Sec Form N3 - Registration Statement Under The Securities Act Of 1933 And/or Registration Statement Under The Investment Company Act Of 1940 Page 30
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54Item 23. Brokerage Allocation
(a) Describe how transactions in portfolio securities are effected including a general statement about brokerage commissions and
mark-ups on principal transactions and the aggregate amount of any brokerage commissions paid by the Registrant during the
three most recent fiscal years. Explain any material increase in brokerage commissions paid by the Registrant during the most
recent fiscal year as compared to the two prior fiscal years.
(b) (i) State the total dollar amount, if any, of brokerage commissions paid by the Registrant during the three most recent fiscal
years to any broker which: (A) is an affiliated person of the Registrant; (B) is an affiliated person of an affiliated person of
the Registrant; or (C) has an affiliated person that is an affiliated person of the Registrant, its Insurance Company, investment
adviser, or principal underwriter, and the identity of each such broker and the relationships that cause the broker to be
identified in this Item.
(ii) State for each broker identified in response to paragraph (b)(i) of this Item:
(A) the percentage of Registrant’s aggregate brokerage commissions paid to each broker during the most recent fiscal year and
(B) the percentage of Registrant’s aggregate dollar amount of transactions involving the payment of commissions effected
through such broker during the most recent fiscal year.
(iii) Where there is a material difference in the percentage of brokerage commissions paid to, and the percentage of transactions
effected through, any broker identified in response to paragraph (b)(i) of this Item, state the reasons for such difference.
(c) Describe how brokers will be selected to effect securities transactions for Registrant and how evaluations will be made of the
overall reasonableness of brokerage commissions paid, including the factors considered.
Instructions
1.
If the receipt of products or services other than brokerage or research services is a factor in the selection of brokers, specify
such products and services.
2.
If the receipt of research services is a factor in selecting brokers, identify the nature of such research services.
3.
State whether persons acting on behalf of Registrant are authorized to pay a broker a commission in excess of that which
another broker might have charged for the same transaction, because of the value of (a) brokerage or (b) research services
provided by the broker.
4.
If applicable, explain that research services furnished by brokers through whom Registrant effects securities transactions
may be used by Registrant’s investment adviser in servicing all of its accounts and that not all such services may be used by
the investment adviser in connection with the Registrant; or, if other policies or practices are applicable to Registrant with
respect to the allocation of research services provided by brokers such policies and practices should be explained.
(d) If, during the last fiscal year, Registrant, its Insurance Company, or its investment adviser, pursuant to an agreement or
understanding with a broker or otherwise through an internal allocation procedure, directed Registrant’s brokerage transactions to a
broker because of research services provided, state the amount of such transactions and related commissions.
(e) If the Registrant has acquired during its most recent fiscal year or during the period of time since organization, whichever is
shorter, securities of its regular brokers or dealers as defined in rule 10b-1 under the 1940 Act [17 CFR §270.10b-1], or their
parents, identify those brokers or dealers and state the value of the Registrant’s aggregate holdings of the securities of each subject
issuer as of the close of the Registrant’s most recent fiscal year.
Instruction
The Registrant need only disclose information with respect to an issuer that derived more than 15% of its gross revenue from the
business of a broker, a dealer, an underwriter, or an investment adviser during its most recent fiscal year. If the Registrant has issued
more than one class or series of stock, the requested information must be disclosed for the class or series that has securities that are
being registered.
Item 24. Purchase and Pricing of Securities Being Offered
(a) Describe the manner in which Registrant’s securities are offered to the public. Include a description of any special purchase plans
and any exchange privileges not described in the prospectus.
Instruction
Address exchange privileges between sub-accounts, between the Registrant and other separate accounts, and between the Registrant
and contracts offered through the Insurance Company’s general account.
(b) Describe the method that will be used to determine the sales load on the variable annuity contracts offered by the Registrant.
Instruction
Explain fully any difference in the price at which variable annuity contracts are offered to members of the public, as individuals and as
groups, and the prices at which the contracts are offered for any class of transactions or to any class of individuals, including officers,
directors, members of the board of managers, or employees of the Registrant, the Insurance Company, its adviser, or underwriter.
25
SEC 2124 (5/15)
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