401k Plan data: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST plan

HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number	002

HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

HARTFORD DISTRIBUTORS has sponsored the creation of one or more 401k plans.

Company Name: HARTFORD DISTRIBUTORS

Employer identification number (EIN): 060604045

NAIC Classification: 424800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2021-01-01 KELLEY DONOFRIO 2022-10-14
002 2020-01-01 KELLEY DONOFRIO 2021-06-04
002 2019-01-01 KELLEY DONOFRIO 2020-07-22
002 2018-01-01 MARIA DAMELIA 2019-07-12
002 2017-01-01 MARIA DAMELIA 2018-07-10
002 2016-01-01 MARIA DAMELIA 2017-07-10
002 2015-01-01
002 2014-01-01 STEVEN HOLLANDER 2015-07-28
002 2013-01-01 STEVEN HOLLANDER 2014-07-22
002 2012-01-01 STEVEN HOLLANDER 2013-09-30
002 2011-01-01 FRANKLIN DISTRIBUTORS, INC.
002 2009-01-01 ROSS HOLLANDER ROSS HOLLANDER 2010-07-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2021-01-01	KELLEY DONOFRIO	2022-10-14
002	2020-01-01	KELLEY DONOFRIO	2021-06-04
002	2019-01-01	KELLEY DONOFRIO	2020-07-22
002	2018-01-01	MARIA DAMELIA	2019-07-12
002	2017-01-01	MARIA DAMELIA	2018-07-10
002	2016-01-01	MARIA DAMELIA	2017-07-10
002	2015-01-01
002	2014-01-01	STEVEN HOLLANDER	2015-07-28
002	2013-01-01	STEVEN HOLLANDER	2014-07-22
002	2012-01-01	STEVEN HOLLANDER	2013-09-30
002	2011-01-01	FRANKLIN DISTRIBUTORS, INC.
002	2009-01-01	ROSS HOLLANDER		ROSS HOLLANDER	2010-07-08

Plan Statistics for HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2025: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2025 401k membership
Total number of particpants at beginning of year 2025-07-30 81
Total number of particpants at end of year 2025-07-30 101
Number of Participants With Account Balances 2025-07-30 95
2011: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 32
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 32
Number of participants with account balances 2011-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 56
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 12
Total of all active and inactive participants 2009-01-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 69
Number of participants with account balances 2009-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2025: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2025 401k membership
Total number of particpants at beginning of year	2025-07-30	81
Total number of particpants at end of year	2025-07-30	101
Number of Participants With Account Balances	2025-07-30	95
2011: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	32
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	32
Number of participants with account balances	2011-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	56
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	12
Total of all active and inactive participants	2009-01-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	69
Number of participants with account balances	2009-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2025 : HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2025 401k financial data
Total expenses incurred by plan in this plan year	2025-07-30	2462506
Net assets as of the end of the plan year	2025-07-30	13533947
Total assets as of the beginning of the plan year	2025-07-30	13459150
Value of plan covered by a fidelity bond	2025-07-30	1340000
Participant contributions to plan in this plan year	2025-07-30	516984
Value of participant loans at end of plan year	2025-07-30	106788
Other income to plan in this plan year	2025-07-30	1778059
Plan net income in this plan year	2025-07-30	74797
Net assets as of the end of the plan year	2025-07-30	13533947
Net assets as of the beginning of the plan year	2025-07-30	13459150
Employer contributions to plan in this plan year	2025-07-30	242260
Expensese paid to adminstrative service provicers from plan in this plan year	2025-07-30	45394
2011 : HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$-142,761
Expenses. Total of all expenses incurred	2011-12-31	$26,912
Benefits paid (including direct rollovers)	2011-12-31	$26,697
Total plan assets at end of year	2011-12-31	$2,369,742
Total plan assets at beginning of year	2011-12-31	$2,539,415
Value of fidelity bond covering the plan	2011-12-31	$0
Total contributions received or receivable from participants	2011-12-31	$5,336
Expenses. Other expenses not covered elsewhere	2011-12-31	$215
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-148,097
Net income (gross income less expenses)	2011-12-31	$-169,673
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,369,742
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,539,415
Assets. Value of participant loans	2011-12-31	$26,622
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$809,149
Expenses. Total of all expenses incurred	2010-12-31	$107,254
Benefits paid (including direct rollovers)	2010-12-31	$100,036
Total plan assets at end of year	2010-12-31	$3,912,888
Total plan assets at beginning of year	2010-12-31	$3,210,993
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$227,587
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$450,097
Net income (gross income less expenses)	2010-12-31	$701,895
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,912,888
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,210,993
Assets. Value of participant loans	2010-12-31	$7,891
Total contributions received or receivable from employer(s)	2010-12-31	$131,465
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$7,218
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST

2011: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: HARTFORD DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

(National Association of Insurance Commissioners NAIC id number: )
Policy contract number
Policy instance	1

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Company Name:	HARTFORD DISTRIBUTORS
Employer identification number (EIN):	060604045
NAIC Classification:	424800