-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P7kfkVsh/PemLSA+W4UtTTAmjNQHzbEIJUg3lgj3vOkWs4HcBIYg8kMFc32m9UWy 9dUmMxzuRjpK3c75DobQJw== 0000089024-98-000003.txt : 19980714 0000089024-98-000003.hdr.sgml : 19980714 ACCESSION NUMBER: 0000089024-98-000003 CONFORMED SUBMISSION TYPE: POS AM PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980710 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES /NY/ CENTRAL INDEX KEY: 0000727920 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 135570651 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: POS AM SEC ACT: SEC FILE NUMBER: 033-89510 FILM NUMBER: 98664417 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 787 SEVENTH AVE CITY: NEW YORK STATE: NY ZIP: 10019 POS AM 1 EQUI-VEST POST EFFECTIVE AMENDMENT Registration No. 33-89510 - ------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------------ POST EFFECTIVE AMENDMENT NO. 5 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Equitable Life Assurance Society of the United States (Exact name of registrant as specified in its charter) --------------------------------------------------------- New York (State or other jurisdiction of incorporation or organization) 13-5570651 (I.R.S. Employer Identification No.) 1290 Avenue of the Americas, New York, New York 10104 (212)554-1234 (Address, including zip code, and telephone number, including area code, of registrant's principal executive offices) ------------------------------------------------------------------------ MARY P. BREEN VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL The Equitable Life Assurance Society of the United States 1290 Avenue of the Americas, New York, New York 10104 (212)554-1234 (Name, address, including zip code, and telephone number, including area code, of agent for service) ------------------------------------------------------------------ Please send copies of all communications to: PETER E. PANARITES, ESQ. Freedman, Levy, Kroll & Simonds 1050 Connecticut Avenue, N.W., Suite 825 Washington, D.C. 20036 NOTE This Post-Effective Amendment No. 5 ("PEA") to the Form S-3 Registration Statement No. 33-89510 ("Registration Statement") of The Equitable Life Assurance Society of the United States is being filed solely for the purpose of adding the Edgarized exhibits listed in Part II, previously filed with the Registration Statement in paper format. The PEA does not amend or delete any other part of the Registration Statement. PART II INFORMATION NOT REQUIRED IN PROSPECTUS This Part II is amended solely for the purpose of adding Exhibits 1(a), 1(b), 4(a), 4(b), 4(c), 4(d), and 5(a) to Item 16, and refiling such exhibits electronically. No amendment or deletion is made of any of the information set forth under Part II as provided in the Registration Statement. Item 16. Exhibits -------- Exhibits No. ------------ 1(a) Distribution and Servicing Agreement among Equico Securities, Inc. (now EQ Financial Consultants, Inc.), Equitable and Equitable Variable Life Insurance Company, dated as of May 1, 1994, incorporated by reference to Exhibit 3(c) to Registration Statement 2-30070, filed July 10, 1998. 1(b) Sales Agreement, dated as of January 1, 1995, by and among Equico Securities, Inc. (now EQ Financial Consultants, Inc.), Equitable, Separate Account A, Separate Account No. 301 and Separate Account No. 51, incorporated by reference to Exhibit 3(e) to Registration Statement 2-30070 filed July 10, 1998. 4(a) Form of Group Annuity Contract No. 1050-94IC, incorporated by reference to Exhibit 4(f) to Registration Statement 2-30070 filed July 10, 1998. 4(b) Form of Group Annuity Certificate Nos. 94ICA and 94ICB,incorporated by reference to Exhibit 4(g) to Registration Statement No. 2-30070 filed July 10, 1998. 4(c) Forms of Endorsement Nos. 94ENIRAI, 94ENNQI and 94ENMVAI to Contract No. 1050-94IC, incorporated by reference to Exhibit 4(h) to Registration Statement No. 2-30070 filed July 10, 1998. 4(d) Forms of Data Pages to Endorsement Nos. 94ENIRAI, 94ENNQI, 94ENMVAI, incorporated by reference to Exhibit 4(i) to Registration Statement No. 2-30070, filed July 10, 1998. 5(a) Opinion and consent of Jonathan Gaines, Esq. Vice President and Associate General Counsel of Equitable, previously filed with this Registration Satement No. 33-89510 on February 14, 1995, refiled electronically herewith. II-1 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City and State of New York, on July 10, 1998. THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (Registrant) By: /s/ Naomi Weinstein ---------------------- Naomi Weinstein Vice President Pursuant to the requirements of the Securities Act of 1933, this amendment to the Registration Statement has been signed by or on behalf of the following persons in the capacities and on the date indicated. PRINCIPAL EXECUTIVE OFFICERS: Michael Hegarty President, Chief Operating Officer and Director Edward D. Miller Chairman of the Board, Chief Executive Officer and Director PRINCIPAL FINANCIAL OFFICER: Stanley B. Tulin Vice Chairman of the Board, Chief Financial Officer and Director PRINCIPAL ACCOUNTING OFFICER: /s/ Alvin H. Fenichel - --------------------- Alvin H. Fenichel Senior Vice President and July 10, 1998 Controller DIRECTORS: Francoise Colloc'h Donald J. Greene George T. Lowy Henri de Castries John T. Hartley Edward D. Miller Joseph L. Dionne John H.F. Haskell, Jr. Didier Pineau Valencienne Denis Duverne Michael Hegarty George J. Sella, Jr. William T. Esrey Mary R. (Nina) Henderson Stanley B. Tulin Jean-Rene Fourtou W. Edwin Jarmain Dave H. Williams Norman C. Francis G. Donald Johnston, Jr. /s/ Naomi Weinstein - ---------------------- Naomi Weinstein Attorney-in-Fact July 10, 1998 II-2
EXHIBIT NO. TAG VALUE - ----------- -------- 5(a) Opinion and Consent of Jonathan Gaines, Esq., EX-99.5a OPINION Vice President and Associate General Counsel of Equitable, previously filed with this Registration Statement 33-89510 on February 14, 1995, refiled electronically herewith.
EX-99.5AOPINION 2 OPINION AND CONSENT OF JONATHAN GAINES, ESQ. JONATHAN E. GAINES Vice President and Associate General Counsel (212) 554-3169 [EQUITABLE LOGO -- 1995 VERSION] Fax:(212) 554-1266 LAW DEPARTMENT February 14, 1995 The Equitable Life Assurance Society of the United States 787 Seventh Avenue New York, New York 10019 Dear Sirs: This opinion is furnished in connection with the filing by The Equitable Life Assurance Society of the United States ("Equitable Life") of a Form S-3 Registration Statement of Equitable Life for the purpose of registering Market Value Adjustment Interests under Equitable Life's EQUI-VEST Series of Flexible Premium Annuity Contracts ("Interests") under the Securities Act of 1933. The Interests are purchased with contributions received under individual annuity contracts and certificates Equitable Life offers under a group annuity contract (collectively, the "Certificates"). As described in the prospectus included in the Registration Statement, the Certificates are designed to provide for retirement income benefits. The Certificates have been filed with the New York superintendent of insurance. I have examined such corporate records of Equitable Life and provisions of the New York insurance law as are relevant to authorization and issuance of the Certificates and such other documents and laws as I consider appropriate. On the basis of such examination, it is my opinion that: 1. Equitable Life is a corporation duly organized and validly existing under the laws of State of New York. 2. The Certificates (including any Interests credited thereunder) will be duly authorized and when issued in accordance with applicable regulatory approvals will represent validly issued and binding obligations of Equitable Life. I hereby consent to the use of this opinion as an exhibit to the Registration Statement. Very truly yours /s/ Jonathan E. Gaines ---------------------- Jonathan E. Gaines 23620/HFL_1 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES 787 SEVENTH AVENUE, NEW YORK, NEW YORK 10019 -----END PRIVACY-ENHANCED MESSAGE-----