Minnesota
(State or other jurisdiction of
incorporation or organization)
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6311
(Primary Standard Industrial
Classification Code Number)
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41-1366075
(I.R.S. Employer
Identification No.)
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Securities and Exchange Commission Registration Fee
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$ 150,785
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--------------
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Estimated Printing and Filing Costs:
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$ 30,000
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--------------
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Estimated Accounting Fees:
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$ 75,000
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---------------
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Estimated Legal Fees:
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$ N/A
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---------------
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Estimated Miscellaneous Fees:
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$ N/A
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---------------
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The Bylaws of the Insurance Company provide:
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ARTICLE XI. INDEMNIFICATION OF DIRECTORS, OFFICERS AND EMPLOYEES
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SECTION 1. RIGHT TO INDEMNIFICATION:
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(a)
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Subject to the conditions of this Article and any conditions or limitations imposed by applicable law, the Corporation shall indemnify any employee, director or officer of the
Corporation (an "Indemnified Person") who was, is, or in the sole opinion of the Corporation, may reasonably become a party to or otherwise involved in any Proceeding by reason of the fact that such Indemnified Person is or was:
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(i)
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a director of the Corporation; or
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(ii)
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acting in the course and scope of his or her duties as an officer or employee of the Corporation; or
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(iii)
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rendering Professional Services at the request of and for the benefit of the Corporation; or
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(iv)
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serving at the request of the Corporation as an officer, director, fiduciary or member of another corporation, association, committee, partnership, joint venture, trust, employee
benefit plan or other enterprise (an "Outside Organization").
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(b)
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Notwithstanding the foregoing, no officer, director or employee shall be indemnified pursuant to these bylaws under the following circumstances:
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(i)
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in connection with a Proceeding initiated by such person, in his or her own personal capacity, unless such initiation was authorized by the Board of Directors;
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(ii)
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if a court of competent jurisdiction finally determines that any indemnification hereunder is unlawful;
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(iii)
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for acts or omissions involving intentional misconduct or knowing and culpable violation of law;
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(iv)
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for acts or omissions that the Indemnified Person believes to be contrary to the best interests of the Corporation or its shareholders or that involve the absence of good faith on the
part of the Indemnified Person;
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(v)
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for any transaction for which the Indemnified Person derived an improper personal benefit;
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(vi)
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for acts or omissions that show a reckless disregard for the Indemnified Person's duty to the Corporation or its shareholders in circumstances in which the Indemnified Person was aware
or should have been aware, in the ordinary course of performing the Indemnified Person's duties, of the risk of serious injury to the Corporation or its shareholders;
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(vii)
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for acts or omissions that constitute an unexcused pattern of inattention that amounts to an abdication of the Indemnified Person's duties to the Corporation or its shareholders;
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(viii)
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in circumstances where indemnification is prohibited by applicable law;
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(ix)
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in the case of service as an officer, director, fiduciary or member of an Outside Organization, where the Indemnified Person was aware or should have been aware that the conduct in
question was outside the scope of the assignment as contemplated by the Corporation.
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SECTION 2. SCOPE OF INDEMNIFICATION:
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(a)
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Indemnification provided pursuant to Section 1(a)(iv) shall be secondary and subordinate to indemnification or insurance provided to an Indemnified Person by an Outside Organization or
other source, if any.
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(b)
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Indemnification shall apply to all reasonable expenses, liability and losses, actually incurred or suffered by an Indemnified Person in connection with a Proceeding, including without
limitation, attorneys' fees and any expenses of establishing a right to indemnification or advancement under this article, judgments, fines, ERISA excise taxes or penalties, amounts paid or to be paid in settlement and all interest, assessments
and other charges paid or payable in connection with or in respect of such expense, liability and loss.
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(c)
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Such indemnification shall continue as to any Indemnified Person who has ceased to be an employee, director or officer of the Corporation and shall inure to the benefit of his or her
heirs, estate, executors and administrators.
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SECTION 3. DEFINITIONS:
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(a)
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"Corporation" for the purpose of Article XI shall mean Allianz Life Insurance Company of North America and all of its subsidiaries.
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(b)
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"Proceeding" shall mean any threatened, pending, or completed action, suit or proceeding whether civil, criminal, administrative, investigative or otherwise, including actions by or in
the right of the Corporation to procure a judgment in its favor.
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(c)
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"Professional Services" shall mean services rendered pursuant to (i) a professional actuarial designation, (ii) a license to engage in the practice of law issued by a State Bar
Institution or (iii) a Certified Public Accountant designation issued by the American Institute of Certified Public Accountants.
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Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted for directors and officers or controlling persons of the Insurance Company pursuant to
the foregoing, or otherwise, the Insurance Company has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and, therefore, unenforceable. In the event
that a claim for indemnification against such liabilities (other than the payment by the Insurance Company of expenses incurred or paid by a director, officer or controlling person of the Insurance Company in the successful defense of any
action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Company will, unless in the opinion of its counsel the matter has been settled by controlling
precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
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1.(a)
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Principal Underwriter Agreement by and between North American Life and Casualty Company on behalf
of NALAC Financial Plans, Inc. dated September 14, 1988 incorporated by reference as exhibit EX-99.B3.a. from Pre-Effective Amendment No.1 to Form N-4 (File Nos. 333-06709 and 811-05618), electronically filed on December 13, 1996. (North
American Life and Casualty Company is the predecessor to Allianz Life Insurance Company of North America. NALAC Financial Plans, Inc., is the predecessor to USAllianz Investor Services, LLC, which is the predecessor to Allianz Life Financial
Services, LLC.)
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(b)
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Broker-Dealer Agreement (amended and restated) between Allianz Life Insurance Company of North
America and Allianz Life Financial Services, LLC, dated June 1, 2010 incorporated by reference as exhibit EX-99B3b. from Pre-Effective Amendment No. 1 to Form N-4 (File Nos. 333-166408 and 811-05618), electronically filed on September 24, 2010.
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(c)
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The current specimen of the selling agreement between Allianz Life Financial Services, LLC,
the principal underwriter for the Contracts, and retail brokers which offer and sell the Contracts to the public is incorporated by reference as exhibit EX-99.B3.b. from the initial filing on Form N-4 (File Nos. 333-134267 and 811-05618),
electronically filed on May 19, 2006.The underwriter has executed versions of the agreement with approximately 2,100 retail brokers.
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3. (a) |
Articles of Incorporation, as amended and restated August 1, 2006, of Allianz Life Insurance Company of North
America, filed on January 3, 2013 as Exhibit 3(a) to Registrant's initial registration on Form S-1 (File No. 333-185864), is incorporated by reference.
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(b) |
Bylaws, as amended and restated August 1, 2006, of Allianz Life Insurance Company of North America, filed on January
3, 2013 as Exhibit 3(b) to Registrant's initial registration on Form S-1 (File No. 333-185864), is incorporated by reference.
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4.(a)
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Individual Variable Annuity Contract, L40538NF,
incorporated by reference as Exhibit 4(a) from Pre-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-215103), electronically filed on April 14, 2017.
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(b)
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Contract Schedule Pages, S40875 (Base) and S40877 (Index Options),
incorporated by reference as Exhibit 4(b) from Pre-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-215103), electronically filed on April 14, 2017.
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(c)(i)
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Index Options Contract Schedule Page, S40895-NF-01, incorporated by
reference as Exhibit 4(c) from Post-Effective Amendment No. 2 to Registrant’s Form S-1 (File No. 333-215103), electronically filed on April 17, 2018.
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(ii)
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Index Options Contract Schedule Page S40877-NF-04,
incorporated by reference as Exhibit 4(c)(ii) from Post-Effective Amendment No. 6 to Registrant’s Form S-1 (File No. 333-215103), electronically filed on January 22, 2020.
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(iii)
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Index Options Contract Schedule Page Addendum, S40877-ADD,
incorporated by reference as Exhibit 4(c)(iv) from Post-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-230899), electronically filed on January 21, 2020.
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(d)
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Application for Individual Variable Annuity Contract –
IXA-APP-02-NF-0419, incorporated by reference as Exhibit 4(d) from Post-Effective Amendment No. 5 to Registrant's Form S-1 (File No. 333-215103, electronically filed on April 16, 2019.
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(e)(i)
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Index Performance Strategy Crediting Rider-S40878,
incorporated by reference as Exhibit 4(d) from Pre-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-185864), electronically filed on April 17, 2013.
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(ii)
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Index Performance Strategy Rider II –
S40903, incorporated by reference as Exhibit 4(e)(ii) from Post-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-230899), electronically filed on January 21, 2020.
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(iii)
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Inforce Index Performance Strategy Rider II –
S40903-INFORCE, incorporated by reference as Exhibit 4(e)(iii) from Post-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-230899), electronically filed on January 21, 2020.
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(f)
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Index Protection Strategy Crediting Rider-S40879
incorporated by reference as Exhibit 4(e) from Pre-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-185864), electronically filed on April 17, 2013.
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(g)
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Traditional Death Benefit Rider-S40880 incorporated by
reference as Exhibit 4(f) from Pre-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-185864), electronically filed on April 17, 2013.
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(h)
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Index Guard Strategy Crediting Rider-S40889,
incorporated by reference as Exhibit 4(g) from Post-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-195462), electronically filed on December 8, 2014.
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(i)
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Index Precision Strategy Crediting Rider, S40891,
incorporated by reference as Exhibit 4(h) from Post-Effective Amendment No. 1 to Registrant's Form S-1 (File No. 333-213125), electronically filed on January 17, 2017.
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(j)
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Waiver of Withdrawal Charge Rider-S40749
incorporated by reference as exhibit EX-99.B4.f. from Pre-Effective Amendment No. 1 to Registrant's Form N-4 (File Nos. 333-139701 and 811-05618), electronically filed on April 9, 2007.
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(k)
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Inherited IRA/Roth IRA Endorsement-S40713 incorporated by reference as
exhibit EX-99.B4.q. from Pre-Effective Amendment No. 1 to Registrant's Form N-4 (File Nos. 333-134267 and 811-05618), electronically filed on September 25, 2006.
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(l)
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Roth IRA Endorsement-S40342 incorporated by
reference as exhibit EX-99.B4.l. from Pre-Effective Amendment No. 1 to Registrant's Form N-4 (File Nos. 333-134267 and 811-05618), electronically filed on September 25, 2006.
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(m)
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IRA Endorsement-S40014 incorporated
by reference as exhibit EX-99.B4.g. from Pre-Effective Amendment No.1 to Registrant's Form N-4 (File Nos. 333-82329 and 811-05618), electronically filed on December 30, 1999.
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(n)
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Unisex Endorsement-(S20146)
incorporated by reference as exhibit EX-99.B4.h. from Pre-Effective Amendment No.1 to Registrant's Form N-4 (File Nos. 333-82329 and 811-05618), electronically filed on December 30, 1999.
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(o)
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Maximum Anniversary Death Benefit Rider-
S40897-NF and S40898-NF, incorporated by reference as Exhibit 4(n) from Post-Effective Amendment No. 1 to Registrant’s form S-1 (File No. 333-215103), electronically filed on December 15, 2017.
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24. |
(a) |
Board Resolution, effective December 11, 2012, of the Board of Directors of Allianz Life Insurance Company of North America, filed on January 3, 2013 as Exhibit 24(b) to Registrant's initial registration on Form S-1 (File No. 333-185864), is incorporated by reference. |
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(c) |
Powers of Attorney, incorporated by reference as Exhibit 24(c) from the Registrant’s initial Registration Statement
on form S-1 (File No. 333-264344), electronically filed on April 18, 2022.
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99. |
(a) | Alternative Minimum Value Exhibit - IXA-032 (05/2020), filed on April 9, 2020 as Exhibit 99(a) to Registrant's initial registration on S-1 (File No. 333-237621), is incorporated by reference. |
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(b) |
Appendix B Exhibit – Daily Adjustment Calculation - IXA-010b (05/2021), filed on April 16, 2021, as Exhibit 99(b)
to Registrant's initial registration on Form S-1 (File No. 333-255307), is incorporated by reference.
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(c) |
Transition Representation Letter - Independent Registered Public Accounting Firm, pursuant to S-K,
item 304, incorporated by reference as Exhibit 99(c) from Post-Effective Amendment No. 2 to Registrant’s Form S-1 (File No. 333-215103), electronically filed on April 17, 2018.
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107.* |
Filing Fee Table, filed herewith.
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
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(i)
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To include any prospectus required by section 10(a)(3) of the Securities Act of 1933;
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(ii)
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To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof)
which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar
value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule
424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the "Calculation of Registration Fee" table in the effective registration statement.
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(iii)
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To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such
information in the registration statement.
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(2)
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That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a
new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(3)
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To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination
of the offering.
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(4)
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That, for the purpose of determining liability under the Securities Act of 1933 to any purchaser, each prospectus filed pursuant to Rule 424(b)
as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A, shall be deemed to be part of and included in the registration
statement as of the date it is first used after effectiveness. Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed
incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made
in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use.
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(5)
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That, for the purpose of determining liability of the registrant under the Securities Act of 1933 to any purchaser in the initial distribution
of the securities: The undersigned registrant undertakes that in a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the
purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such
purchaser:
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(i)
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Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424;
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(ii)
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Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the
undersigned registrant;
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(iii)
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The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or
its securities provided by or on behalf of the undersigned registrant; and
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(iv)
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Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.
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(6)
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Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, officers and controlling
persons of the Registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that, in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act
and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in
the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has
been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
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Signature
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Title
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Jasmine Jirele*
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Director, President & Chief Executive Officer
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Andreas G. Wimmer*
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Board Chair
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Walter R. White*
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Director
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Udo Frank*
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Director
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William E. Gaumond*
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Director, Senior Vice President, Chief Financial Officer and Treasurer (principal accounting officer)
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Kevin E. Walker*
Anna Sophie Herken*
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Director
Director
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Howard E. Woolley*
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Director
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Exhibit
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Description of Exhibit
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107
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Filing Fee Table
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Security Type
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Security Class Title
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Fee Calculation or
Carry Forward Rule
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Amount Registered
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Proposed Maximum
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Maximum Aggregate
Offering Price
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Fee Rate
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Amount of Registration Fee
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Carry Forward Form Type
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Carry Forward File Number
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Carry Forward Initial effective date
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Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward
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Newly Registered Securities
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|||||||||||||
Fees to be Paid
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Other
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Registered Indexed Linked Annuity Contract and interests therein
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457(o))
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N/A
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N/A
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$1,500,000,000
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$92.7/m
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$139,050
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N/A
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N/A
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N/A
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N/A
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Fees Previously Paid
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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N/A
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Carry Forward Securities
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|||||||||||||
Carry Forward
Securities |
Other
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Registered Indexed Linked
Annuity Contract
and interests therein
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415(a)(6)
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N/A
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N/A
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$854,665,750
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N/A
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N/A
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Form S-1
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333-255307
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4/30/21
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$93,244
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Total Offering Amounts
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$2,354,665,750
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$139,050
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Total Fees Previously Paid
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0
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Total Fee Offsets
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0
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||||||||||||
Net Fees Due
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$139,050
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