Form N-6 - United States Securities And Exchange Commission (Page 19 of 29) in pdf

Item 13. Legal Proceedings

Describe any material pending legal proceedings, other than ordinary routine litigation incidental to the business, to which the

Registrant, the Registrant’s principal underwriter, or the Depositor is a party. Include the name of the court in which the proceedings

are pending, the date instituted, the principal parties involved, a description of the factual basis alleged to underlie the proceeding, and

the relief sought. Include similar information as to any legal proceedings instituted, or known to be contemplated, by a governmental

authority.

Instruction. For purposes of this requirement, legal proceedings are material only to the extent that they are likely to have a material

adverse effect on the Registrant, the ability of the principal underwriter to perform its contract with the Registrant, or the ability of

the Depositor to meet its obligations under the Contracts.

Item 14. Financial Statements

If all of the required financial statements of the Registrant and the Depositor (see Item 24) are not in the prospectus, state, under a

separate caption, where the financial statements may be found. Briefly explain how investors may obtain any financial statements not in

the Statement of Additional Information.

PART B: INFORMATION REQUIRED IN A STATEMENT OF

ADDITIONAL INFORMATION

Item 15. Cover Page and Table of Contents

(a) Front Cover Page. Include the following information on the outside front cover page of the SAI:

(1) The Registrant’s name.

(2) The Depositor’s name.

(3) A statement or statements:

(A) That the SAI is not a prospectus;

(B) How the prospectus may be obtained; and

Instruction. Any information incorporated by reference into the SAI must be delivered with the SAI.

(4) The date of the SAI and of the prospectus to which the SAI relates.

(b) Table of Contents. Include under appropriate captions (and subcaptions) a list of the contents of the SAI and, when useful,

provide cross-references to related disclosure in the prospectus.

Item 16. General Information and History

(a) Depositor. Provide the date and form of organization of the Depositor, the name of the state or other jurisdiction in which the

Depositor is organized, and a description of the general nature of the Depositor’s business.

Instruction. The description of the Depositor’s business should be short and need not list all of the businesses in which the

Depositor engages or identify the jurisdictions in which it does business if a general description (e.g., “life insurance” or

“reinsurance”) is provided.

(b) Registrant. Provide the date and form of organization of the Registrant and the Registrant’s classification pursuant to Section

4 [15 U.S.C. 80a-4] (i.e., a separate account and a unit investment trust).

Form N-6 - United States Securities And Exchange Commission Page 19