Form N-4 Registration Statement Under The Securites Act Of 1933 (Trusts) (SEC2125) {N-4} | Pdf Fpdf Docx | Official Federal Forms

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Form N-4 Registration Statement Under The Securites Act Of 1933 (Trusts) (SEC2125) {N-4} | Pdf Fpdf Docx | Official Federal Forms

Form N-4 Registration Statement Under The Securites Act Of 1933 (Trusts) (SEC2125) {N-4}

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1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. Post-Effective Amendment No. and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. (Check appropriate box or boxes.) (Exact Name of Registrant) (Name of Depositor) (Address of Depositor222s Principal Executive Offices) (Zip Code) Depositor222s Telephone Number, including Area Code (Name and Address of Agent for Service) Approximate Date of Proposed Public Offering It is proposed that this filing will become effective (check appropriate box) immediately upon filing pursuant to paragraph (b) on (date) pursuant to paragraph (b) 60 days after filing pursuant to paragraph (a)(1) on (date) pursuant to paragraph (a)(1). If appropriate, check the following box: this post-effective amendment designates a new effective date for a previously filed post-effective amendment. Title of Securities Being Registered Omit from the facing sheet reference to the other Act if the Registration Statement or amendment is filed under only one of the Acts. Include the 223Approximate Date of the Proposed Public Offering224 and 223Title of Securities Being Registered224 only where securities are being registered under the Securities Act of 1933. Personswhorespondtothecollectionofinformationcontainedinthisformarenotrequiredto respond unless the form displays a currently valid OMB control number. SEC 2125 (5-19) You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at https://www.edgarfiling.sec.gov. NOTE: This version of Form N-4 includes certain amendments that the Commission recently adopted, as indicated in bracketed text throughout this document. More information about these amendments222 compliance dates may be found in the Commission releases cited in the bracketed text. OMB APPROVAL OMB Number: 3235-0318 Expires: May 31, 2022 Estimated average burden hours per response. ...... 199.34 American LegalNet, Inc. www.FormsWorkFlow.com 2 GENERAL INSTRUCTIONS A. Rule as to Use of Form N-4 Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (2231940 Act224) as unit investment trusts for: (1) an initial registration statement required by Section 8(b) of the 1940 Act [15 U.S.C. 80a-8(b)] and any amendments thereto; (2) a registration statement required under the Securities Act of 1933 (2231933 Act224) and any amendments thereto; or (3) any combination of these 1940 Act and 1933 Act filings. Form N-4 shall also be used to file a registration statement under the 1933 Act and any amendments thereto for variable annuity contracts funded by separate accounts which would be required to be registered under the 1940 Act as unit investment trusts except for the exclusion provided by Section 3(c)(11) of the 1940 Act [15 U.S.C. 80a-3(c)(11)]. B. Registration Fees Registration fees should not be paid when filing this form. See section 24(f) of the Investment Company Act and rule 24f-2 thereunder. C. Number of Copies Filings of registration statements on Form N-4 shall contain the number of copies specified in Securities Act Rule 402 [17 CFR 230.402], except that seven additional copies of the registration statement shall be furnished to the Commission, instead of the ten additional copies required by Rule 402(b). Filings of amendments on Form N-4 shall contain the number of copies specified in Securities Act Rule 472 [17 CFR 230.472], except that there shall be filed with the Commission three additional copies of such amendment, two of which shall be marked to indicate clearly and precisely, by underlining or in some other appropriate manner, the changes made in the registration statement by the amendment, instead of the eight additional copies with at least five marked as required by Rule 472(a) [17 CFR 230.472(a)]. D. Special Terms The following terms, when used in Form N-4, shall mean: Registrant. The term 223Registrant224 means the separate account (as defined in Section 2(a)(37) of the 1940 Act [15 U.S.C. 80a-2(a)(37)] which offers the variable annuity contracts. Depositor. The term 223depositor224 means the person primarily responsible for the organization of the Registrant and the person who has continuing functions or responsibilities with respect to the administration of the affairs of the Registrant other than the trustee or custodian. The term includes the sponsoring insurance company that establishes and maintains the separate account. If there is more than one such person the information called for in this Form about the depositor shall be provided for each such person. Variable Annuity Contract. The term 223variable annuity contract224 means any accumulation contract or annuity contract, any portion thereof, or any unit of interest or participation therein pursuant to which the value of the contract, either during an accumulation period or after annuitization, or both, varies according to the investment experience of the separate account in which the contract participates. Unless the context otherwise requires, the term refers to the variable annuity contracts being offered pursuant to the Registration Statement prepared on this Form. Contractowner Account. The term 223contractowner account224 means any account of a contractowner, participant, annuitant, or beneficiary to which (net) purchase payments under a variable annuity contract are added and from which administrative or transaction charges may be subtracted. Portfolio Company. The term 223portfolio company224 means any company in which the Registrant invests. E. Applications of General Rules and Regulations If the registration statement is being filed under both the 1933 and 1940 Acts or under only the 1933 Act, the General Rules and Regulations under the 1933 Act, particularly Regulation C [17 CFR 230.400-497], shall apply, and compliance with them will be deemed to meet the rules for 1940 Act Registration Statements. However, if the registration statement is being filed only under the 1940 Act, the General Rules and Regulations under that Act, particularly Regulation 8(b) [17 CFR 270.8b-l to 8b-32], shall apply, American LegalNet, Inc. www.FormsWorkFlow.com 3 except as noted in General Instruction F below. F. Amendments Where Form N-4 has been used to file a registration statement under both the 1933 and 1940 Acts, any amendment of that registration statement shall be deemed to be filed under both Acts unless otherwise indicated on the facing sheet. G. Incorporation by Reference [Effective May 2, 2019, General Instruction G appears as follows, as amended by the Commission pursuant to FAST Act Modernization and Simplification of Regulation S-K, Investment Company Act Release No. 10618 (Mar. 20, 2019) [84 FR 12674 (April 2, 2019)].] A Registrant may, at its discretion, incorporate all or part of the Statement of Additional Information into the prospectus, without physically delivering the Statement of Additional Information to investors with the prospectus. But the Statement of Additional Information must be available to the investor upon request at no charge and any information or documents incorporated by reference into the Statement of Additional Information must be provided along with the Statement of Additional Information. All incorporation by reference must comply with the requirements of this Form and the following rules on incorporation by reference: rule 411 under the Securities Act [17 CFR 230.411] (general rules on incorporation by reference in a prospectus); rule 303 of Regulation ST [17 CFR 232.303] (specific requirements for electronically filed documents); and rule 0-4 [17 CFR 270.0-4] (additional rules on incorporation by reference for investment companies). In general, a Registrant may incorporate by reference, in the answer to any item of Form N-4 not required to be in the prospectus, any information elsewhere in the registration st

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