Form N-6 - United States Securities And Exchange Commission (Page 20 of 29) in pdf

(c) History of Depositor and Registrant. If the Depositor’s name was changed during the past five years, state its former name

and the approximate date on which it was changed. If, at the request of any state, sales of contracts offered by the Registrant

have been suspended at any time, or if sales of contracts offered by the Depositor have been suspended during the past five

years, briefly describe the reasons for and results of the suspension. Briefly describe the nature and results of any bankruptcy,

receivership, or similar proceeding, or any other material reorganization, readjustment, or succession of Depositor during the

past five years.

(d) Ownership of Sub-Account Assets. If 10 percent or more of the assets of any sub-account are not attributable to Contracts or

to accumulated deductions or reserves (e.g., initial capital contributed by the Depositor), state what percentage those assets are

of the total assets of the Registrant. If the Depositor, or any other person controlling the assets, has any present intention of

removing the assets from the sub-account, so state.

(e) Control of Depositor. State the name of each person who controls the Depositor and the nature of its business.

Instruction. If the Depositor is controlled by another person that, in turn, is controlled by another person, give the name

of each control person and the nature of its business.

Item 17. Services

(a) Expenses Paid by Third Parties. Describe all fees, expenses, and costs of the Registrant that are to be paid by persons other

than the Depositor or the Registrant, and identify those persons.

(b) Service Agreements. Summarize the substantive provisions of any management-related service contract that may be of interest

to a purchaser of the Registrant’s securities, under which services are provided to the Registrant, unless the contract is described

in response to some other item of this form. Indicate the parties to the contract, and the total dollars paid and by whom for each

of the past three years.

Instructions.

The term “management-related service contract” includes any contract with the Registrant to keep, prepare, or file accounts,

books, records, or other documents required under federal or state law, or to provide any similar services with respect

to the daily administration of the Registrant, but does not include the following:

(a) Any agreement with the Registrant to act as custodian or agent to administer purchases and redemptions under the

Contracts; and

(b) Any contract with the Registrant for outside legal or auditing services, or contract for personal employment entered

into with the Registrant in the ordinary course of business.

In summarizing the substantive provisions of any management-related service contract, include the following:

(a) The name of the person providing the service;

(b) The direct or indirect relationships, if any, of the person with the Registrant, its Depositor, or its principal underwriter;

and

last three fiscal years.

(1) Unless disclosed in response to paragraph (b) or another item of this form, identify and state the principal business address

of any person who provides significant administrative or business affairs management services for the Registrant (e.g., an

“Administrator,” “Sub-Administrator,” “Servicing Agent”), describe the services provided, and the compensation paid for

the services.

Form N-6 - United States Securities And Exchange Commission Page 20