the operation or performance of computer programs, software, or other
electronic data; or
|
|
4.
|
expenses incurred to redo the work product, research, or analysis that was the basis of, or resulted in, any computer programs,
software, or other electronic data stored.
|
|
MM.
|
Security Agreement means a Written agreement that creates an interest in personal property or fixtures
and that secures payment or performance of an obligation.
|
|
NN.
|
Security Procedure means the Insured’s or Investment Adviser’s established authentication
process, other than voice recognition, that requires the use of algorithms or other codes, identifying words or numbers, encryption,
or similar security devices or procedures. The following are not considered a Security Procedure:
|
|
1.
|
a general statement that the Insured or Investment
Adviser may establish security procedures;
|
|
2.
|
a statement that the Insured or Investment Adviser may perform a callback or other security procedure; or
|
|
3.
|
a statement that the Insured or Investment Adviser will only accept requests from persons named on the account.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
OO.
|
Single Loss has the meaning set forth in
section VI. CONDITIONS, D. SINGLE LOSS.
|
|
PP.
|
Statement of Uncertificated Security means a Written statement of the issuer of an Uncertificated Security
containing:
|
|
1.
|
a description of the issue of which the Uncertificated
Security is a part;
|
|
2.
|
the number of shares or units:
|
|
a.
|
transferred to the registered owner;
|
|
b.
|
pledged by the registered owner to the registered pledgee;
|
|
c.
|
released from pledge by the registered pledgee;
|
|
d.
|
registered in the name of the registered owner on the
date of the statement; or
|
|
e.
|
subject to pledge on the date of the statement;
|
|
3.
|
the name and address of the registered owner and registered
pledgee;
|
|
4.
|
a notation of any liens and restrictions of the issuer and any adverse claims to which the Uncertificated Security is
or may be subject to, or a statement that there are none of those liens, restrictions or adverse claims; and
|
|
a.
|
the transfer of the shares or units to the new registered owner of the shares or units was registered;
|
|
b.
|
the pledge of the registered pledgee was registered;
or
|
|
c.
|
of the statement, if it is a periodic or annual statement.
|
|
QQ.
|
Substitute Check means a paper reproduction of an Original Written check as defined in the Check Clearing
for the 21st Century Act of 2003, as amended.
|
|
RR.
|
Transportation Company means any organization that provides its own or leased vehicles for transportation or
that provides freight forwarding or air express services.
|
|
SS.
|
Uncertificated Security means a share, participation or other interest in property of, or an enterprise of, the
issuer or an obligation of the issuer, that is:
|
|
1.
|
not represented by a Written instrument issued in bearer or registered form and the transfer of which is registered
upon books maintained for that purpose by or on behalf of the issuer;
|
|
2.
|
of a type commonly dealt in on securities exchanges or markets, or commonly recognized in any area in which it is issued or
dealt in as a medium for investment; and
|
|
3.
|
either one of a class or series or by its terms divisible into a class or series of shares, participations, interests or obligations.
|
|
TT.
|
Withdrawal Order means a non-negotiable Written instrument, other than an Instruction, signed by
a customer of the Insured authorizing the Insured to debit the customer’s account in the amount of funds stated therein.
|
|
UU.
|
Written means expressed through letters or marks placed upon paper and visible to the eye. It does not include
information contained in an Electronic Record, or only with respect to Insuring Agreement D, information communicated via
telefacsimile.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
A.
|
This bond does not cover loss resulting directly or indirectly from forgery or alteration, except when covered under Insuring
Agreement A, D, E, F or G.
|
|
B.
|
This bond does not cover loss due to war, invasion, acts of foreign enemies, hostilities (whether war is declared or not),
civil war, rebellion, revolution, insurrection, military or usurped power, confiscation, nationalization, requisition, or destruction
of, or damage to, property by or under the order of any government, public or local authority, unless such loss occurs in transit
in the circumstances recited in Insuring Agreement C and unless, when such transit was initiated, there was no knowledge of such
act or condition related to any of the foregoing on the part of any person acting for the Insured in initiating such transit.
|
|
C.
|
This bond does not cover loss resulting directly or indirectly from nuclear reaction, nuclear radiation, radioactive contamination,
biological, or chemical contamination or to any related act or incident.
|
|
D.
|
This bond does not cover loss resulting directly or indirectly from any acts of any director or trustee of the Insured other
than one employed as a salaried, pensioned, or elected official or an Employee of the Insured, except when performing acts
coming within the scope of the usual duties of an Employee, or while acting as a member of any committee duly elected or
appointed by resolution of the board of directors or trustees of the Insured to perform specific, as distinguished from general,
directorial acts on behalf of the Insured.
|
|
E.
|
This bond does not cover loss resulting directly or indirectly from the complete or partial non-payment of, or default upon,
any Loan or transaction involving the Insured as a lender or borrower, or extension of credit, including the purchase, discounting
or other acquisition of false or genuine accounts, invoices, notes, agreements or Evidences of Debt, whether such Loan,
transaction or extension was procured in good faith or through trick, artifice, fraud, or false pretenses, except when covered
under Insuring Agreement A or E.
|
|
F.
|
This bond does not cover loss caused by an Employee,
except:
|
|
1.
|
when covered under Insuring Agreement A.; or
|
|
2.
|
when covered under Insuring Agreement B. or C. and resulting directly from mysterious unexplainable disappearance or misplacement,
or unintentional destruction of or damage to Property.
|
|
G.
|
This bond does not cover loss resulting directly or indirectly from the use or purported use of credit, debit, charge, access,
convenience, identification cash management or other cards:
|
|
1.
|
in obtaining credit or funds;
|
|
2.
|
in gaining access to any automated teller machine; or
|
|
3.
|
in gaining access to any point of sale terminal, customer-bank communication terminal, or similar electronic terminal of any
electronic funds transfer system,
|
whether such cards were issued, or purport to have been
issued, by the Insured or by anyone other than the Insured, except when covered under Insuring Agreement A.
|
H.
|
This bond does not cover loss through the surrender of Property away from an office of the Insured or an Investment
Adviser as a result of a threat:
|
|
1.
|
to do bodily harm to any person, except loss of Property in transit in the custody of a Messenger provided that
when such transit was initiated there was no knowledge by the Insured of any such threat; or
|
|
2.
|
to do damage to the premises or property of the Insured,
|
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|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
except when covered under Insuring Agreement A.
|
I.
|
This bond does not cover loss resulting directly or indirectly from payments made or withdrawals from a customer’s account
involving erroneous credits to such account, unless such payments or withdrawals are physically received by such depositor or representative
of such depositor who is within the office of the Insured or an Investment Adviser at the time of such payment or withdrawal,
or except when covered under Insuring Agreement A.
|
|
J.
|
This bond does not cover loss resulting directly or indirectly from payments made or withdrawals from a customer’s account
involving items of deposit that are not finally paid for any reason, including forgery or any other fraud, except when covered
under Insuring Agreement A or J, however, this exclusion does not apply to United States Government checks or drafts that are returned
to the Insured by the United States Government for any reason after the funds for said checks or drafts have been remitted to the
Insured or credited to the Insured’s account.
|
|
K.
|
This bond does not cover loss resulting directly or indirectly from counterfeiting, except when covered under Insuring Agreement
A, D, but only as respects Negotiable Instruments (except Evidences of Debt or Substitute Checks), E or F.
|
|
L.
|
This bond does not cover loss of Property while:
|
|
2.
|
in the custody of any Transportation Company, unless covered under Insuring Agreement C provided however that non-negotiable
instruments while in the possession and custody of any Transportation Company will be deemed to be covered under Insuring
Agreement C; or
|
|
3.
|
located on the premises of any Transportation Company,
|
except when covered under Insuring
Agreement A.
|
M.
|
This bond does not cover potential income, including interest and dividends not realized by the Insured.
|
|
N.
|
This bond does not cover damages of any type for which the Insured is legally liable, except direct compensatory damages, but
not multiples thereof, arising directly from a loss covered under this bond.
|
|
O.
|
This bond does not cover any fees, costs, or other expenses incurred by the Insured in establishing the existence of or amount
of loss covered under this bond except when covered under Insuring Agreement G.
|
|
P.
|
This bond does not cover indirect or consequential loss of any nature.
|
|
Q.
|
This bond does not cover loss resulting from any violation by the Insured or by any Employee:
|
|
1.
|
of law regulating: (i) the issuance, purchase or sale of securities; (ii) securities transactions upon security exchanges or
over the counter market; (iii) investment companies; or (iv) investment advisers; or
|
|
2.
|
of any rule or regulation made pursuant to any such law,
|
unless it is established by the Insured that the act
or acts that caused said loss involved fraudulent or dishonest conduct that would have caused a covered loss to the Insured in
a similar amount in the absence of such laws, rules or regulations.
|
R.
|
This bond does not cover loss resulting directly or indirectly from the failure of a financial or depository institution, or
its receiver or liquidator, to pay or deliver, on demand of the Insured or an Investment Adviser, funds or Property of
the Insured held by it in any capacity, except when covered under Insuring Agreement A or B.1.a.
|
|
S.
|
This bond does not cover loss involving any Uncertificated Security except an Uncertificated Security of any
Federal Reserve Bank of the United States or when covered under Insuring Agreement A, E or I.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
T.
|
This bond does not cover under Insuring Agreement I, in addition to all of the other exclusions, loss:
|
|
1.
|
resulting directly or indirectly from entries or changes made by an individual authorized to have access to a Computer System,
who acts in good faith on instructions or advices received by telegraph, teletype, human voice over a telephone, or by any other
means, unless such instructions or advices are given to that individual by a software contractor (or by a partner, officer or employee
thereof) authorized by the Insured or an Investment Adviser to design, develop, prepare, supply, service, write, or implement
programs for the Computer System, except when covered under Insuring Agreement I.2.;
|
|
2.
|
caused by an employee or director of an automated clearing house (including a Federal Reserve Bank), service bureau, electronic
communications systems (including Fedwire, CHIPS and SWIFT) or merchants who have contracted with the Insured to perform electronic
funds transfer services; or
|
|
3.
|
resulting directly or indirectly from entries or changes made by an Employee acting in good faith on any electronic
communication, unless such instructions are purportedly sent by a customer, Financial Institution, or automated clearing
house, except when covered under Insuring Agreement I.2.
|
|
U.
|
This bond does not cover loss resulting directly or indirectly from Computer Fraud or mechanical breakdown or failure
to function properly of any Computer System, except when covered under Insuring Agreement A, B, or I.
|
|
V.
|
This bond does not cover under Insuring Agreement I.2., in addition to all of the other exclusions, loss resulting directly
or indirectly from the Insured’s or an Investment Adviser’s assumption of liability by contract unless the liability
arises from a loss covered by Insuring Agreement I.2. and would be imposed on the Insured regardless of the existence of the contract.
|
|
W.
|
This bond does not cover loss resulting directly or indirectly from theft, disappearance, destruction, or disclosure of intangible
property or confidential information, including trade secrets, customer lists, customer’s intellectual property, confidential
processing methods, formulas, patents, computer programs, negatives, drawings, manuscripts, prints and other records of a similar
nature, whether such confidential information is owned by the Insured or an Investment Adviser or held by the Insured or
Investment Adviser in any capacity including concurrently with another person.
|
|
X.
|
This bond does not cover expenses arising from a data security breach or incident, including forensic audit expenses, fines,
penalties, expenses to comply with federal and state laws, payment card industry data security standards (if applicable), or expenses
related to notifying affected individuals when the affected individual’s personally identifiable customer, financial or medical
information was stolen, accessed, downloaded, or misappropriated while in the Insured’s care, custody, or control.
|
|
Y.
|
This bond does not cover under Insuring Agreement A.1., in addition to all of the other exclusions, loss resulting directly
or indirectly from the alleged or actual destruction of Property by an Employee.
|
|
Z.
|
This bond does not cover loss, costs, or expenses the Insured or an Investment Adviser agrees to incur, or incurs on
behalf of another person or entity, when the Insured is not legally obligated to incur such loss, costs, or expenses under the
Uniform Commercial Code or any other common, case, or tort law, statute, rule, or code anywhere in the world, including any rule
or code of any clearing or similar organization; except when covered under Insuring Agreement I.2.
|
|
AA.
|
This bond does not cover loss resulting directly or indirectly from the dishonest or fraudulent acts of an Employee as
to whom the bond has terminated pursuant to Condition R. Cancelation, Termination, Change or Modification, provided, however, that
this exclusion does not apply to loss of any Property already in transit in the custody of such Employee at the time
the bond terminated or to loss resulting directly from dishonest or fraudulent acts occurring prior to the time the bond terminated.
|
|
BB.
|
This bond does not cover loss resulting from the unauthorized online Network, Computer System or internet access to
a customer account maintained by the Insured, through the use of fraudulently obtained customer login, identification, password,
or authentication information, except where such
|
IVBB-16001 Ed. 01-16
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© 2016 The Travelers Indemnity Company. All rights reserved.
|
information has been obtained directly from unauthorized
fraudulent access to a secure file containing such information on a Computer System, except when covered under Insuring
Agreement I.2.
|
CC.
|
This bond does not cover damages resulting from any civil, criminal, or other legal proceeding in which the Insured or Investment
Adviser is adjudicated to have engaged in racketeering activity, except when the Insured establishes that the act or acts giving
rise to such damages were committed by an Employee under circumstances that result directly in a loss to the Insured covered
by Insuring Agreement A. For purposes of this exclusion, “racketeering activity” is defined in 18 U.S.C. 1961 et seq.,
as amended.
|
|
DD.
|
This bond does not cover any loss resulting directly or indirectly from a Fraudulent Instruction except when covered
under Insuring Agreement I.2.
|
|
EE.
|
This bond does not cover loss or expenses due to liability imposed upon the Insured as a result of the unlawful disclosure
of non-public information by the Insured, an Investment Adviser, or any Employee, or as a result of any Employee
acting upon such information, whether or not authorized.
|
|
FF.
|
This bond does not cover loss resulting directly or indirectly from the input of an Electronic Record into a Computer
System, either on the premises of a customer of the Insured or under the control of such a customer, by a customer or other
person who had authorized access to the customer’s authentication mechanism.
|
|
A.
|
ADDITIONAL COMPANIES INCLUDED AS INSURED
|
If more than one corporation, co-partnership, or person,
or any combination of them are included as the Insured herein:
|
1.
|
the total liability of the Company for loss or losses sustained by any one or more or all of them will not exceed the limit
for which the Company would be liable hereunder if all such loss were sustained by any one of them;
|
|
2.
|
the Insured first named will be deemed authorized to make, adjust and receive and enforce payment of all claims under the bond
and will be deemed to be the agent of the others for such purposes and for the giving or receiving of any notice required or permitted
to be given by the terms of this bond, provided however that the Company will furnish each named Insured with a copy of the bond
and with any amendment to the bond, together with a copy of each formal filing of claim by any Insured and notification of the
terms of any settlement of a claim prior to the execution of such settlement;
|
|
3.
|
the Company will not be responsible for the proper application of any payment made hereunder to the first named Insured; and
|
|
4.
|
knowledge possessed or discovery made by any partner, officer or supervisory Employee of any Insured will for the purposes
of Condition B., Condition H. or Condition R. of this bond constitute knowledge or discovery by all the Insureds.
|
This bond applies to loss discovered by the Insured
during the Bond Period. Discovery occurs when an officer or director of the Insured or of an Investment Adviser first
becomes aware of facts that would cause a reasonable person to assume that a loss of a type covered by this bond has been or will
be incurred, regardless of when the act or acts causing or contributing to such loss occurred, even though the exact amount or
details of loss may not then be known.
Discovery also occurs when an officer or director of
the Insured or an Investment Adviser receives notice of an actual or potential claim in which it is alleged that the Insured
is liable to a third party under circumstances that, if true, would constitute a loss under this bond.
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
Bond Period means the period of one year following
the inception date of this bond or any annual anniversary thereof, or if the time between the inception or annual anniversary date
and the expiration date of this bond is less than one year, then such lesser period.
Single Loss means all covered loss, including
court costs and attorney’s fees incurred by the Company under General Agreement E., resulting from:
|
1.
|
any one act or series of related acts of burglary, robbery, or attempt thereat, in which no Employee is implicated;
|
|
2.
|
any one act or series of related unintentional or negligent acts or omissions on the part of any person (whether an Employee
or not) resulting in damage to or destruction or misplacement of Property;
|
|
3.
|
all acts or omissions other than those specified in 1. and 2. above, caused by any person (whether an Employee or not)
or in which such person is implicated; or
|
|
4.
|
any one casualty or event not specified in 1., 2., or 3. above.
|
|
E.
|
SINGLE LOSS LIMIT OF INSURANCE
|
The Company’s liability for each Single Loss
will not exceed the applicable Single Loss Limit of Insurance set forth in ITEM 4 of the Declarations. If a Single Loss
is covered under more than one Insuring Agreement or Coverage, the Single Loss Limit of Insurance for each applicable Insuring
Agreement or Coverage will apply separately to that part of the loss covered under such Insuring Agreement or Coverage, provided
that the maximum payable for such Single Loss will not exceed the largest applicable Single Loss Limit of Insurance.
The Company is liable hereunder only for the amount
by which any Single Loss exceeds the Single Loss Deductible Amount for the Insuring Agreement or Coverage applicable to
such loss, subject to the applicable Single Loss Limit of Insurance.
If a Single Loss is covered under more than one
Coverage within an Insuring Agreement, the Single Loss Deductible Amount set forth in ITEM 4 of the Declarations for each applicable
Coverage will apply separately to the part of such Single Loss covered under such Coverage, however the sum of such Single
Loss Deductible Amounts for such Single Loss will not exceed the highest applicable Single Loss Deductible Amount for any
such Coverage.
The Insured will, in the time and in the manner prescribed
in this bond, give the Company notice of any loss of the kind covered by the terms of this bond that exceeds 25% of the Single
Loss Deductible Amount applicable to such loss, whether or not the Company is liable therefor, and upon the request of the Company
will file with it a brief statement giving the particulars concerning such loss.
|
G.
|
NON-ACCUMULATION OF LIMITS
|
The Single Loss Limit of Insurance of the Company is
not cumulative in amount from Bond Period to Bond Period, regardless of the number of years this bond is in force,
the number of times this bond may be renewed or replaced, or the number of premiums that are payable or paid.
|
H.
|
NOTICE - PROOF OF LOSS - LEGAL PROCEEDINGS
|
|
1.
|
At the earliest practicable moment not to exceed 90 days after discovery of loss, the Insured or Investment Adviser must
give the Company notice thereof.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
2.
|
Within six months after such discovery, the Insured or Investment Adviser must furnish to the Company proof of loss,
duly sworn to, with full particulars.
|
|
3.
|
Lost Certificated Securities listed in a proof of loss will be identified by certificate or bond numbers if such securities
were issued therewith.
|
|
4.
|
Legal proceedings for the recovery of any loss hereunder will not be brought prior to the expiration of 60 days after the original
proof of loss is filed with the Company or after the expiration of 24 months from the discovery of such loss, except that any action
or proceeding to recover hereunder on account of any judgment against the Insured in any suit mentioned in General Agreement E.,
or to recover attorney’s fees paid in any such suit, will be brought within 24 months from the date upon which the judgment
and such suit will become final.
|
|
5.
|
If any limitation embodied in this bond is prohibited by any law controlling the construction hereof, such limitation will
be deemed to be amended so as to equal the minimum period of limitation provided by such law.
|
|
6.
|
This bond is for the use and benefit only of the Insured, and the Company will not be liable hereunder for loss sustained by
anyone other than the Insured. No suit, action or legal proceedings will be brought hereunder by anyone other than the Insured.
|
Any loss of Money, or loss payable in Money,
will be paid, at the option of the Insured, in the Money of the country in which the loss was sustained or in the U.S. dollar
equivalent thereof determined at the rate of exchange at the time of payment of such loss.
The Company will settle in kind its liability under
this bond on account of a loss of any securities or, at the option of the Insured, will pay to the Insured the cost of replacing
such securities, determined by their highest quoted market value at any time between the business day next preceding the discovery
of the loss and the day that the loss is settled. In case of a loss of subscription, conversion or redemption privileges through
the misplacement or loss of securities, the amount of such loss will be the value of such privileges immediately preceding the
expiration thereof. If such securities cannot be replaced or have no quoted market value, or if such privileges have no quoted
market value, their value will be determined by agreement or, at the option of the Insured, arbitration.
If the applicable coverage of this bond is subject
to a Single Loss Deductible Amount or is not sufficient in amount to indemnify the Insured in full for the loss of securities for
which claim is made hereunder, the liability of the Company under this bond is limited to the payment for, or the duplication of,
so much of such securities as has a value equal to the amount of such applicable coverage.
If, at the instance of the Company, the Insured or
any customer of the Insured becomes principal upon any bonds, or gives any undertakings, required as a prerequisite to the reissuing
or duplicating of any securities for the loss of which the Company is liable under this bond, the Company will become surety upon
such bonds or undertakings without premium charge and will indemnify the Insured or such customer against any loss that the Insured
or such customer may sustain by reason of having become principal upon any such bonds or having given any such undertakings. The
amount of indemnity under this paragraph will not exceed the amount stated in ITEM 4 of the Declarations for the applicable Insuring
Agreement.
|
3.
|
Books of Account and Other Records
|
In case of loss of, or damage to, any books of account
or other records used by the Insured in its business, the Company will be liable under this bond only if such books or records
are actually reproduced and then for not more than the cost of the blank books, blank pages or other
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
materials plus the cost of labor for the actual transcription
or copying of data that have been furnished by the Insured in order to reproduce such books and other records.
|
4.
|
Property other than Money, Securities, Books of Account
or Other Records
|
In case of loss of, or damage to, any Property
other than Money, securities, books of account or other records, except damage covered under Insuring Agreement B.2.
or B.3., the Company will not be liable for more than the actual cash value of such Property. The Company may, at its election,
pay the actual cash value of, repair or replace such Property.
With respect to damage of Property covered
under Insuring Agreement B.2., the Company will be liable for the full cost of repair or replacement of such Property, without
deduction for depreciation.
Disagreement between the Company and the Insured as
to the cash value, replacement value or as to the adequacy of repair or replacement will be resolved by agreement or, at the option
of the Insured, arbitration.
In the event of payment under this bond, the Insured
or Investment Adviser will deliver, if so requested by the Company, an assignment of such of the Insured’s rights,
title and interest and causes of action as it has against any person or entity to the extent of the loss payment.
In the event of payment under this bond, the Company
will be subrogated to all of the Insured’s rights of recovery therefor against any person or entity to the extent of such
payment. If the rules of a Depository provide that the Insured will be assessed for a portion of any judgment (or agreed
settlement) taken by the Company based upon the assignment set forth in Condition J. above and the Insured actually pays such assessment,
the Company will reimburse the Insured for the amount of the assessment. However, such reimbursement will not exceed the amount
of the loss payment by the Company.
|
1.
|
All recoveries, whether effected by the Company or by the Insured will be applied, after first deducting the costs and expenses
incurred in obtaining such recovery, in the following order of priority:
|
|
a.
|
first, to the Insured to reimburse the Insured for loss sustained that would have been paid under this bond but for the fact
that such loss is in excess of the Single Loss Limit of Insurance, provided however, such loss does not include claim expense payments
made by the Insured in excess of the Single Loss Limit of Insurance of Insuring Agreement G and such payments will not be deemed
excess for purposes of establishing order of priority;
|
|
b.
|
second, to the Company in satisfaction of amounts paid or to be paid to the Insured in settlement of the Insured’s claim;
|
|
c.
|
third, to the Insured in satisfaction of any Single Loss
Deductible Amount; and
|
|
d.
|
fourth, to the Insured in satisfaction of any loss not
covered under this bond.
|
|
2.
|
Recovery on account of loss of securities as set forth in Condition I.2., or recovery from reinsurance or indemnity of the
Company, will not be deemed a recovery as used herein.
|
In determining the amount of any loss covered under
this bond, all Money received by the Insured from any source whatsoever in connection with any matter from which a loss
has arisen, including payments and receipts of principal, interest, dividends, commission, and the like, received prior to a loss
settlement under this bond, will be deducted from the amount actually paid out, advanced, withdrawn, taken or otherwise lost or
stolen. The value of all property received by the Insured from any source whatever and
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
whenever received, in connection with any matter from
which a loss has arisen, will be valued as of the date received and will likewise be deducted from the claimed loss.
Upon the Company’s request, and at reasonable
times and places designated by the Company, the Insured will:
|
1.
|
submit to examination by the Company and subscribe
to the same under oath;
|
|
2.
|
produce for the Company’s examination all pertinent
records; and
|
|
3.
|
cooperate with the Company in all matters pertaining
to the loss.
|
The Insured will execute all papers and render assistance
to secure to the Company the rights and causes of action provided for herein.
The Insured will do nothing after discovery of loss
to prejudice such rights or causes of action and must do everything reasonably necessary to secure those rights and causes of action.
If any Insuring Agreement requires that an enumerated
type of document be altered or Counterfeit, or contain a signature that is a Forgery, or that it be obtained through
trick, artifice, fraud or false pretenses, the alteration, Counterfeit, or signature must be on or of the enumerated document
itself, not on or of some other document submitted with, accompanying, or incorporated by reference into, the enumerated document.
|
O.
|
LIMIT OF INSURANCE UNDER THIS BOND AND PRIOR INSURANCE
|
With respect to any Single Loss that is recoverable
or recovered in whole or in part under any other bonds or policies issued by the Company to the Insured or to any predecessor in
interest of the Insured and canceled or terminated or allowed to expire and in which the period for discovery has not expired at
the time any such loss thereunder is discovered, the total liability of the Company under this bond and under such other bonds
or policies will not exceed, in the aggregate, the amount carried hereunder on such loss or the amount available to the Insured
under such other bonds or policies, as limited by the terms and conditions thereof, for any such loss if the latter amount be the
larger.
If the coverage of this bond supersedes in whole or
in part the coverage of any other bond or policy of insurance issued by an insurer other than the Company and canceled, terminated
or allowed to expire, the Company, with respect to any loss sustained prior to such cancelation, termination or expiration and
discovered within the period permitted under such other bond or policy for the discovery of loss thereunder, will be liable under
this bond only for that part of such loss covered by this bond as is in excess of the amount recoverable or recovered on account
of such loss under such other bond or policy, anything to the contrary in such other bond or policy notwithstanding.
|
P.
|
OTHER INSURANCE OR INDEMNITY
|
Coverage afforded hereunder applies only as excess over
any valid and collectible insurance or indemnity obtained by:
|
2.
|
anyone other than the Insured;
|
|
3.
|
a Transportation Company;
|
|
4.
|
another entity on whose premises the loss occurred or that employed the person causing the loss; or
|
|
5.
|
the messenger conveying the Property involved.
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
This bond applies to loss of Property:
|
1.
|
that is owned by the Insured;
|
|
2.
|
that is held by the Insured in any capacity; or
|
|
3.
|
for which the Insured is responsible,
|
prior to or at the time of the occurrence of the loss.
This bond is for the sole use and benefit of the Insured.
|
R.
|
CANCELATION, TERMINATION, CHANGE, OR MODIFICATION
|
|
a.
|
This bond is canceled in its entirety immediately upon receipt by the Company of a Written notice from the Insured or
an Investment Adviser of its desire to cancel this bond, provided the Insured or Investment Adviser has provided
at least 60 days’ advance Written notice to the U.S. Securities and Exchange Commission (SEC). The Company will notify
all other Insureds of the receipt of such a cancelation request from the Insured or Investment Adviser, however the cancelation
will not be effective until 60 days after receipt of Written notice by all other Insureds.
|
|
b.
|
This bond is canceled in its entirety 60 days after the receipt by each Insured and the SEC, of a Written notice from
the Company of its desire to cancel this bond.
|
|
c.
|
Coverage is canceled as to any Employee, or as to any partner, officer, or employee of any Electronic Data Processor
60 days after the receipt by the Insured and the SEC, of a written notice from the Company of its desire to cancel coverage
under this bond as to such person.
|
|
a.
|
This bond terminates in its entirety immediately upon the Expiration Date set forth in ITEM 2 of the Declarations.
|
|
b.
|
This bond terminates as to any Insured:
|
|
(1)
|
immediately upon the surrender of such Insured’s charter to any governmental authority; or
|
|
(2)
|
immediately upon the taking over of such Insured by a receiver or other liquidator or by any State or Federal official,
|
whichever occurs first.
Termination of the bond as to any Insured terminates
liability for any loss sustained by such Insured that is discovered after the effective date of such termination.
|
c.
|
Coverage terminates as to any Employee, or as to any partner, officer, or employee of any Electronic Data Processor:
|
|
(1)
|
as soon as any Director or Officer or Insured not in collusion with such person, learns of any dishonest or fraudulent employment
related act, including Larceny or Embezzlement; or
|
|
(2)
|
60 days after any director or officer of the Insured not in collusion with such person, learns of any dishonest or fraudulent
non-employment related act,
|
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
including Larceny or Embezzlement, that resulted
in a loss of Property in excess of $25,000,
either of which were committed by such person at any
time, whether in the employment of the Insured or otherwise, whether or not of the type covered under Insuring Agreement A, against
the Insured or any other person or entity, without prejudice to the loss of any Property then in transit in the custody
of such person.
However, termination of coverage as to any Employee
as set forth in c.(1) and c.(2) of the preceding paragraph, will not apply to any such person provided the Insured has received
and retains an original letter signed by a prior insurer reinstating coverage for such individual for whom the Insured discovered
had committed a dishonest or fraudulent act prior to the effective date of this bond.
|
3.
|
Change or Modification
|
This bond or any instrument amending or affecting
this bond may not be changed or modified orally. No changes in or modification of this bond will be effective unless made by Written
endorsement issued to form a part of this bond and including the signature of the Company’s Authorized Representative.
When a bond covers only one Insured no change or modification that would adversely affect the rights of the Insured will be effective
prior to 60 days after Written notification has been furnished to the SEC by the Insured, Investment Adviser or the
Company. If more than one Insured is named under this bond, the Company will give Written notice to each Insured and to
the SEC not less than 60 days prior to the effective date of any change or modification that would adversely affect the rights
of such Insured.
At any time prior to the cancelation or termination
of this bond in its entirety, whether by the Insured, an Investment Adviser, or the Company, the Insured or an Investment
Adviser may give to the Company written notice that it desires under this bond an additional period of 12 months within which
to discover loss sustained by the Insured prior to the effective date of such cancelation or termination and will pay an additional
premium therefor.
Upon receipt of such notice from the Insured or an Investment
Adviser, the Company will give its written consent thereto; provided, that such additional period of time terminates immediately:
|
1.
|
on the effective date of any other insurance obtained by the Insured, its successor in business or any other party, replacing
in whole or in part the insurance afforded by this bond, whether or not such other insurance provides coverage for loss sustained
prior to its effective date; or
|
|
2.
|
upon any takeover of the Insured’s business by any state or federal official or agency, or by any receiver or liquidator
acting or appointed for this purpose,
|
whichever occurs first, and without the necessity of
the Company giving notice of such termination. In the event that such additional period of time is terminated, as provided above,
the Company will refund on a pro-rata basis, any unearned premium.
The right to purchase such additional period for the
discovery of loss may not be exercised by any state or federal official or agency, or by any receiver or liquidator, acting or
appointed to take over the Insured’s business for the operation or for the liquidation thereof or for any other purpose.
The Company’s total liability for any loss discovered
during such additional period of time is part of, and not in addition to, the Single Loss Limit of Insurance of the Bond Period
that terminates immediately preceding the effective date of such additional period.
The titles of the various paragraphs of this bond and
its endorsements are inserted solely for convenience or reference and are not to be deemed in any way to limit, expand or affect
the provision to which they relate.
IVBB-16001 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
NAMED INSURED ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following are added to
ITEM 1 of the Declarations as Insureds:
The Hartford Mutual Funds, Inc.
The Hartford Balanced Income Fund
Hartford AARP Balanced Retirement Fund
The Hartford Capital Appreciation Fund
The Hartford Checks and Balances Fund
The Hartford Conservative Allocation Fund
Hartford Core Equity Fund
The Hartford Dividend and Growth Fund
Hartford Emerging Markets Equity Fund
The Hartford Emerging Markets Local Debt Fund
Hartford Environmental Opportunities Fund
The Hartford Equity Income Fund
The Hartford Floating Rate Fund
The Hartford Floating Rate High Income Fund
The Hartford Global All-Asset Fund
Hartford Global Impact Fund
The Hartford Global Real Asset Fund
The Hartford Growth Allocation Fund
The Hartford Healthcare Fund
The Hartford High Yield Fund
The Hartford Inflation Plus Fund
Hartford International Equity Fund
The Hartford International Growth Fund
The Hartford International Opportunities Fund
The Hartford International Small Company Fund
The Hartford International Value Fund
The Hartford MidCap Fund
The Hartford MidCap Value Fund
Hartford Moderate Allocation Fund
Hartford Multi-Asset Income and Growth Fund
Hartford Municipal Income Fund
The Hartford Municipal Opportunities Fund
Hartford Municipal Short Duration Fund
The Hartford Quality Bond Fund
The Hartford Short Duration Fund
Hartford Small Cap Value Fund
The Hartford Small Company Fund
Issuing Company: Travelers Casualty and Surety Company of America
Policy Number: 106574591
IVBB-19004 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
The Hartford Strategic Income Fund
The Hartford Total Return Bond Fund
The Hartford World Bond Fund
The Hartford Mutual Funds II, Inc.
The Hartford Growth Opportunities Fund
Hartford Quality Value Fund
The Hartford Small Cap Growth Fund
Hartford Schroders Emerging Markets Equity Fund
Hartford Schroders Emerging Markets Multi-Sector
Bond Fund
Hartford Schroders International Multi-Cap Value
Fund
Hartford Schroders International Stock Fund
Hartford Schroders Tax-Aware Bond Fund
Hartford Schroders US MidCap Opportunities Fund
Hartford Schroders US Small Cap Opportunities Fund
Hartford Multifactor International Fund
Hartford Multifactor Large Cap Value Fund
Hartford Series Fund, Inc.
Hartford Balanced HLS Fund
Hartford Capital Appreciation HLS Fund
Hartford Disciplined Equity HLS Fund
Hartford Dividend and Growth HLS Fund
Hartford Global Growth HLS Fund
Hartford Healthcare HLS Fund
Hartford High Yield HLS Fund
Hartford International Opportunities HLS Fund
Hartford MidCap HLS Fund
Hartford MidCap Value HLS Fund
Hartford Small Company HLS Fund
Hartford Stock HLS Fund
Hartford Total Return Bond HLS Fund
Hartford Ultrashort Bond HLS Fund
Hartford Value HLS Fund
Hartford HLS Series Fund II, Inc.
Hartford Growth Opportunities HLS Fund
Hartford MidCap Growth HLS Fund
Hartford Small Cap Growth HLS Fund
Hartford U.S. Government Securities HLS Fund
Hartford Funds Master Fund
Global Impact Master Portfolio
Lattice Strategies Trust
IVBB-19004 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
Hartford Multifactor Developed Markets (ex-US) ETF
Hartford Multifactor Emerging Markets ETF
Hartford Multifactor Global Small Cap ETF
Hartford Multifactor Low Volatility International
Equity ETF
Hartford Multifactor Low Volatility US Equity ETF
Hartford Multifactor REIT ETF
Hartford Multifactor US Equity ETF
Hartford Funds Exchange-Traded Trust
Hartford Municipal Opportunities ETF
Hartford Schroders Tax-Aware Bond ETF
Hartford Total Return Bond ETF
Hartford Short Duration ETF
Hartford Schroders Opportunistic Income Fund
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned policy, except as expressly stated herein.
This endorsement is part of such policy and incorporated therein.
IVBB-19004 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
UNAUTHORIZED SIGNATURE ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
|
1.
|
The following is added to section II. INSURING AGREEMENTS,
D. FORGERY OR ALTERATION:
|
Loss resulting from the Insured accepting, paying,
or cashing any Negotiable Instrument or Withdrawal Order made or drawn on a customer’s account, which bears
an unauthorized signature or an unauthorized endorsement, provided that the Insured has on file the signatures of all persons authorized
to sign or endorse such Negotiable Instrument or Withdrawal Order.
|
2.
|
The following replaces section VI. CONDITIONS, N.
ANTI-BUNDLING:
|
If any Insuring Agreement requires that an enumerated
type of document be altered or Counterfeit, or contain a signature or endorsement which is a Forgery or which is
unauthorized, or that it be obtained through trick, artifice, fraud, or false pretenses, such alteration, Counterfeit, signature,
or endorsement must be on or of the enumerated document itself, not on or of some other document submitted with, accompanying,
or incorporated by reference into, the enumerated document.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned policy, except as expressly stated herein.
This endorsement is part of such policy and incorporated therein.
Issuing Company: Travelers Casualty and Surety
Company of America
Policy Number: 106574591
IVBB-19010 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
CENTRAL HANDLING OF SECURITIES ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following replaces section II. INSURING AGREEMENTS, B. ON
PREMISES, paragraph 1.:
|
1.
|
Loss of Property resulting directly from:
|
|
a.
|
robbery, burglary, misplacement, mysterious unexplainable disappearance and damage or destruction; or
|
|
b.
|
theft, false pretenses or common law or statutory larceny, committed by a person physically present in an office of, or on
the premises of, the Insured at the time the Property was surrendered,
|
while the Property is lodged or deposited within
offices or premises located anywhere. The premises of The Depository Trust Company of New York and any depository listed in the
Depository Schedule below will be deemed premises of the Insured, but solely as respects loss of Certificated Securities.
Coverage for Certificated Securities held by such depository is limited to the extent of the Insured’s interest therein
as effected by the making of appropriate entries on the books and records of such depository.
Depository Schedule:
All systems utilized by the insured
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned policy, except as expressly stated herein.
This endorsement is part of such policy and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of America
Policy Number: 106574591
IVBB-19011 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
REPLACE INSURING AGREEMENT E. ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following replaces section II. INSURING AGREEMENTS, E.:
Loss resulting directly from the Insured having,
in good faith, for its own account or for the account of others:
|
1.
|
acquired, sold, delivered, or given value, extended credit or assumed liability, on the faith of any Original Written document
that is a (an):
|
|
a.
|
Certificated Security;
|
|
c.
|
deed, mortgage, or other instrument conveying title to, or creating or discharging a lien on, real property;
|
|
d.
|
Certificate of Origin or Title;
|
|
e.
|
Certificate of Deposit;
|
|
g.
|
corporate, partnership, or personal Guarantee;
|
|
j.
|
Statement of Uncertificated Security,
|
that
|
(1)
|
bears a handwritten signature material to the validity or enforceability of the Original Written document that is a
Forgery, but only to the extent the Forgery causes the loss;
|
|
(2)
|
is altered, but only to the extent the alteration
causes the loss; or
|
|
2.
|
guaranteed in writing or witnessed any handwritten signature upon any transfer, assignment, bill of sale, power of attorney,
Guarantee, endorsement, or any items listed in items 1.a. through 1.i. above;
|
|
3.
|
acquired, sold or delivered, given value, extended credit or assumed liability, on the faith of any item listed in 1.a. through
1.d. above, that is a Counterfeit, but only to the extent the Counterfeit causes the loss; or
|
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10003 Ed. 08-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
4.
|
become liable to any issuer of securities, transfer agent, registrar, redemption agent, depository, trustee, Financial Institution,
or paying, distributing, or disbursing agent, or their respective legal representatives, successors, or assigns (collectively,
“Agents and Issuers”) by reason of having executed an indemnity agreement with Agents and Issuers wherein such liability
arises from the unauthorized use of the Insured’s Securities Transfer Agents Medallion Program (STAMP) imprint, STAMP Attorney
Release imprint, Stock Exchange Medallion Program (SEMP) imprint, New York Stock Exchange Medallion Signature Program (MSP) imprint,
Signature Validation Program (SVP) imprint, or other similar signature validation program for the purpose of:
|
|
a.
|
executing guarantees of signatures (within the meaning of § 8-312 of the Uniform Commercial Code) and executing other
certifications and guarantees incident to the transfer, payment, exchange, or purchase of Certificated Securities, including
erasure guarantees and one-and-the-same guarantees; and
|
|
b.
|
executing powers of substitution;
|
provided the imprint device used by the Insured is
proven to have been lost, stolen, or counterfeited and then used for the unauthorized purpose stated above.
Actual physical possession, and continued actual
physical possession if taken as collateral, of the items listed in 1.a. through 1.j. above by the Insured, an Investment Adviser,
a Custodian, or a Federal or State chartered deposit institution of the Insured is a condition precedent to the Insured’s
having relied on the faith of such items. Release or return of such collateral is an acknowledgment by the Insured that it no longer
relies on such collateral.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
IVBB-10003 Ed. 08-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
HARTFORD SERIES
FUND – CONNECTICUT CANCELATION, TERMINATION, CHANGE, OR MODIFICATION ENDORSEMENT, INCLUDING AMENDING CERTAIN BOND PROVISIONS
FROM 60
TO 90 DAYS
This endorsement changes the following:
Investment Company Bond
It is agreed that:
|
1.
|
The following replaces section III. GENERAL AGREEMENTS, B.:
|
|
B.
|
CONSOLIDATION - MERGER - PURCHASE OR ACQUISITION
OF ASSETS
|
If the Insured or an Investment Adviser, while
this bond is in force, consolidates or merges with, or purchases or acquires assets, assets under management or liabilities of,
or purchases or acquires more than 50% voting stock ownership of another institution (hereinafter referred to as a “Transaction”),
coverage under this bond for loss which:
|
1.
|
has occurred or will occur in the offices or premises of such institution;
|
|
2.
|
has been caused or will be caused by any employee or employees of such institution; or
|
|
3.
|
has arisen or will arise out of the assets, assets under management or liabilities acquired by the Insured as a result of such
Transaction,
|
is provided as follows:
|
a.
|
Automatic Loss Sustained Coverage
|
If a Transaction involves assets, assets under management
and liabilities in an amount that is more than 25% of the consolidated assets of all Insureds as of the most recent calendar year-end
preceding the date of the Transaction, then coverage of this bond as respects the Transaction will be afforded for a Single Loss
that is both discovered and for which the acts giving rise to the loss occur in their entirety on or after the effective date of
the Transaction. This coverage terminates 90 days after the Transaction date, or the termination date of the bond, whichever comes
earlier, unless the Insured provides notice to the Company and obtains the written consent of the Company to extend such coverage
beyond said date and, upon obtaining such consent, pays to the Company an additional premium, if required.
|
b.
|
Automatic Discovery Coverage
|
If a Transaction involves assets, assets under management
and liabilities in an amount that is 25% or less of the consolidated assets of all Insureds as of the most recent calendar year-end
preceding the date of the Transaction, then coverage of this bond as respects the Transaction will be afforded for a Single Loss
that is discovered on or after the effective date of the Transaction, for the remainder of the Policy Period as set forth in ITEM
2 of the Declarations, without additional premium being charged and without notice to the Company of the Transaction.
|
2.
|
The following replaces section IV. DEFINITIONS, R.1.:
|
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10006 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
1.
|
an officer, partner or other employee of the Insured, while such person is employed by and performing services for the Insured,
and whom the Insured directly compensates by wages, salaries or commissions; or for 90 days after such individual’s termination
of service, provided such termination is not due to employee fraud or dishonesty;
|
|
3.
|
The following replaces section VI. CONDITIONS, R. CANCELATION, TERMINATION, CHANGE OR MODIFICATION:
|
|
R.
|
CANCELATION, TERMINATION, CHANGE, OR MODIFICATION
|
|
a.
|
The Insured set forth in ITEM 1 of the Declarations may cancel this bond by mailing or delivering to the Company advance Written
notice of cancelation, provided the Insured or Investment Adviser has provided at least 60 days’ advance Written
notice to the U.S. Securities and Exchange Commission (SEC). The Company will notify all other Insureds of the receipt of such
a cancelation request from the Insured or Investment Adviser, however the cancelation will not be effective until 60 days
after receipt of Written notice by all other Insureds.
|
|
b.
|
The Company may cancel this bond in its entirety by mailing or delivering Written notice of cancelation as follows:
|
|
(1)
|
BONDS IN EFFECT LESS THAN 90 DAYS:
|
If this bond has been in effect for less than 90
days and is not a renewal of a bond the Company issued, the Company may cancel this bond for any reason by giving each Insured
Written notice of cancelation at least 90 days before the effective date of cancelation, and giving the SEC Written notice
at least 60 days before the effective date of cancelation.
|
(2)
|
BONDS IN EFFECT 90 DAYS OR MORE OR RENEWALS:
|
If this bond has been in effect for 90 days or more
or this is a renewal of a bond the Company issued, the Company may cancel this bond by giving each Insured Written notice
of cancelation at least 90 days before the effective date of cancelation and giving the SEC Written notice at least 60 days
before the effective date of cancelation, provided the Company may only cancel coverage for one or more of the following reasons:
|
(a)
|
nonpayment of premium;
|
|
(b)
|
conviction of a crime arising out of acts increasing
the hazard insured against;
|
|
(c)
|
discovery of fraud or material misrepresentation by the Insured in obtaining the bond or in perfecting any claim thereunder;
|
|
(d)
|
discovery of any willful or reckless act or omission by the Insured increasing the hazard insured against;
|
|
(e)
|
a determination by the Commissioner that continuation of the bond would violate or place the Company in violation of the law;
|
|
(f)
|
physical changes in the property which increase the
hazard injured against;
|
|
(g)
|
a material increase in the hazard insured against;
or
|
|
(h)
|
a substantial loss of reinsurance by the Company affecting
this particular line of insurance.
|
|
c.
|
The Company may not cancel policies in effect for 90 days or more, or renewal policies, for any reason other than the reasons
described in paragraph 1.b.(2). above.
|
|
d.
|
If the Company cancels for nonpayment of premium,
the Insured may continue the coverage and avoid the effect of the cancelation by making payment in full at any time prior to the effective date of cancelation.
|
IVBB-10006 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
e.
|
Notice of cancelation will be delivered or sent by:
|
|
(3)
|
United States Mail evidenced by a United States Post Office certificate of mailing.
|
|
a.
|
This bond terminates in its entirety immediately upon the Expiration Date set forth in ITEM 2 of the Declarations.
|
|
b.
|
This bond terminates as to any Insured:
|
|
(1)
|
immediately upon the surrender of such Insured’s charter to any governmental authority; or
|
|
(2)
|
immediately upon the taking over of such Insured by a receiver or other liquidator or by any State or Federal official,
|
whichever occurs first.
Termination of the bond as to any Insured terminates
liability for any loss sustained by such Insured that is discovered after the effective date of such termination.
|
c.
|
With respect to any Employee or any partner, officer or employee of any Electronic Data Processor, upon the detection
by any Insured that such Employee or partner, officer or employee of any Electronic Data Processor (hereafter “detected
Employee”) has committed any dishonest or fraudulent acts or theft, the Insured must immediately remove the detected
Employee from a position that may enable the detected Employee to cause the Insured to suffer a loss by any subsequent
dishonest or fraudulent acts or theft. The Insured, within 48 hours of such detection, must notify the Company with full and complete
particulars of the detected dishonest or fraudulent acts or theft.
|
For purposes of this section, detection occurs when
any partner, officer, or supervisory Employee of any Insured, who is not in collusion with the detected Employee,
becomes aware that the detected Employee has committed any dishonest or fraudulent acts or theft.
Coverage under this bond with respect to such Employee
will terminate upon Written notice from the Company to each Insured of not less than 90 days prior to the effective
date of termination, and to the Securities and Exchange Commission of not less than 60 days prior to the effective date of termination,
specified in such notice.
Termination of coverage as to any Employee or
any partner, officer or employee of any Electronic Data Processor as set forth above will not apply to any such person provided
the Insured has received and retains an original letter signed by a prior insurer reinstating coverage for such individual for
whom the Insured discovered had committed a dishonest or fraudulent act prior to the effective date of this bond.
|
3.
|
Change or Modification
|
This bond or any instrument amending or affecting
this bond may not be changed or modified orally. No changes in or modification of this bond will be effective unless made by Written
endorsement issued to form a part of this bond and including the signature of the Company’s Authorized Representative.
When a bond covers only one Insured no change or modification that would adversely affect the rights of the Insured will be effective
prior to no less than 60 days after Written notification has been furnished to the SEC by the Insured, Investment Adviser
or the Company. If more than one Insured is named under this bond, the Company will give Written notice to each Insured
not less than 90 days prior to the effective date of any change or
IVBB-10006 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
modification that would adversely affect the rights
of such Insured, and to the SEC not less than 60 days prior to the effective date of any change or modification that would adversely
affect the rights of such Insured.
If the Company decides not to offer to renew this
bond, the Company will mail or deliver to the Insured set forth in ITEM 1 of the Declarations, and to each Insured a Written
notice of nonrenewal, stating the reason for nonrenewal, at least 90 days before the Expiration Date in ITEM 2 of the declarations
and to the SEC at least 60 days before the Expiration Date in ITEM 2 of the declarations. This notice will be delivered or sent
by:
|
(3)
|
United States Mail evidenced by a certificate of mailing.
|
The Company will send any notices required by this
Condition R. to the Insured set forth in ITEM 1 of the Declarations at the last mailing address known to the Company, to the SEC,
and to each other Insured at their last address known to the Company. Notice of cancelation will state the effective date of cancelation.
The Policy Period set forth in ITEM 2 of the Declarations will end on that date. If this bond is canceled, the Company will send
the Insured set forth in ITEM 1 of the Declarations any premium refund due, calculated on a pro rata basis. The cancelation will
be effective even if the Company has not made or offered a refund.
If notice is mailed, proof of mailing is sufficient
proof of notice.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
IVBB-10006 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
TELEFACSIMILE TRANSACTIONS INSURING AGREEMENT
ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
|
1.
|
The following is added to ITEM 4 of the DECLARATIONS:
|
|
|
SINGLE LOSS
|
|
|
SINGLE LOSS
|
|
INSURING AGREEMENT
|
|
LIMIT OF
|
|
|
DEDUCTIBLE
|
|
|
|
INSURANCE
|
|
|
AMOUNT
|
|
|
|
|
|
|
|
|
|
|
TELEFACSIMILE TRANSACTIONS
|
|
$
|
2,500,000
|
|
|
$
|
250,000
|
|
|
2.
|
The following is added to section II. INSURING AGREEMENTS:
|
TELEFACSIMILE TRANSACTIONS
Loss resulting directly from a Telefacsimile Transaction,
where the request for such Telefacsimile Transaction is unauthorized or fraudulent and is made with the intent to deceive;
provided, that the Insured receiving such request maintains and follows during the Bond Period all Designated Fax Procedures
with respect to Telefacsimile Transactions. The isolated failure of such entity to maintain and follow a particular
Designated Fax Procedure in a particular instance will not preclude coverage under this Insuring Agreement.
The Company will not be liable under this Telefacsimile
Transactions Insuring Agreement for loss covered under Insuring Agreement A, Fidelity, of this bond.
|
3.
|
The following are added to section IV. DEFINITIONS:
|
Designated means or refers to a written
designation signed by a shareholder of record of a fund, either in such shareholder’s initial application for the purchase
of shares, with or without a Signature Guarantee, or in another document with a Signature Guarantee.
Designated Fax Procedures means the
following procedures:
|
1.
|
Retention: All Telefacsimile Transaction requests will be retained for at least six months. Requests will be capable
of being retrieved and produced in legible form within a reasonable period of time after retrieval is requested.
|
|
2.
|
Identity Test: The identity of the sender in any request for a Telefacsimile Transaction will be tested before executing
that Telefacsimile Transaction, either by requiring the sender to include on the face of the request a unique identification
number or to include key specific account information. Requests of dealers must be on company letterhead and be signed by an authorized
representative. Transactions by occasional users are to be verified by telephone confirmation.
|
|
3.
|
Contents: A Telefacsimile Transaction will not be executed unless the request for such Telefacsimile Transaction
is dated and purports to have been signed by: (a) any shareholder or subscriber to shares issued by a fund, or (b) any Financial
Institution.
|
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10007 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
|
4.
|
Written Confirmation: A written confirmation of each Telefacsimile Transaction will be sent to the shareholder to whose
account such Telefacsimile Transaction relates, at the record address, by the end of the Insured’s next regular processing
cycle, but no later than five business days following such Telefacsimile Transaction.
|
Fax Election means any election concerning
dividend options available to fund shareholders that is requested through a Telefacsimile System.
Fax Exchange means any exchange of
shares in a registered account of one fund into shares in an identically registered account of another fund in the same complex
pursuant to exchange privileges of the two funds, which exchange is requested through a Telefacsimile System.
Fax Purchase means any purchase of
shares issued by an investment company that is requested through a Telefacsimile System.
Fax Redemption means any redemption
of shares issued by an investment company that is requested through a Telefacsimile System.
Signature Guarantee means a written
guarantee of a signature, which guarantee is made by an Eligible Guarantor Institution as defined in Rule 17Ad-15(a)(2) under the
Securities Exchange Act of 1934.
Telefacsimile System means a system
of transmitting and reproducing fixed graphic material, including printing, by means of signals transmitted over telephone lines.
Telefacsimile Transaction means any
Fax Redemption, Fax Election, Fax Exchange, or Fax Purchase.
|
4.
|
The following replaces section V. EXCLUSIONS, A.:
|
|
A.
|
This bond does not cover loss resulting directly or indirectly from forgery or alteration, except when covered under Insuring
Agreement A, D, E, F, G, or the Telefacsimile Transactions Insuring Agreement.
|
|
5.
|
The following are added to section V. EXCLUSIONS:
|
This bond does not cover loss resulting from:
|
1.
|
any Fax Redemption, where the proceeds of such redemption were requested to be paid or made payable to anyone other
than: (a) the shareholder of record; (b) a person Designated in the initial application or in writing at least one day prior
to such redemption to receive redemption proceeds; or (c) a bank account Designated in the initial application or in writing
at least one day prior to such redemption to receive redemption proceeds;
|
|
2.
|
any Fax Redemption of fund shares that had been improperly credited to a shareholder’s account, where such shareholder:
(a) did not cause, directly or indirectly, such shares to be credited to such account; and (b) directly or indirectly received
any proceeds or other benefit from such redemption;
|
|
3.
|
any Fax Redemption from any account, where the proceeds of such redemption were requested to be sent to any address
other than the record address or another address for such account that was designated: (a) over the telephone or by telefacsimile
at least 15 days prior to such redemption; or (b) in the initial application or in writing at least one day prior to such redemption;
|
|
4.
|
the intentional failure to adhere to one or more Designated Fax Procedures; or
|
|
5.
|
the failure to pay for shares attempted to be purchased.
|
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
IVBB-10007 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
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THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
REPLACE DEFINITION OF FORGERY ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
|
1.
|
The following replaces section IV. DEFINITIONS,
U. FORGERY:
|
|
U.
|
Forgery means signing the name of another person or organization with a handwritten signature directly applied
to a Written document without authority, and with the intent to deceive.
|
A signature that is a mechanical or electronic reproduction
of a handwritten signature produced by a mechanical check writing machine or a computer printer is treated the same as the handwritten
signature. Any other Electronic Signature, however, is not treated the same as a mechanical or electronic reproduction of
a handwritten signature and is not a Forgery.
Forgery does not mean a signature that consists
in whole or in part of one’s own name signed with or without authority, in any capacity, for any purpose.
|
2.
|
The following is added to section IV. DEFINITIONS:
|
Electronic Signature means an electronic
sound, symbol, or process attached to or logically associated with an Electronic Record and executive or adopted by a person
with the intent to sign the Electronic Record.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10008 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
REPLACE DEFINITION OF NEGOTIABLE INSTRUMENT
ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following replaces section IV. DEFINITIONS, GG.:
GG.
|
Negotiable Instrument means a Written
document, that:
|
|
1.
|
is signed by the maker or drawer;
|
|
2.
|
contains an unconditional promise or order to pay a sum certain in Money and no other promise, order, obligation or
power given by the maker or drawer;
|
|
3.
|
is payable on demand or at a definite time; and
|
|
4.
|
is payable to order or bearer.
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Negotiable Instrument also means: a counterfeit
check or Substitute Check, bills of exchange; promissory notes or other Written promises, orders, or directions to
pay sums certain in Money; due bills; money orders; warrants; orders upon public treasuries; written instructions, advices
or applications directed to the Insured authorizing or acknowledging the transfer, payment, delivery or receipt of funds or Property;
receipts for Property bearing the name of the Insured as issuer or of another Investment Company for which the Insured acts
as agent.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10009 Ed. 10-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
AUTOMATED PHONE SYSTEMS ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
|
1.
|
The following is added to ITEM 4. of the Declarations
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|
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SINGLE LOSS
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SINGLE LOSS
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LIMIT OF
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DEDUCTIBLE
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INSURING AGREEMENT
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INSURANCE
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AMOUNT
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AUTOMATED PHONE SYSTEMS
|
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$
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10,000,000
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|
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$
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250,000
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|
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2.
|
The following is added to section II. INSURING
AGREEMENTS:
|
AUTOMATED PHONE SYSTEMS (“APS”)
Loss caused directly by an APS Transaction,
where the request for such APS Transaction is unauthorized or fraudulent and is made with the manifest intent to deceive
the Insured; provided that the entity that receives such request generally maintains and follows during the Bond Period all
APS Designated Procedures with respect to APS Transactions. The isolated failure of such entity to maintain and follow
a particular APS Designated Procedure in a particular instance will not preclude coverage under this Insuring Agreement.
|
2.
|
The following are added to section IV. DEFINITIONS:
|
APS or Automated Phone System
means an automated system that receives and converts to executable instructions (1) transmissions by voice over the telephone,
or (2) transmissions over the telephone through use of a touch-tone keypad or other tone system; but does not include transmissions
from a Computer System or part thereof.
APS Designated Procedures means the
following procedures:
|
1.
|
Logging: All APS Transaction requests must be logged or otherwise recorded so as to preserve all of the information
necessary to effect the requested APS Transaction transmitted in the course of such a request, and the records must be retained
for at least six months. Information contained in the records must be capable of being retrieved and produced within a reasonable
time after retrieval of specific information is requested, at a success rate of no less than 85 percent.
|
|
2.
|
Identity Test: The identity of the caller in any request for an APS Transaction must be tested before executing that
APS Transaction by requiring the entry by the caller of an identification number consisting of at least four digits or characters.
|
|
3.
|
Contemporaneous Confirmation: All information in each request for an APS Transaction that is necessary to effect such
APS Transaction must be contemporaneously repeated to the caller, and no such APS Transaction will be executed unless
the caller has confirmed the accuracy of such information.
|
|
4.
|
Written Confirmation: A written confirmation of each APS Transaction must be sent to the shareholders to whose account
such APS Transaction relates, at the record address, by the end of the Insured’s next regular processing cycle, but
no later than five business days following such APS Transaction.
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|
5.
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Access to APS Equipment: Physical access to
APS Equipment must be limited to duly authorized personnel.
|
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-10010 Ed. 11-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
APS Election means any election concerning
dividend options available to the Insured’s shareholders that is requested through an Automated Phone System.
APS Exchange means any exchange of
shares in a registered account of one Insured into shares in an identically registered account of another Insured in
the same complex pursuant to exchange privileges of the two Insureds, which exchange is requested through an Automated
Phone System.
APS Purchase means any purchase of
shares issued by an Investment Advisor that is requested through an Automated Phone System.
APS Redemption means any redemption
of shares issued by an Investment Advisor that is requested through an Automated Phone System.
APS Transaction means any APS Redemption,
APS Election, APS Exchange, or APS Purchase.
Officially Designated means designated
in writing signed by a shareholder of record of an Insured, either in such shareholder’s initial application for the
purchase of an Insured’s shares, with or without a Signature Guarantee, or in another document with a Signature Guarantee.
Signature Guarantee means a Written
guarantee of a signature that is made by a Financial Institution whose deposits are insured by the Federal Deposit Insurance
Corporation, or by a broker that is a member of any national securities exchange registered under the Securities Exchange Act of
1934.
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3.
|
Solely with respect to the Automated Phone Systems Insuring Agreement, the following are added to section V. EXCLUSIONS:
|
This bond does not cover:
|
a.
|
Any loss covered under any other Insuring Agreement
of this bond:
|
|
b.
|
Any loss resulting directly or indirectly from:
|
|
(1)
|
Any APS Redemption, where the proceeds of such redemption were requested to be paid or made payable to other than (a)
the shareholder of record, or (b) a person Officially Designated to receive redemption proceeds, or (c) a bank account Officially
Designated to receive redemption proceeds;
|
|
(2)
|
Any APS Redemption of an Insured’s shares that had been improperly credited to a shareholder’s account,
where such shareholder (a) did not cause, directly or indirectly, such shares to be credited to such account, and (b) directly
or indirectly received any proceeds or other benefit from such redemption;
|
|
(3)
|
Any APS Redemption from any account, where the proceeds of such redemption were requested to be sent (a) to any address
other than the record address for such account, or (b) to a record address for such account that was either (i) designated over
the telephone fewer than 30 days prior to such redemption, or (ii) designated in writing less than one day prior to such redemption;
|
|
(4)
|
The failure to pay for shares attempted to be purchased, or
|
|
(5)
|
The intentional failure to adhere to one or more APS Designated Procedures.
|
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
IVBB-10010 Ed. 11-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE BOND. PLEASE
READ IT CAREFULLY.
AUTOMATIC INCREASE IN INSURING AGREEMENT
A.1. SINGLE LOSS LIMIT OF INSURANCE ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following is added to section VI. CONDITIONS, E. SINGLE
LOSS LIMIT OF INSURANCE:
Notwithstanding the previous paragraph, if the Insured, while
this bond is in force, requires an increase in the limit of Insuring Agreement A.1. in order to comply with SEC Regulation 17g-1,
as a result of:
|
1.
|
an increase in assets under management by current Insureds under the bond, per the terms of section III. GENERAL AGREEMENTS,
A. ORGANIC GROWTH; or
|
|
2.
|
an increase in assets under management due to the addition of new investment companies per the terms of section III. GENERAL
AGREEMENTS, B. CONSOLIDATION – MERGER – PURCHASE OR ACQUISTION OF ASSETS,
|
the Single Loss Limit of Insurance for Insuring Agreement A.1.
will automatically be increased to comply with Regulation 17g-1 without the payment of additional premium, for the remainder of
the Bond Period.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned bond, except as expressly stated herein.
This endorsement is part of such bond and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of
America
Bond Number: 106574591
IVBB-19044 Ed. 05-18
|
© 2018 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
REPLACE GENERAL AGREEMENT A. ORGANIC
GROWTH ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following replaces section III. GENERAL AGREEMENTS, A. ORGANIC
GROWTH:
If an Insured or Investment Adviser, while this bond
is in force, adds additional Employees or experiences an increase in assets under management, other than by consolidation
or merger with, or purchase or acquisition of the assets, assets under management or liabilities of, another institution, such
Employees or increased assets under management will automatically be covered hereunder from the date of such addition without
the requirement of notice to the Company or the payment of additional premium for the remainder of the Policy Period as set forth
in ITEM 2 of the Declarations.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, exclusions, or limitations of the above-mentioned policy, except as expressly stated herein.
This endorsement is part of such policy and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of
America
Policy Number:106574591
IV-19045 Ed. 03-19
|
© 2019 The Travelers Indemnity Company. All rights reserved.
|
THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
CONNECTICUT CHANGES ENDORSEMENT
This endorsement changes the following:
Investment Company Bond
It is agreed that:
The following replaces section VI. CONDITIONS, H. NOTICE –
PROOF OF LOSS - LEGAL PROCEEDINGS, 4.:
|
4.
|
Legal proceedings for the recovery of any loss hereunder will not be brought prior to the expiration of 60 days after the original
proof of loss is filed with the Company or after the expiration of five years from the discovery of such loss, except that any
action or proceeding to recover hereunder on account of any judgment against the Insured in any suit mentioned in General Agreement
E, or to recover attorney’s fees paid in any such suit, will be brought within five years from the date upon which the judgment
and such suit becomes final.
|
Nothing herein contained shall be held to vary, alter, waive
or extend any of the terms, conditions, exclusions or limitations of the above-mentioned policy, except as expressly stated herein.
This endorsement is part of such policy and incorporated therein.
Issuing Company: Travelers Casualty and Surety Company of
America
Policy Number: 106574591
IVBB-17005 Ed. 01-16
|
© 2016 The Travelers Indemnity Company. All rights reserved.
|
THIS PAGE IS LEFT INTENTIONALLY BLANK
POLICYHOLDER NOTICE
Thank you for purchasing insurance from a member company of
American International Group, Inc. (AIG). The AIG member companies generally pay compensation to brokers and independent agents,
and may have paid compensation in connection with your policy. You can review and obtain information about the nature and range
of compensation paid by AIG member companies to brokers and independent agents in the United States by visiting our website at
www.aig.com/producer-compensation or by calling 1-800-706-3102.
91222 (9/16)
National Union Fire Insurance Company
of Pittsburgh, Pa. ®
A capital stock company
Policy Number:
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|
01-701-53-71
|
|
Replacement of:
|
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01-823-13-40
|
EXCESS EDGE®
NOTICES: Depending on the terms, conditions and limitations
of the Followed Policy, this policy may (1) only provide coverage for loss from claims first made or first made and reported
during its Policy Period; (2) have its limit of liability reduced by the payment of defense costs and/or claim expenses,
and (3) not impose a duty to defend on the Insurer. Please read the Followed Policy and this policy carefully and
discuss the coverage provided thereunder and hereunder with your insurance
agent or broker.
DECLARATIONS
Policyholder:
|
HARTFORD
SERIES FUND, INC.
|
|
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|
|
Policyholder
Address:
|
CORPORATE
RISK MANAGEMENT
|
Limit
of Liability:
|
$
|
10,000,000
|
|
ONE
HARTFORD PLAZA, HO-GL-09
|
|
|
|
|
HARTFORD,
CT 06155
|
Total
Underlying Limits:
|
$
|
10,000,000
|
|
|
|
|
|
Policyholder
Domicile:
|
Connecticut
|
Policy
Period: From:
|
|
August
19, 2019
|
|
|
|
|
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Insurer
Address:
|
175
Water Street
|
To:
|
|
August
19, 2020
|
|
New
York, NY 10038
|
Premium:
|
$
|
18,500
|
|
|
|
|
|
Claims
Address: e-mail:
|
c-claim@AIG.com
|
|
|
|
Mail:
|
AIG,
Financial Lines Claims
|
|
|
|
|
P.O.
Box 25947
|
|
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|
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Shawnee
Mission, KS 66225
|
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SCHEDULE OF UNDERLYING COVERAGE
|
|
|
|
Underlying
Policy
|
|
Underlying Insurer
|
Underlying
Policy
|
Underlying
Limit
|
Period
|
PLEASE
SEE ATTACHED SCHEDULE OF UNDERLYING COVERAGE AND FOLLOWED POLICY ADDENDUM
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The Policy Period incepts and expires as of 12:01 A.M.
at the Policyholder Address. Terms with “Bold” typeface are used in this policy with the meanings and
values ascribed to them above; however, subject to the Changes clause, the “Followed Policy” means the policy
in the Schedule with an “*” at the beginning of its row, but only with respect to the following Followed Coverage
Section(s): PLEASE SEE ATTACHED SCHEDULE OF UNDERLYING COVERAGE AND FOLLOWED POLICY ADDENDUM.
1482037
103224 (02/10)
|
© All rights reserved.
|
In consideration of the payment of the premium, National Union
Fire Insurance Company of Pittsburgh, Pa.® (the “Insurer”) and insureds agree as follows:
INSURING
|
|
This
policy shall provide coverage in accordance with the same terms, conditions and
|
|
|
|
AGREEMENT
|
|
limitations
of the Followed Policy, as modified by and subject to the terms, conditions and
limitations of this policy.
|
|
|
|
|
|
The
Insurer’s coverage obligations under this policy attach to the Insurer only after the Total Underlying
Limits have been exhausted through payments by, on behalf of or in the place of the Underlying Insurers of amounts
covered under the Underlying Policies. This policy shall continue in force as primary insurance only upon the exhaustion
of the Total Underlying Limits by reason of such payments and satisfaction of any applicable retention. This policy
shall recognize erosion of an Underlying Limit of an Underlying Policy through payments by others of covered
amounts under that Underlying Policy. The risk of uncollectability of any part of the Total Underlying Limits,
for any reason, is expressly retained by the Policyholder and any insureds, and is not insured under this policy or
assumed by the Insurer.
|
|
|
|
LIMIT
OF LIABILITY
|
|
The
Limit of Liability is
the aggregate limit of the Insurer’s liability for all coverage under this
policy.
|
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|
|
NOTICES
|
|
Where
the Followed Policy requires or permits notice to its insurer, the Policyholder
or the insureds have the same obligations and rights to notify the Insurer
under this policy, except that with respect to this policy, any notice to the Insurer
must be directed as follows: (i) for claims-related matters, by mail or e-mail to
the Claims Address; and (ii) for all other notices, by mail to the Insurer
Address.
|
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RIGHTS
|
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The
Insurer shall have the same rights, privileges and protections afforded to the
Underlying Insurer of the Followed Policy in accordance with the terms,
conditions and limitations of the Followed Policy. The Insurer shall also
have the right, in its sole discretion, but not the obligation, to effectively associate
with the insureds in the defense and settlement of any claim that appears to be reasonably
likely to involve the Insurer. The Policyholder, its subsidiaries and any
insureds shall provide the Insurer with such information, assistance and cooperation
as the Insurer may reasonably request and shall not do anything that prejudices
the Insurer’s position or potential rights of recovery.
|
|
|
|
RELIANCE
|
|
The
Insurer has issued this policy in reliance upon the completeness and accuracy
of the applications, warranties, statements, the binders for the Underlying Policies,
any attachments thereto and any other materials submitted for this policy, which shall
be deemed attached hereto and made a part hereof.
|
|
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CHANGES
|
|
If,
subsequent to the issuance of the Followed Policy, the terms, conditions or limitations
of an Underlying Policy are modified, the insureds must notify the Insurer
in writing, as soon as practicable, of such modification. If any changes to the Followed
Policy: (i) expand coverage, (ii) change the policyholder name or address, or (iii)
modify premium, this policy shall not follow those changes unless the Insurer
reflects its agreement to do so in a written endorsement to this policy.
|
IN WITNESS WHEREOF, the Insurer has caused this Policy to be
signed by its President, Secretary and Authorized Representative. This Policy shall not be valid unless signed below at the time
of issuance by an authorized representative of the insurer.
|
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PRESIDENT
|
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AUTHORIZED REPRESENTATIVE
|
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SECRETARY
|
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COUNTERSIGNATURE
(WHERE REQUIRED BY LAW)
|
|
DATE
|
|
COUNTERSIGNATURE LOCATION
|
AON RISK SERVICES NORTHEAST INC
ONE LIBERTY PLAZA
165 BROADWAY
NEW YORK, NY 10006
1482037
103224 (02/10)
|
|
© All rights reserved.
|
SCHEDULE OF UNDERLYING COVERAGE AND FOLLOWED
POLICY ADDENDUM
In consideration of the premium charged, it is hereby understood
and agreed that the Declarations are amended as follows:
|
1.
|
To delete the stated SCHEDULE OF UNDERLYING COVERAGE in its entirety and replace it with the following:
|
SCHEDULE OF UNDERLYING COVERAGE
|
|
|
|
Underlying
|
|
Underlying Insurer
|
Underlying Policy
|
Underlying Limit
|
Policy Period
|
*
|
Travelers
Casualty and Surety Company of America
|
106574591
|
$10,000,000 Primary
|
08/19/2019
to 08/19/2020
|
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103496 (11/09)
|
|
© All rights reserved.
|
2. To delete the Definition
of “Followed Policy” and replace it with the following:
“Followed Policy” means the policy
in the Schedule with an “*” at the beginning of its row, but only with respect to the following Followed Coverage
Section(s): ICBB
ALL OTHER TERMS, CONDITIONS AND EXCLUSIONS REMAIN
UNCHANGED.
1482037
103496 (11/09)
|
|
© All rights reserved.
|
ENDORSEMENT# 1
This endorsement, effective at 12:01AM August 19, 2019
forms a part of
Policy number 01-701-53-71
Issued to: HARTFORD SERIES FUND, INC.
By:
|
|
National Union Fire Insurance Company of Pittsburgh, Pa.
|
PROTECTED INFORMATION EXCLUSION
This endorsement modifies insurance provided under the following:
EXCESS EDGE POLICY (EXCESS OVER A FIDELITY/CRIME POLICY)
EXCESS INSURANCE POLICY (EXCESS OVER A FIDELITY/CRIME POLICY)
In consideration of the premium charged, it is hereby understood
and agreed that notwithstanding any of the terms and conditions of the Followed Policy, this policy does not cover loss
resulting directly or indirectly from the: (i) theft, disappearance or destruction of; (ii) unauthorized use or disclosure of;
(iii) unauthorized access to; or (iv) failure to protect any:
(1) confidential
or non-public; or
(2) personal
or personally identifiable;
information that any person or entity has a duty to protect
under any law, rule or regulation, any agreement or any industry guideline or standard.
This exclusion shall not apply to the extent that any unauthorized
use or disclosure of a password enables a theft by an employee of the Insured of money, securities or tangible property
of the Insured or that the Insured is holding for a third party; provided, however, this exception shall not apply
to the extent that such unauthorized use or disclosure of a password enables a theft of or disclosure of information.
ALL OTHER TERMS, CONDITIONS AND EXCLUSIONS
REMAIN UNCHANGED.
|
|
|
AUTHORIZED REPRESENTATIVE
|
©All rights reserved.
END 001
113027 (10/12)
ENDORSEMENT# 2
This endorsement, effective at 12:01AM August 19, 2019
forms a part of
Policy number 01-701-53-71
Issued to: HARTFORD SERIES FUND, INC.
|
By:
|
National Union Fire Insurance Company of Pittsburgh,
Pa.
|
INDIRECT OR CONSEQUENTIAL LOSS EXCLUSION
This endorsement modifies insurance provided under the following:
EXCESS EDGE POLICY (EXCESS OVER A FIDELITY/CRIME POLICY)
EXCESS
INSURANCE POLICY (EXCESS OVER A FIDELITY/CRIME POLICY)
It is agreed that:
1.
|
Notwithstanding any of the terms and conditions of the Followed Policy, this policy does not cover loss that is an indirect
or consequential result of an Occurrence, including but not limited to loss resulting from payment of damages of any type
for which the Insured is legally liable.
|
2.
|
Solely for purposes of this endorsement, “Occurrence” means the occurrence of any of the perils specified
in the Insuring Agreements of the Followed Policy.
|
ALL OTHER TERMS,
CONDITIONS AND EXCLUSIONS REMAIN UNCHANGED.
|
|
|
AUTHORIZED REPRESENTATIVE
|
©All rights reserved.
END 002
113029 (10/12)
ENDORSEMENT# 3
This endorsement, effective at 12:01AM August 19, 2019
forms a part of
Policy number 01-701-53-71
Issued to: HARTFORD SERIES FUND, INC.
|
By:
|
National Union Fire Insurance Company of Pittsburgh,
Pa.
|
Product Name: Excess Edge
ECONOMIC SANCTIONS ENDORSEMENT
This endorsement modifies insurance provided under the following:
Coverage shall only be provided and payment of loss under this
policy shall only be made in full compliance with enforceable United Nations economic and trade sanctions and the trade and economic
sanction laws or regulations of the European Union and the United States of America, including, but not limited to, sanctions,
laws and regulations administered and enforced by the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”).
ALL OTHER TERMS, CONDITIONS AND EXCLUSIONS
REMAIN UNCHANGED.
|
|
|
AUTHORIZED REPRESENTATIVE
|
© All rights reserved.
END 003
119679 (9/15)
ENDORSEMENT# 4
This endorsement, effective at 12:01AM August 19, 2019
forms a part of
Policy number: 01-701-53-71
Issued to: HARTFORD SERIES FUND, INC.
|
By:
|
National Union
Fire Insurance Company of Pittsburgh, Pa.
|
LIMIT OF LIABILITY AMENDED
(SINGLE LOSS LIMIT OF LIABILITY WITHOUT
AGGREGATE LIMIT)
In consideration of the premium charged, it is hereby understood
and agreed that the policy is amended as follows:
|
1.
|
The Limit of Liability in the Declarations is deleted in its entirety and replaced with the following:
|
Limit of Liability:
|
Single Loss Limit of Liability: $10,000,000
|
|
2.
|
The LIMIT OF LIABILITY Clause is deleted in its entirety
and replaced with the following:
|
The Insurer’s liability for each Single
Loss shall not exceed the Single Loss Limit of Liability set forth in the Limit of Liability section of the DECLARATIONS
of this policy.
|
3.
|
The term “Single Loss” as used in this policy shall have the same meaning attributed to such term in the
Followed Policy.
|
ALL OTHER TERMS,
CONDITIONS AND EXCLUSIONS REMAIN UNCHANGED.
©All rights reserved.
END 004
123498 (01/17)
ENDORSEMENT# 5
This endorsement, effective 12:01AM August 19, 2019
forms a part of
policy number 01-701-53-71
issued to HARTFORD SERIES FUND, INC.
|
by
|
National Union
Fire Insurance Company of Pittsburgh, Pa.
|
FORMS INDEX ENDORSEMENT
The contents of the Policy is comprised of the following forms:
|
|
EDITION
|
|
|
FORM NUMBER
|
|
DATE
|
|
FORM TITLE
|
103224
|
|
02/10
|
|
EXCESS DEC AND POLICY - ADMITTED
|
103496
|
|
11/09
|
|
SCHEDULE OF UNDERLYING COVERAGE AND FOLLOWED POLICY ADDENDUM
|
113027
|
|
10/12
|
|
PROTECTED INFORMATION EXCLUSION
|
113029
|
|
10/12
|
|
INDIRECT OR CONSEQUENTIAL LOSS EXCLUSION
|
119679
|
|
09/15
|
|
ECONOMIC SANCTIONS ENDORSEMENT
|
123498
|
|
01/17
|
|
LIMIT OF LIABILITY AMENDED
|
78859
|
|
10/01
|
|
FORMS INDEX ENDORSEMENT
|
ALL OTHER TERMS, CONDITIONS AND EXCLUSIONS
REMAIN UNCHANGED.
|
|
|
AUTHORIZED REPRESENTATIVE
|
©All rights reserved.
END 005
78859 (10/01)
CLAIM REPORTING FORM
Issuing Company: National Union Fire Insurance Company
of Pittsburgh, Pa.
Reported under Policy/Bond Number:
01-701-53-71
|
Date:
|
Type of Coverage: D&O
E&O Fidelity
(complete the Fidelity Supplemental on the next page)
Insured’s Name, as given on Policy Declarations (Face
Page):
|
HARTFORD
SERIES FUND, INC.
|
|
|
|
|
|
|
|
|
If the party involved is different from “Insured”
Name (as given on Policy Declarations) state relationship:
Insurance Broker/Agent:
|
AON
RISK SERVICES NORTHEAST INC
|
Address:
|
ONE
LIBERTY PLAZA, 165 BROADWAY
|
Address:
|
NEW YORK, NY 10006
|
Contact:
|
JOHN
MACKO
|
|
Phone:
|
|
eMail:
|
john.macko@aon.com
|
Send Notice of Claims to:
|
AIG
|
Phone:
|
(888) 602- 5246
|
|
Financial Lines Claims
|
Fax:
|
(866) 227- 1750
|
|
P.O. Box 25947
|
Email:
|
c- Claim@ AIG.com
|
|
Shawnee Mission, KS 66225
|
|
CLAIM REPORTING FORM
FIDELITY SUPPLEMENTAL
(Only complete this supplemental if the
Claim is being reported under Fidelity Coverage)
Issuing Company:
|
National Union Fire Insurance Company of Pittsburgh, Pa.
|
Reported under Policy/Bond Number:
|
01-701-53-71
|
Date of Discovery:
|
|
|
Estimated Amount of loss:
|
|
Cause of Loss:
|
|
Employee Dishonesty
|
|
|
Computer Fraud
|
|
|
|
|
|
|
|
|
|
|
Funds Transfer
|
|
|
Robbery/ Burglary
|
|
|
|
|
|
|
|
|
|
|
ID Theft
|
|
|
Forgery
|
|
|
|
|
|
|
|
|
|
|
Client Property
|
|
|
In Transit
|
|
|
|
|
|
|
|
|
|
|
ERISA
|
|
|
Credit Card Forgery
|
|
|
|
|
|
|
|
|
|
|
Other
|
|
|
if Other, describe:
|
|
Send Notice Of Claims To:
|
AIG
|
Phone:
|
(888) 602- 5246
|
|
Financial Lines Claims
|
Fax:
|
(866) 227- 1750
|
|
P.O. Box 25947
|
Email:
|
c- Claim@AIG.com
|
|
Shawnee Mission, KS 66225
|
|
centralized Customer Link and Information
Management
|
DECLARATIONS
EXCESS INSURANCE POLICY
|
ACCOUNT NUMBER
|
|
233788
|
COVERAGE PROVIDED BY
|
|
Continental Casualty Company
|
(hereafter Insurer)
|
|
|
POLICY NUMBER
|
|
596358018
|
Item 1:
|
NAMED ENTITY AND PRINCIPAL ADDRESS
|
PRODUCER
|
Hartford Series Fund, Inc.
|
AON RISK SERVICES NORTHEAST, INC.
|
One Hartford Plaza
|
165 BROADWAY STE 3201
|
HO-GL-09
|
ONE LIBERTY PLAZA
|
Hartford, CT 06115
|
NEW YORK, NY 10006
|
Attn:
|
|
John Macko
|
Item 2.
|
Policy
|
8/19/2019 To 8/19/2020
|
Item 3. Limit of Liability
|
|
Period:
|
|
|
|
|
12:01 a.m. Standard Time at the Principal
|
$5,000,000 maximum aggregate Limit of Liability
|
|
|
Address stated in Item 1.
|
under the Policy
|
|
|
|
|
Item 4.
|
Schedule of Underlying Insurance:
|
|
|
A. Followed Policy
|
|
|
Name of Carrier
|
Policy No
|
Limits
|
Ded/Ret Amount
|
|
Travelers Casualty and Surety
|
106574591
|
$10,000,000
|
$250,000
|
|
Company of America
|
|
|
|
|
B. Underlying Excess Policies:
|
*** SEE ATTACHED SCHEDULE ***
|
Item 5.
|
Policy Premium
|
$7,000
|
Item 6.
|
Notices of Claims:
|
All other Notices:
|
|
CNA – Claims Reporting
|
|
|
P.O Box 8317
|
Life Agents Underwriting Unit
|
|
Chicago, IL 60680-8317
|
CNA Insurance Company
|
|
Email address: SpecialtyProNewLoss@cna.com
|
125 Broad Street – 8th Floor
|
|
Fax Number: 866-773-7504
|
New York, NY 10004
|
Item 7.
|
Endorsements forming a part of this Policy at inception:
|
|
GSL-24999-XX
|
2011-01-01
|
Follow Form Endorsement
|
These Declarations, along with the
completed and signed Application, the Policy, and any written endorsements attached thereto shall constitute the contract between
the Insureds and the Insurer.
Authorized Representative:
|
|
Date:
|
November 11, 2019
|
G-22076-B(c) (ED. 06-10)
© CNA All
Rights Reserved.
UNDERLYING EXCESS POLICY SCHEDULE
Name of Carrier
|
|
Policy No.
|
|
Limits
|
|
|
Excess of
|
|
|
|
|
|
|
|
|
|
|
National Union Fire Insurance Company of Pittsburgh.Pa
|
|
01-701-53-71
|
|
$
|
10,000,000
|
|
|
$
|
10,000,000
|
|
G-22076-B(c) (ED. 06-10)
© CNA All Rights Reserved.
EXCESS INSURANCE POLICY
Words defined in the Followed Policy have the same meaning
in this Policy even if not defined herein. In consideration of the payment of the premium and in reliance upon the applications
submitted to the Insurer or any insurer of the Underlying Insurance, and any other material submitted in connection with such applications
(all of which are deemed attached hereto and made a part hereof) the Insurer and the Insureds agree as follows:
I. FOLLOW FORM EXCESS
COVERAGE
The Insurer shall provide coverage in accordance
with all of the terms, conditions and limitations (including, but not limited to the exclusions and notice requirements) of the
policy scheduled in Item 4.A. of the Declarations (hereafter “Followed Policy”) except as otherwise set forth
herein. Coverage hereunder shall attach only after all of the aggregate Limits of Liability, as set forth in Item 4. of the Declarations
have been exhausted through payment of covered loss under all policies scheduled in Item 4. of the Declarations (hereafter “Underlying
Insurance”) by or on behalf of the insurers of such Underlying Insurance, or by or on behalf of the Insureds.
The risk of uncollectibility of any Underlying Insurance (in whole or in part), whether because of financial impairment
or insolvency of an underlying insurer or for any other reason, is expressly retained by the Insureds and is not insured by or
assumed by the Insurer.
II. LIMIT OF LIABILITY
The amount set forth in Item 3. of the Declarations
shall be the maximum aggregate Limit of Liability of the Insurer for all loss under this Policy, regardless of the number of claims
made against the Insureds or the time of payment and regardless of whether or not an extended reporting period applies. If the
Limit of Liability under this Policy is exhausted by payment of loss, the Insurer’s obligations under this Policy shall be
deemed completely fulfilled and extinguished.
III. CHANGES TO
UNDERLYING INSURANCE/DEPLETION OF SUB-LIMITS
If, subsequent to the inception date of this Policy,
there is a change to any Underlying Insurance which expands coverage, then this Policy shall become subject to such change
only if the Insurer agrees thereto by written endorsement to this Policy. If any loss under any Underlying Insurance is
subject to a sub-limit, then this Policy provides no coverage excess of such Underlying Insurance sub-limit, but
the Underlying Insurance shall be deemed depleted by payment of any such sub-limit.
IV. INSURER RIGHTS/COOPERATION
CLAUSE
The Insurer has the same rights and protections as
has the insurer of the Followed Policy and has the right, but not the obligation, at its sole discretion, to elect to participate
in the investigation, settlement, prosecution or defense of any claim reasonably likely to attach to and be covered under this
Policy or any Underlying Insurance, even if the Underlying Insurance has not been exhausted. The Insureds shall cooperate
with the Insurer in such investigation, settlement, prosecution or defense and shall do nothing that prejudices the Insurer’s
position or rights of recovery.
V. NOTICES
Where notice is permitted or required by the Followed
Policy, the Insureds have the same rights and obligations to notify the Insurer under this Policy, except that such notice
shall be given to the Insurer at the applicable address specified in Item 6. of the Declarations.
IN WITNESS WHEREOF, the Insurer has caused this Policy to be
executed by its Chairman and Secretary, but this Policy shall not be binding upon us unless completed by the attachment of the
Declarations:
Chairman
|
|
Secretary
|
|
|
|
|
|
|
G-22075-B (Ed. 06-10)
© CNA All Rights Reserved.
FOLLOW FORM ENDORSEMENT
In consideration of the premium paid for this policy, it is
agreed as follows:
It is further understood and agreed that coverage under this
policy shall be subject to the provisions of Endorsement #2 – Protected Information Exclusion issued by National Union Fire
Insurance Company OF Pittsburgh, Pa. in lieu of any comparable provisions of the Followed Policy.
All other terms and conditions of the Policy remain unchanged.
This endorsement, which forms a part of and is for attachment
to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy,
unless another effective date is shown below, and expires concurrently with said Policy.
GSL24999XX (1-11)
|
Policy No:
|
|
596358018
|
Page 1
|
Endorsement No:
|
|
1
|
Continental Casualty Company
|
Effective Date:
|
|
08/19/2019
|
Insured Name: Hartford Series Fund, Inc.
|
|
|
|
© CNA All Rights Reserved.
NON AGGREGATED LIMIT OF LIABILITY
FOR USE WITH EXCESS FIDELITY BONDS AND COMMERCIAL CRIME
In consideration of the premium paid for this Policy, it is
hereby understood and agreed that the Policy is amended as follows:
1. Item 3. of the Declarations
is deleted in its entirety and replaced with the following:
Item 3. Limit of Liability:
$5,000,000
2. Section II. LIMIT
OF LIABILITY is deleted in its entirety and replaced with the following:
The Limit of Liability set forth in Item 3. of the Declarations
shall be the maximum Limit of Liability of the Insurer for each loss under this Policy, provided that:
(A) all loss caused
by or involving any Employee acting alone or in collusion with other persons, or any group of Employees acting together, even if
in collusion with other persons, whether the result of a single act or multiple acts; or
(B) all loss
i) involving forgery
or alteration of financial instruments, caused, or contributed to, by any one person, who is not an Employee, acting alone or in
collusion with others, or in which any such person is implicated, whether the loss involves one or more instruments;
ii) not involving an
Employee or forgery or alteration of financial instruments caused by (a) a single act, or series of related acts, (b) any act or
acts involving one person, or a group of persons acting together, or (c) an act or event, or a series of related acts or events,
not involving any identifiable person.
will be treated as a single loss subject to the Limit of Liability
set forth in Item 3. of the Declarations.
3. The Policy is amended
to add the following new sections:
Employee shall have the same definition as set forth in the
Followed Policy.
All other terms and conditions of the Policy remain unchanged.
This endorsement, which forms a part of and is for attachment
to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy,
unless another effective date is shown below, and expires concurrently with said Policy.
GSL-43879-XX (1-11)
|
Policy No:
|
|
596358018
|
Page 1
|
Endorsement No:
|
|
2
|
Continental Casualty Company
|
Effective Date:
|
|
08/19/2019
|
Insured Name: Hartford Series Fund, Inc.
|
|
|
|
© CNA All Rights Reserved.
SECRETARY’S CERTIFICATE
I, Thomas R. Phillips, Secretary of The
Hartford Mutual Funds, Inc., The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc., Hartford HLS Series Fund II, Inc.,
Hartford Funds Master Fund, Hartford Funds Exchange-Traded Trust, Lattice Strategies Trust, and Hartford Schroders Opportunistic
Income Fund (each a “Registrant” and collectively, the “Registrants”), hereby certify that the following
resolutions were adopted by the Boards of Directors/Trustees at their meeting held on August 6-7, 2019:
RESOLVED, that each of the officers
of The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc., Hartford HLS Series Fund II,
Inc., Hartford Funds Exchange-Traded Trust, Hartford Funds Master Fund, Lattice Strategies Trust, and Hartford Schroders Opportunistic
Income Fund (each, a “Registrant” and collectively, the “Registrants”) is hereby authorized to enter
into a joint fidelity bond described in the materials previously provided and presented at this meeting, so that the amount of
insurance is equal to the greater of $25 million or the amount required by the Investment Company Act of 1940, as amended (“1940
Act”), (the “Joint Bond”), in substantially the form presented at this meeting, for the period ending on or about
August 19, 2020; and
FURTHER RESOLVED, that the Joint
Bond will cover, among other things, the officers of the Registrants in accordance with the requirements of Rule 17g-1 under the
1940 Act; and
FURTHER RESOLVED, that after considering
such factors as: the value of the aggregate assets of the Registrants to which any person covered under the Joint Bond may have
access; the types and terms of the arrangements for the custody and safekeeping of such assets and the nature of the securities
in the portfolio of each Registrant, Management has represented and it is the judgment of each Board that the form of and the amount
of the Joint Bond are reasonable, and are hereby approved; and
FURTHER RESOLVED, that in approving
the Joint Bond, the Boards of Directors/Trustees (the “Board”) of each Registrant has also given due consideration
to, among other things, (i) the total amount of the Joint Bond; (ii) the amount of the premium of the Joint Bond; (iii) the ratable
allocation of the total premium among all the insureds; and (iv) that the share of the premium allocated to each Registrant under
the Joint Bond is less than the premium that each Registrant would have had to pay had each Registrant maintained a single insured
bond; and
FURTHER RESOLVED, that each of the
officers of each Registrant is hereby authorized and directed to enter into an agreement on behalf of the Registrant, as required
by Rule 17g-1(f) under the 1940 Act, with each of the other insured Registrants, providing in substance that in the event any recovery
is received under the Joint Bond as a result of a loss sustained by the Registrant and also by one or more of the other insured
Registrants, the Registrant shall receive an equitable and proportionate share of the recovery, but in no event less than the amount
it would have received had it provided and maintained a single insured bond with the minimum coverage required by Rule 17g-1(d)(1);
and
FURTHER RESOLVED, that each of the
officers of each Registrant is hereby authorized and directed to pay on behalf of that Registrant its respective portion of the
total premium, pro rata based on net assets; and
FURTHER RESOLVED, that each of the
officers of each Registrant is hereby instructed to make all filings with the Securities and Exchange Commission and to give all
notices required by Rule 17g-1 under the 1940 Act on behalf of the Registrant with respect to the Joint Bond; and
FURTHER RESOLVED, that each of the
officers of each Registrant is hereby authorized and directed to increase the amount of the Joint Bond at any time and from time
to time as they may deem necessary or appropriate to comply with Rule 17g-1 under the 1940 Act, such determination to be conclusively
evidenced by such acts; and
FURTHER RESOLVED, that each of the
officers of each Registrant is hereby authorized to execute and deliver such documents as may be necessary to effect the policy
and authorized and directed to take such other actions as they deem reasonably necessary to carry out these resolutions and to
comply with Rule 17g-1 under the 1940 Act.
IN WITNESS WHEREOF, the undersigned has
hereunto set his hand this 24th day of January 2020.
|
/s/ Thomas R. Phillips
|
|
Thomas R. Phillips
|
|
Vice President and Secretary
|
|
Joint Insured Investment Company Blanket
Bond
Joint Agreement for Proportionate Recovery
Effective as of August 19, 2019
In accordance with Rule 17g-1(f) of the
Investment Company Act of 1940, The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc.,
Hartford HLS Series Fund II, Inc., Hartford Funds Master Fund, Hartford Fund Exchange-Traded Trust, Lattice Strategies Trust, and
Hartford Schroders Opportunistic Income Fund (the “Parties,” and each series thereof, a “Fund”) hereby
agree as follows:
WHEREAS, each of the Parties is
an insured under the Investment Company Bond issued by Travelers Casualty and Surety Company of America (the “Bond”),
effective August 19, 2019; and
WHEREAS, the Bond provides joint
fidelity bond coverage in accordance with Rule 17g-1; and
WHEREAS, under the terms of the
Bond, the fidelity coverage is $25 million per occurrence; and in consideration of the benefits provided by the purchase of the
joint Bond coverage,
NOW, THEREFORE, IT IS AGREED THAT:
In the event recovery is received under
the Bond as a result of a loss sustained by a Fund and another of the Parties, the Fund shall receive an equitable and proportionate
share of the recovery, at least equal to the amount that it would have received had the Fund provided and maintained a single insured
bond with the minimum coverage required by Rule 17g-1(d)(1).
IN WITNESS WHEREOF, the Parties
hereto have caused this agreement to be executed by their duly authorized representative.
The Hartford Mutual Funds, Inc.*
The Hartford Mutual Funds II, Inc.*
Hartford Series Fund, Inc.*
Hartford HLS Series Fund II, Inc.*
|
Hartford Funds Master Fund*
Hartford Funds Exchange-Traded Trust*
Lattice Strategies Trust*
Hartford Schroders Opportunistic Income Fund*
|
By:
|
/s/ Thomas R. Phillips
|
|
|
Thomas R. Phillips
|
|
|
Vice President and Secretary
|
|
* For itself and on behalf of its series listed on Appendix
A.
APPENDIX A
The Hartford Mutual Funds, Inc.
|
|
The Hartford Mutual Funds II, Inc.
|
The Hartford Balanced Income Fund
|
|
The Hartford Growth Opportunities Fund
|
Hartford AARP Balanced Retirement Fund
|
|
Hartford Quality Value Fund
|
The Hartford Capital Appreciation Fund
|
|
The Hartford Small Cap Growth Fund
|
The Hartford Checks and Balances Fund
|
|
Hartford Schroders Emerging Markets Equity Fund
|
The Hartford Conservative Allocation Fund
|
|
Hartford Schroders Emerging Markets Multi-Sector Bond Fund
|
Hartford Core Equity Fund
|
|
Hartford Schroders International Multi-Cap Value Fund
|
The Hartford Dividend and Growth Fund
|
|
Hartford Schroders International Stock Fund
|
Hartford Emerging Markets Equity Fund
|
|
Hartford Schroders Tax-Aware Bond Fund
|
The Hartford Emerging Markets Local Debt Fund
|
|
Hartford Schroders US MidCap Opportunities Fund
|
Hartford Environmental Opportunities Fund
|
|
Hartford Schroders US Small Cap Opportunities Fund
|
The Hartford Equity Income Fund
|
|
Hartford Multifactor International Fund
|
The Hartford Floating Rate Fund
|
|
|
The Hartford Floating Rate High Income Fund
|
|
Hartford Series Fund, Inc.
|
The Hartford Global All-Asset Fund
|
|
Hartford Balanced HLS Fund
|
Hartford Global Impact Fund
|
|
Hartford Capital Appreciation HLS Fund
|
The Hartford Global Real Asset Fund
|
|
Hartford Disciplined Equity HLS Fund
|
The Hartford Growth Allocation Fund
|
|
Hartford Dividend and Growth HLS Fund
|
The Hartford Healthcare Fund
|
|
Hartford Global Growth HLS Fund
|
The Hartford High Yield Fund
|
|
Hartford Healthcare HLS Fund
|
The Hartford Inflation Plus Fund
|
|
Hartford High Yield HLS Fund
|
Hartford International Equity Fund
|
|
Hartford International Opportunities HLS Fund
|
The Hartford International Growth Fund
|
|
Hartford MidCap HLS Fund
|
The Hartford International Opportunities Fund
|
|
Hartford MidCap Value HLS Fund
|
The Hartford International Small Company Fund
|
|
Hartford Small Company HLS Fund
|
The Hartford International Value Fund
|
|
Hartford Stock HLS Fund
|
The Hartford MidCap Fund
|
|
Hartford Total Return Bond HLS Fund
|
The Hartford MidCap Value Fund
|
|
Hartford Ultrashort Bond HLS Fund
|
Hartford Moderate Allocation Fund
|
|
Hartford Value HLS Fund
|
Hartford Multi-Asset Income and Growth Fund
|
|
|
Hartford Municipal Income Fund
|
|
Hartford HLS Series Fund II, Inc.
|
The Hartford Municipal Opportunities Fund
|
|
Hartford Growth Opportunities HLS Fund
|
Hartford Municipal Short Duration Fund
|
|
Hartford MidCap Growth HLS Fund
|
The Hartford Quality Bond Fund
|
|
Hartford Small Cap Growth HLS Fund
|
The Hartford Short Duration Fund
|
|
Hartford U.S. Government Securities HLS Fund
|
Hartford Small Cap Value Fund
|
|
|
The Hartford Small Company Fund
|
|
Lattice Strategies Trust
|
The Hartford Strategic Income Fund
|
|
Hartford Multifactor Developed Markets (ex-US) ETF
|
The Hartford Total Return Bond Fund
|
|
Hartford Multifactor Emerging Markets ETF
|
The Hartford World Bond Fund
|
|
Hartford Multifactor Global Small Cap ETF
|
|
|
Hartford Multifactor Low Volatility International Equity ETF
|
Hartford Funds Master Fund
|
|
Hartford Multifactor Low Volatility US Equity ETF
|
Global Impact Master Portfolio
|
|
Hartford Multifactor REIT ETF
|
|
|
Hartford Multifactor US Equity ETF
|
Hartford Schroders Opportunistic Income Fund
|
|
|
|
|
Hartford Funds Exchange-Traded Trust
|
|
|
Hartford Municipal Opportunities ETF
|
|
|
Hartford Schroders Tax-Aware Bond ETF
|
|
|
Hartford Total Return Bond ETF
|
|
|
Hartford Short Duration ETF
|
|
|
Gross Assets
|
|
|
Bond Requirement
|
|
|
|
as of July 31, 2019
|
|
|
By Registrant
|
|
TOTALS
|
|
|
|
|
|
|
|
|
The Hartford Mutual Funds, Inc.
|
|
$
|
83,820,506,994
|
|
|
$
|
2,500,000
|
|
The Hartford Mutual Funds II, Inc.
|
|
$
|
13,961,877,203
|
|
|
$
|
2,500,000
|
|
Hartford Series Fund, Inc.
|
|
$
|
21,028,392,126
|
|
|
$
|
2,500,000
|
|
Hartford HLS Series Fund II, Inc.
|
|
$
|
3,500,114,635
|
|
|
$
|
2,100,000
|
|
Hartford Funds Master Fund
|
|
$
|
44,235,843
|
|
|
$
|
350,000
|
|
Lattice Strategies Trust
|
|
$
|
2,746,163,763
|
|
|
$
|
1,700,000
|
|
Hartford Funds Exchange-Traded Trust
|
|
$
|
1,174,377,720
|
|
|
$
|
1,250,000
|
|
Hartford Schroders Opportunistic Income Fund
|
|
$
|
-
|
|
|
$
|
50,000
|
|
Total
|
|
$
|
126,275,668,284
|
|
|
$
|
12,950,000.00
|
|
The Hartford Mutual Funds, Inc.
|
|
|
|
|
|
|
|
|
The Hartford Balanced Income Fund
|
|
$
|
12,539,968,022
|
|
|
|
|
|
Hartford AARP Balanced Retirement Fund
|
|
$
|
91,074,096
|
|
|
|
|
|
The Hartford Capital Appreciation Fund
|
|
$
|
7,176,222,261
|
|
|
|
|
|
The Hartford Checks and Balances Fund
|
|
$
|
1,572,460,126
|
|
|
|
|
|
The Hartford Conservative Allocation Fund
|
|
$
|
134,179,293
|
|
|
|
|
|
Hartford Core Equity Fund
|
|
$
|
5,216,373,166
|
|
|
|
|
|
The Hartford Dividend and Growth Fund
|
|
$
|
8,872,985,396
|
|
|
|
|
|
Hartford Emerging Markets Equity Fund
|
|
$
|
307,789,943
|
|
|
|
|
|
The Hartford Emerging Markets Local Debt Fund
|
|
$
|
171,084,263
|
|
|
|
|
|
Hartford Environmental Opportunities Fund
|
|
$
|
17,585,340
|
|
|
|
|
|
The Hartford Equity Income Fund
|
|
$
|
4,028,629,980
|
|
|
|
|
|
The Hartford Floating Rate Fund
|
|
$
|
3,324,015,831
|
|
|
|
|
|
The Hartford Floating Rate High Income Fund
|
|
$
|
479,971,624
|
|
|
|
|
|
The Hartford Global All-Asset Fund
|
|
$
|
157,576,794
|
|
|
|
|
|
Hartford Global Impact Fund
|
|
$
|
44,235,843
|
|
|
|
|
|
The Hartford Global Real Asset Fund
|
|
$
|
285,890,915
|
|
|
|
|
|
The Hartford Growth Allocation Fund
|
|
$
|
613,028,433
|
|
|
|
|
|
The Hartford Healthcare Fund
|
|
$
|
1,319,797,433
|
|
|
|
|
|
The Hartford High Yield Fund
|
|
$
|
355,975,134
|
|
|
|
|
|
The Hartford Inflation Plus Fund
|
|
$
|
615,518,025
|
|
|
|
|
|
Hartford International Equity Fund
|
|
$
|
986,449,830
|
|
|
|
|
|
The Hartford International Growth Fund
|
|
$
|
338,952,112
|
|
|
|
|
|
The Hartford International Opportunities Fund
|
|
$
|
3,562,511,525
|
|
|
|
|
|
The Hartford International Small Company Fund
|
|
$
|
185,512,445
|
|
|
|
|
|
The Hartford International Value Fund
|
|
$
|
2,396,604,523
|
|
|
|
|
|
The Hartford MidCap Fund
|
|
$
|
14,406,842,430
|
|
|
|
|
|
The Hartford MidCap Value Fund
|
|
$
|
691,105,467
|
|
|
|
|
|
Hartford Moderate Allocation Fund
|
|
$
|
407,171,983
|
|
|
|
|
|
Hartford Multi-Asset Income and Growth Fund
|
|
$
|
1,024,489,145
|
|
|
|
|
|
Hartford Municipal Income Fund
|
|
$
|
33,003,930
|
|
|
|
|
|
The Hartford Municipal Opportunities Fund
|
|
$
|
1,037,101,773
|
|
|
|
|
|
Hartford Municipal Short Duration Fund
|
|
$
|
21,060,626
|
|
|
|
|
|
The Hartford Quality Bond Fund
|
|
$
|
183,949,704
|
|
|
|
|
|
The Hartford Short Duration Fund
|
|
$
|
1,287,580,497
|
|
|
|
|
|
Hartford Small Cap Value Fund
|
|
$
|
108,828,318
|
|
|
|
|
|
The Hartford Small Company Fund
|
|
$
|
629,918,645
|
|
|
|
|
|
The Hartford Strategic Income Fund
|
|
$
|
659,856,762
|
|
|
|
|
|
The Hartford Total Return Bond Fund
|
|
$
|
2,842,533,835
|
|
|
|
|
|
The Hartford World Bond Fund
|
|
$
|
5,692,671,526
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
83,820,506,994
|
|
|
|
|
|
Information Classification: General
Hartford Series Fund, Inc.
|
|
|
|
|
|
|
Hartford Balanced HLS Fund
|
|
$
|
2,074,230,644
|
|
|
|
|
|
Hartford Capital Appreciation HLS Fund
|
|
$
|
4,352,758,543
|
|
|
|
|
|
Hartford Disciplined Equity HLS Fund
|
|
$
|
633,960,682
|
|
|
|
|
|
Hartford Dividend and Growth HLS Fund
|
|
$
|
3,222,464,443
|
|
|
|
|
|
Hartford Global Growth HLS Fund
|
|
$
|
518,110,710
|
|
|
|
|
|
Hartford Healthcare HLS Fund
|
|
$
|
220,196,097
|
|
|
|
|
|
Hartford High Yield HLS Fund
|
|
$
|
259,169,940
|
|
|
|
|
|
Hartford International Opportunities HLS Fund
|
|
$
|
1,196,142,111
|
|
|
|
|
|
Hartford MidCap HLS Fund
|
|
$
|
2,188,081,891
|
|
|
|
|
|
Hartford MidCap Value HLS Fund
|
|
$
|
308,935,225
|
|
|
|
|
|
Hartford Small Company HLS Fund
|
|
$
|
625,393,557
|
|
|
|
|
|
Hartford Stock HLS Fund
|
|
$
|
1,524,391,177
|
|
|
|
|
|
Hartford Total Return Bond HLS Fund
|
|
$
|
2,971,977,797
|
|
|
|
|
|
Hartford Ultrashort Bond HLS Fund
|
|
$
|
491,031,425
|
|
|
|
|
|
Hartford Value HLS Fund
|
|
$
|
441,547,884
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
21,028,392,126
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Hartford HLS Series Fund II, Inc.
|
|
|
|
|
|
|
|
|
Hartford Growth Opportunities HLS Fund
|
|
$
|
1,638,774,329
|
|
|
|
|
|
Hartford MidCap Growth HLS Fund
|
|
$
|
98,474,199
|
|
|
|
|
|
Hartford Small Cap Growth HLS Fund
|
|
$
|
1,333,202,846
|
|
|
|
|
|
Hartford U.S. Government Securities HLS Fund
|
|
$
|
429,663,261
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
3,500,114,635
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Hartford Funds Master Fund
|
|
|
|
|
|
|
|
|
Global Impact Master Portfolio
|
|
$
|
44,235,843
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
44,235,843
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The Hartford Mutual Funds II, Inc.
|
|
|
|
|
|
|
|
|
The Hartford Growth Opportunities Fund
|
|
$
|
5,101,488,497
|
|
|
|
|
|
Hartford Quality Value Fund
|
|
$
|
209,003,763
|
|
|
|
|
|
The Hartford Small Cap Growth Fund
|
|
$
|
1,124,729,941
|
|
|
|
|
|
Hartford Schroders Emerging Markets Equity Fund
|
|
$
|
3,603,979,524
|
|
|
|
|
|
Hartford Schroders Emerging Markets Multi-Sector Bond Fund
|
|
$
|
102,319,796
|
|
|
|
|
|
Hartford Schroders International Multi-Cap Value Fund
|
|
$
|
2,015,019,916
|
|
|
|
|
|
Hartford Schroders International Stock Fund
|
|
$
|
379,683,516
|
|
|
|
|
|
Hartford Schroders Tax-Aware Bond Fund
|
|
$
|
296,167,604
|
|
|
|
|
|
Hartford Schroders US MidCap Opportunities Fund
|
|
$
|
938,567,497
|
|
|
|
|
|
Hartford Schroders US Small Cap Opportunities Fund
|
|
$
|
186,732,195
|
|
|
|
|
|
Hartford Multifactor International Fund
|
|
$
|
3,096,149
|
|
|
|
|
|
Hartford Multifactor Large Cap Value Fund
|
|
$
|
1,088,805
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
13,961,877,203
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Lattice Strategies Trust
|
|
|
|
|
|
|
|
|
Hartford Multifactor Developed Markets (ex-US) ETF
|
|
$
|
2,314,865,689
|
|
|
|
|
|
Hartford Multifactor Emerging Markets ETF
|
|
$
|
95,132,435
|
|
|
|
|
|
Hartford Multifactor Global Small Cap ETF
|
|
$
|
20,572,096
|
|
|
|
|
|
Hartford Multifactor Low Volatility International Equity ETF
|
|
$
|
5,395,362
|
|
|
|
|
|
Hartford Multifactor Low Volatility US Equity ETF
|
|
$
|
7,654,184
|
|
|
|
|
|
Hartford Multifactor REIT ETF
|
|
$
|
16,960,590
|
|
|
|
|
|
Hartford Multifactor US Equity ETF
|
|
$
|
285,583,407
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
2,746,163,763
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Hartford Funds Exchange-Traded Trust
|
|
|
|
|
|
|
|
|
Hartford Municipal Opportunities ETF
|
|
$
|
141,967,043
|
|
|
|
|
|
Hartford Schroders Tax-Aware Bond ETF
|
|
$
|
27,612,894
|
|
|
|
|
|
Hartford Total Return Bond ETF
|
|
$
|
891,001,679
|
|
|
|
|
|
Hartford Short Duration ETF
|
|
$
|
113,796,104
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
1,174,377,720
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Hartford Schroders Opportunistic Income Fund
|
|
|
|
|
|
|
|
|
Total
|
|
$
|
-
|
|
|
|
|
|
Information Classification: General
Hartford Total Return Bo... (AMEX:HTRB)
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From Aug 2024 to Sep 2024
Hartford Total Return Bo... (AMEX:HTRB)
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From Sep 2023 to Sep 2024