As filed with the Securities and Exchange Commission on May 14, 2020
Registration Nos.
333-231309
811-05563
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-6
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
|
x |
|
|
|
Pre-Effective Amendment No. |
|
o |
Post-Effective Amendment No. 3 |
|
x |
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
|
x |
Amendment No. 499 |
|
x |
PACIFIC SELECT EXEC SEPARATE ACCOUNT OF
PACIFIC LIFE INSURANCE COMPANY
(Exact Name of Registrant)
PACIFIC LIFE INSURANCE COMPANY
(Name of Depositor)
700 Newport Center Drive
Newport Beach, California 92660
(Address of Depositors Principal Executive Offices) (Zip Code)
(949) 219-3943
(Depositorys Telephone Number, including Area Code)
Brandon J. Cage
Assistant Vice President
Pacific Life Insurance Company
700 Newport Center Drive
Newport Beach, California 92660
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
Explanatory Note
This Post-Effective Amendment No. 3 to the Registration Statement on Form N-6 (File No. 333-231309) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the Securities Act), solely for the purpose of filing exhibits to the Registration Statement.
This Post-Effective Amendment No. 3 consists of the following:
1. Facing Sheet of the Registration Statement
2. Part C to the Registration Statement
3. Vanguard Fund Agreement exhibit to Item 26 to the Registration Statement
This Post-Effective Amendment No. 3 does not modify any other part of the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 3 shall become effective immediately upon filing with the Securities and Exchange Commission. Part A and Part B of Post-Effective Amendment No. 2 to the Registration Statement are hereby incorporated by reference.
PACIFIC SELECT EXEC SEPARATE ACCOUNT
PART C: OTHER INFORMATION
Item 26. Exhibits
(1) |
(a) |
Resolution of the Board of Directors of the Depositor dated November 22, 1989 and copies of the Memoranda concerning Pacific Select Exec Separate Account dated May 12, 1988 and January 26, 1993. Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w1xay.htm |
| |
|
|
|
| |
|
(b) |
Resolution of the Board of Directors of Pacific Life Insurance Company authorizing conformity to the terms of the current Bylaws. Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w1xby.htm |
| |
|
|
|
| |
(2) |
Inapplicable |
|
| |
|
|
|
| |
(3) |
(a) |
Distribution Agreement between Pacific Life Insurance Company, Pacific Life & Annuity Company and Pacific Select Distributors, Inc. (PSD); Filed as part of the Registration Statement on Form N-6 on May 27, 2011, File No. 333-172851, Accession Number 0000950123-11-054590. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311054590/a58731a1exv99wx3yxay.htm |
| |
|
|
|
| |
|
(b) |
Form of Selling Agreement Between Pacific Mutual Distributors, Inc. and Various Broker-Dealers; Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w3xby.htm |
| |
|
|
|
| |
|
(c) |
Distribution Agreement Between Pacific Select Distributors, Inc. and T. Rowe Price Investment Services, Inc.; Filed as part of the Registration Statement on Form N-6 on April 19, 2005, File No. 033-21754, Accession Number 0000892569-05-000254. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000254/a05877a1exv99wx3yxcy.htm |
| |
|
|
|
| |
|
|
(1) |
First Amendment to Distribution Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d3c1.htm |
|
|
|
|
| |
|
(d) |
Distribution Agreement between Pacific Life Insurance Company, Pacific Life & Annuity Company and Pacific Select Distributors, LLC (PSD) (Amended and Restated); Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d3d.htm |
| |
|
|
|
| |
(4) |
(a) |
Flexible Premium Variable Life Insurance Policy (form ICC19 P19VUL); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4a.htm | ||
|
|
(1) |
Specifications page (form ICC19 S19VUL); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4a1.htm | |
|
|
|
| |
|
(b) |
Accelerated Death Benefit Rider for Chronic Illness (form ICC12 R12CIC) (Premier Living Benefits Rider); Filed as part of the Registration Statement on Form N-6 on October 19, 2012, File No. 333-150092, Accession Number 0000950123-12-012563. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312012563/a30132aexv99wx4yxxy.htm |
| |
|
|
|
| |
|
(c) |
Short-Term No-Lapse Guarantee Rider (form ICC12 R12SNL); Filed as part of the Registration Statement on Form N-6 on October 19, 2012, File No. 333-150092, Accession Number 0000950123-12-012563. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312012563/a30132aexv99wx4yxaay.htm |
| |
|
|
|
| |
|
(d) |
Flexible Duration No-Lapse Guarantee Rider (form ICC17 R17FNL); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4d.htm |
| |
|
|
|
| |
|
|
(1) |
Specifications pages (form ICC18 S18FNL); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4d1.htm |
|
|
|
|
| |
|
(e) |
Conversion Rider (form ICC13 R13CON); Filed as part of the Registration Statement on Form N-6 on February 7, 2014, File No. 333-153022, Accession Number 0001193125-14-040507. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312514040507/d655724dex994o.htm |
| |
|
|
|
| |
|
(f) |
SVER Term Insurance Rider-Corporate (form ICC18 R18SV3); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4f.htm |
| |
|
|
|
| |
|
|
(1) |
Specifications pages (form ICC19 S19SV3C); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4f1.htm |
|
|
|
|
| |
|
(g) |
Accelerated Death Benefit Rider for Terminal Illness (form ICC12 R12TIC) (Terminal Illness Rider); Filed as part of the Registration Statement on Form N-6 on October 19, 2012, File No. 333-150092, Accession Number 0000950123-12-012563. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312012563/a30132aexv99wx4yxddy.htm |
| |
|
|
|
| |
|
(h) |
Annual Renewable Term Rider Additional Insured (form ICC17 R17RTA); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4h.htm |
|
|
|
(1) |
Specifications pages (form ICC17 S17RTA); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4h1.htm |
|
|
| |
|
(i) |
1 Year Indexed Account (form ICC19 I191NDX); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4i.htm | |
|
|
| |
|
(j) |
1 Year Indexed Account 3 (form ICC19 I191NDX3); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4j.htm | |
|
|
| |
|
(k) |
1 Year Indexed Account 4 (form ICC19 I191NDX4); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4k.htm | |
|
|
| |
|
(l) |
Annual Renewable Term Rider (form ICC17 R17ART); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4l.htm | |
|
|
| |
|
|
(1) |
Specifications pages (form ICC17 S17ART); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4l1.htm |
|
|
| |
|
(m) |
Scheduled Annual Renewable Term Rider (form ICC15 R15SRT); Filed as part of the Registration Statement on Form N-6 on February 24, 2015, File No. 333-202248, Accession Number 0001193125-15-059457. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515059457/d877621dex994c.htm | |
|
|
| |
|
|
(1) |
Specifications pages (form ICC17 S17SRT); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4m1.htm |
|
|
| |
|
(n) |
Overloan Protection 3 Rider (form ICC15 R15OLP); Filed as part of the Registration Statement on Form N-6 on February 24, 2015, File No. 333-202248, Accession Number 0001193125-15-059457. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515059457/d877621dex994d.htm | |
|
|
| |
|
|
(1) |
Specifications pages (form ICC15 R15OLP SP); Filed as part of the Registration Statement on Form N-6 on June 18, 2015, File No. 333-150092, Accession Number 0001193125-15-2268877. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515226877/d942814dex994ff1.htm actual date is 6/18/2015 |
|
(o) |
Benefit Distribution Rider (form R15BDR); Filed as part of the Registration Statement on Form N-6 on February 24, 2015, File No. 333-202248, Accession Number 0001193125-15-059457. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515059457/d877621dex994e.htm | |
|
|
| |
|
(p) |
Accelerated Death Benefit Rider for Long-Term Care (form ICC16 R16LTC) (Premier LTC Rider); Filed as part of the Registration Statement on Form N-6 on July 11, 2016, File No. 333-150092, Accession Number 0001193125-16-645261. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312516645261/d210996dex994hh.htm | |
|
|
| |
|
|
(1) |
Specifications pages (form ICC16 R16LTCV SP); Filed as part of the Registration Statement on Form N-6 on July 11, 2016, File No. 333-150092, Accession Number 0001193125-16-645261. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312516645261/d210996dex994hh1.htm |
|
|
|
|
|
(q) |
Accelerated Death Benefit Rider for Chronic and Terminal Illness (form ICC18 R18ADB) (Premier Living Benefits 2 Rider); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4q.htm | |
|
|
| |
|
|
(1) |
Specifications pages (form ICC18 S18ADB); Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d4q1.htm |
|
|
| |
(5) |
(a) |
Application for Flexible Premium Variable Life Insurance Policy & General Questionnaire; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-19-052199, filed on October 1, 2019, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919052199/a19-18828_1ex99d5.htm | |
|
|
| |
(6) |
(a) |
Bylaws of Pacific Life Insurance Company; Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w6xby.htm | |
|
|
| |
|
(b) |
Articles of Incorporation of Pacific Life Insurance Company; Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w6xay.htm | |
|
|
| |
|
(c) |
Restated Articles of Incorporation of Pacific Life Insurance Company; Filed as part of the Registration Statement on Form N-6 on December 6, 2005, File No. 333-118913, Accession Number 0000892569-05-001150. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905001150/a14958exv99wx6yxcy.htm | |
|
|
| |
|
(d) |
Bylaws of Pacific Life Insurance Company As Amended Effective September 1, 2005; Filed as part of the Registration Statement on Form N-6 via EDGAR on December 6, 2005, File No. 333-118913, Accession Number 0000892569-05-001150. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905001150/a14958exv99wx6yxdy.htm |
(7) |
(a) |
Reinsurance Agreement with RGA Reinsurance Company Effective December 1, 2008; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7a.htm | |
|
|
| |
|
|
(1) |
Amendments 1 and 2 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7a1.htm |
|
|
|
|
|
|
(2) |
Amendment 3 to Reinsurance Agreement (portions of this amendment have been omitted) ; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7a2.htm |
|
|
|
|
|
|
(3) |
Amendments 4 through 17 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7a3.htm |
|
|
| |
|
(b) |
Reinsurance Agreement with Swiss Re Life & Health America Inc. Effective December 1, 2008; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7b.htm | |
|
|
| |
|
|
(1) |
Amendments 1 through 3 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7b1.htm |
|
|
|
|
|
|
(2) |
Amendment 4 to Reinsurance Agreement (portions of this amendment have been omitted) ; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7b2.htm |
|
|
|
|
|
|
(3) |
Amendments 5 through 17 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7b3.htm |
|
|
|
|
|
(c) |
Reinsurance Agreement with Munich American Reassurance Company Effective December 1, 2008; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7c.htm | |
|
|
| |
|
|
(1) |
Amendments 1 through 16 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7c1.htm |
|
(d) |
Reinsurance Agreement with SCOR Global Life USA Reinsurance Company (formerly Generali USA Life Reassurance Company) Effective December 1, 2008; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7d.htm | |
|
|
| |
|
|
(1) |
Amendments 1 and 2 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7d1.htm |
|
|
|
|
|
|
(2) |
Amendment 3 to Reinsurance Agreement (portions of this amendment have been omitted); Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7d2.htm |
|
|
|
|
|
|
(3) |
Amendments 4 through 16 to Reinsurance Agreement; Filed as part of the Registration Statement on Form N-6 on December 13, 2019, File No. 333-231309, Accession Number 0001104659-19-072404. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919072404/a19-25055_1ex99d7d3.htm |
|
|
| |
(8) |
(a) |
Participation Agreement between Pacific Life Insurance Company and Pacific Select Fund; Filed as part of the Registration Statement on Form N-6 on September 10, 2004, File No. 333-118913, Accession Number 0000892569-04-000869. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256904000869/a01082exv99w8xay.htm | |
|
|
| |
|
(b) |
Participation Agreement with Fidelity Variable Insurance Products (Variable Insurance Products Funds, Variable Insurance Products Fund II, Variable Insurance Products Fund III); Filed as part of the Registration Statement on Form N-6 on February 10, 2005, File No. 333-118913, Accession Number 0000892569-05-000054. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxby.htm | |
|
|
| |
|
(c) |
Service Contract with Fidelity Distributors Corporation; Filed as part of the Registration Statement on Form N-6 on February 10, 2005, File No. 333-118913, Accession Number 0000892569-05-000054. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxcy.htm | |
|
|
| |
|
(d) |
Participation Agreement with Blackrock Variable Series Fund, Inc. (formerly called Merrill Lynch Variable Series Fund, Inc.); Filed as part of the Registration Statement on Form N-6 on April 19, 2005, File No. 033-21754, Accession Number 0000892569-05-000254. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxdy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of Registration Statement on Form N-4 via EDGAR on October 15, 2013, File No. 333-60833, Accession Number 0001193125-13-399328. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312513399328/d608974dex998f1.htm |
|
|
(2) |
Second Amendment to Participation Agreement; Filed as part of Registration Statement on Form N-4 via EDGAR on October 15, 2013, File No. 333-60833, Accession Number 0001193125-13-399328. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312513399328/d608974dex998f2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Participation Agreement; Included in Registrants Form N-4, File No. 333-60833, Accession No. 0000950123-10-035855, filed on April 19, 2010, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000095012310035855/a52634exv99w8xiyx1y.htm |
|
|
| |
|
|
(4) |
Fourth Amendment to Participation Agreement; Filed as part of Registration Statement on Form N-4 via EDGAR on October 15, 2013, File No. 333-60833, Accession Number 0001193125-13-399328. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312513399328/d608974dex998f4.htm |
|
|
| |
|
|
(5) |
Fifth Amendment to Participation Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998e5.htm |
|
|
| |
|
|
(6) |
Sixth Amendment to Participation Agreement; Filed as part of Registration Statement on Form N-6 on April 18, 2019, File No. 333-61135, Accession No. 0001104659-19-022304, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919022304/a19-6073_1ex99d8m6.htm |
|
|
| |
|
(e) |
Administrative Services Agreement with Blackrock Distributors, Inc. (formerly called FAM Distributors, Inc.); Filed as part of the Registration Statement on Form N-6 on February 10, 2005, File No. 333-118913, Accession Number 0000892569-05-000054. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxey.htm | |
|
|
| |
|
|
(1) |
First Amendment to Administrative Services Agreement; Included in Registrants Form N-4, File No. 333-236927, Accession No. 0001104659-20-029802, filed on March 6, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000110465920029802/a20-11372_1ex99d8e1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Administrative Services Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998h2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Administrative Services Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998h3.htm |
|
|
(4) |
Fourth Amendment to Administrative Services Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998e4.htm |
|
|
| |
|
(f) |
Participation Agreement with T. Rowe Price Equity Series, Inc.; Filed as part of the Registration Statement on Form N-6 on April 19, 2005, File No. 033-21754, Accession Number 0000892569-05-000254. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxfy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 via EDGAR on May 30, 2013, File No. 333-150092, Accession Number 0001193125-13-240977. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312513240977/d533211dex998f1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8f2.htm |
|
|
| |
|
(g) |
Administrative Services Agreement with T. Rowe Price Associates, Inc.; Filed as part of the Registration Statement on Form N-6 on April 19, 2005, File No. 033-21754, Accession Number 0000892569-05-000254. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxgy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Administrative Services Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8g1.htm |
|
|
|
|
|
|
(2) |
Amendment to Administrative Services Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d8g2.htm |
|
|
| |
|
(h) |
Participation Agreement with Van Eck Worldwide Insurance Trust; Filed as part of the Registration Statement on Form N-6 on April 19, 2005, File No. 033-21754, Accession Number 0000892569-05-000254. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxhy.htm | |
|
|
| |
|
(i) |
Service Agreement with Van Eck Securities Corporation; Filed as part of the Registration Statement on Form N-6 on February 10, 2005, File No. 333-118913, Accession Number 0000892569-05-000054. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256905000054/a05030exv99wx8yxiy.htm | |
|
|
| |
|
(j) |
Participation Agreement with Janus Aspen Series; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxky.htm |
|
|
(1) |
First Amendment to Participation Agreement; Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-12-502964 filed on December 14, 2012 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312512502964/d438041dex998dd1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998k2.htm |
|
|
|
|
|
|
(3) |
Third Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8j3.htm |
|
|
| |
|
(k) |
Administrative Services Agreement with Janus Distributors LLC; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxmy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Administrative Services Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8k1.htm |
|
|
|
|
|
(l) |
Participation Agreement with Lazard Retirement Series, Inc.; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxny.htm | |
|
|
| |
|
|
(1) |
First Amendment to Fund Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 14, 2014, File No. 333-150092, Accession Number 0001193125-14-142437. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312514142437/d655641dex998n1.htm |
|
|
| |
|
(m) |
Servicing Agreement with Lazard Asset Management Securities LLC; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxoy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Servicing Agreement; Filed as part of the Registration Statement on Form N-6 on April 14, 2014, File No. 333-150092, Accession Number 0001193125-14-142437. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312514142437/d655641dex998o1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Servicing Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8m2.htm |
|
|
(3) |
Third Amendment to Servicing Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d8m3.htm |
|
|
| |
|
(n) |
Participation Agreement with Legg Mason Partners III; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxpy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998p1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998p2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8p3.htm |
|
|
|
|
|
|
(4) |
Fourth Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8n4.htm |
|
|
|
|
|
|
(5) |
Fifth Agreement to Participation Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d8n5.htm |
|
|
| |
|
(o) |
Service Agreement with Legg Mason Investor Services, LLC; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxqy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Service Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998q1.htm |
|
|
(2) |
Second Amendment to Service Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998q2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Service Agreement; Included in Registration Statement on Form N-6, File No. 333-150092, Accession No. 0001193125-15-304337 filed on August 27, 2015 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515304337/d42005dex998q3.htm |
|
|
|
|
|
|
(4) |
Fourth Amendment to Service Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8o4.htm |
|
|
|
|
|
|
(5) |
Fifth Amendment to Service Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d8o5.htm |
|
|
| |
|
(p) |
Participation Agreement with MFS Variable Insurance Trust; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxry.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xryx1y.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xryx2y.htm |
|
|
| |
|
|
(3) |
Third Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998r3.htm |
|
|
| |
|
(q) |
(1) |
Service Agreement with Massachusetts Financial Services Company; Filed as part of the Registration Statement on Form N-6 on April 16, 2007, File No. 333-118913, Accession Number 000892569-07-000444. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907000444/a23397a1exv99wx8yxsy.htm |
|
|
(2) |
Service Agreement with Massachusetts Financial Services Company; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998s2.htm |
|
|
| |
|
|
(3) |
Service Agreement with Massachusetts Financial Services Company; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8s3.htm |
|
|
| |
|
(r) |
Participation Agreement with Franklin Templeton Variable Insurance Products Trust; Filed as part of the Registration Statement on Form N-6 on April 26, 2010, File No. 333-150092, Accession Number 0000950123-10-038286. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310038286/a52968bexv99wx8yxvy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 26, 2010, File No. 333-150092, Accession Number 0000950123-10-038286. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310038286/a52968bexv99wx8yxvyx1y.htm |
|
|
| |
|
|
(2) |
Addendum to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xvyx2y.htm |
|
|
| |
|
|
(3) |
Second Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 14, 2014, File No. 333-150092, Accession Number 0001193125-14-142437. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312514142437/d655641dex998v3.htm |
|
|
| |
|
|
(4) |
Third Amendment to Participation Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998f4.htm |
|
|
| |
|
|
(5) |
Fourth Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998v5.htm |
|
|
| |
|
(s) |
Administrative Services Agreement with Franklin Templeton Services, LLC; Filed as part of the Registration Statement on Form N-6 on April 26, 2010, File No. 333-150092, Accession Number 0000950123-10-038286. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310038286/a52968bexv99wx8yxwy.htm |
|
|
(1) |
First Amendment to Administrative Services Agreement; Filed as part of the Registration Statement on Form N-6 on April 26, 2010, File No. 333-150092, Accession Number 0000950123-10-038286. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310038286/a52968bexv99wx8yxwyx1y.htm |
|
|
| |
|
|
(2) |
Second Amendment to Administrative Agreement; Included in Registrants Form N-4, File No. 033-88458, Accession No. 0001193125-12-502912 filed on December 14, 2012 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312512502964/d438041dex998h2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Administrative Agreement; Included in Registrants Form N-4, File No. 033-88458, Accession No. 0001193125-12-502912 filed on December 14, 2012 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312512502964/d438041dex998h3.htm |
|
|
| |
|
|
(4) |
Fourth Amendment to Administrative Services Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998i4.htm |
|
|
| |
|
|
(5) |
Fifth Amendment to Administrative Services Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998w5.htm |
|
|
| |
|
|
(6) |
Sixth Amendment to Administrative Services Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8s6.htm |
|
|
| |
|
(t) |
(1) |
Form of Amendment to Fidelity Distributors Corporation Participation Agreement; Filed as part of the Registration Statement on Form N-6 on September 28, 2007, File No. 333-118913, Accession Number 0000892569-07-001219. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907001219/a34112exv99wx8yxyy.htm |
|
|
| |
|
|
(2) |
Form of Second Amendment to Fidelity Distributors Corporation Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 23, 2012, File No. 333-150092, Accession Number 000950123-12-006370. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312006370/a59859bexv99wx8yxxyx2y.htm |
|
|
| |
|
|
(3) |
Third Amendment to Fidelity Distributors Corporation Participation Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8t3.htm |
|
|
(4) |
Fourth Amendment to Fidelity Distributors Corporation Participation Agreement; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d8t4.htm |
|
|
| |
|
(u) |
Form of Amendment to Fidelity Investments Institutional Operations Company, Inc. Service Agreement; Filed as part of the Registration Statement on Form N-6 on September 28, 2007, File No. 333-118913, Accession Number 0000892569-07-001219. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907001219/a34112exv99wx8yxzy.htm | |
|
|
| |
|
(v) |
Form of Amendment to Fidelity Distributors Corporation Service Contract; Filed as part of the Registration Statement on Form N-6 on September 28, 2007, File No. 333-118913, Accession Number 0000892569-07-001219. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000089256907001219/a34112exv99wx8yxaay.htm | |
|
|
| |
|
(w) |
Lord Abbett Fund Participation Agreement; Filed as part of the Registration Statement on Form N-6 on September 17, 2010, File No. 333-150092, Accession Number 0000950123-10-086791. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310086791/a57203exv99wx8yxbby.htm | |
|
|
| |
|
(x) |
Lord Abbett Series Fund, Inc. Service Agreement; Filed as part of the Registration Statement on Form N-6 on September 17, 2010, File No. 333-150092, Accession Number 0000950123-10-086791. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310086791/a57203exv99wx8yxccy.htm | |
|
|
| |
|
(y) |
Lord Abbett Series Fund, Inc. Administrative Services Agreement; Filed as part of the Registration Statement on Form N-6 on September 17, 2010, File No. 333-150092, Accession Number 0000950123-10-086791. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012310086791/a57203exv99wx8yxddy.htm | |
|
|
| |
|
(z) |
Participation Agreement with PIMCO Variable Insurance Trust; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xggy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xggyx1y.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xggyx2y.htm |
|
|
| |
|
|
(3) |
Third Amendment to Participation Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8z3.htm |
|
(aa) |
Services Agreement with PIMCO LLC; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xhhy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Services Agreement; Included in Registrants Form N-4, File No. 333-168284, Accession No. 0001193125-12-503027 filed on December 14, 2012, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312512502964/d438041dex998t1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Services Agreement; Included in Registrants Form N-4, File No. 333-168284, Accession No. 0001193125-14-147263 filed on April 17, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514147263/d657064dex998u2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Services Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-18-025149 filed on April 19, 2018, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465918025149/a18-8330_1ex99d8hh3.htm |
|
|
| |
|
|
(4) |
Fourth Amendment to Services Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8aa4.htm |
|
|
| |
|
(bb) |
Selling Agreement with Allianz Global Investors Distributors LLC; Filed as part of the Registration Statement on Form N-6 on April 18, 2011, File No. 333-150092, Accession Number 0000950123-11-036421. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012311036421/a56268bexv99w8xiiy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Selling Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8ii1.htm |
|
|
| |
|
(cc) |
Form of American Century Investment Services, Inc. Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 23, 2012, File No. 333-150092, Accession Number 000950123-12-006370. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312006370/a59859bexv99wx8yxjjy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8cc1.htm |
|
|
| |
|
(dd) |
Form of American Century Investment Services, Inc. Administrative Services Agreement; Filed as part of the Registration Statement on Form N-6 on April 23, 2012, File No. 333-150092, Accession Number 000950123-12-006370. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312006370/a59859bexv99wx8yxkky.htm |
|
|
(1) |
First Amendment to Administrative Services Agreement; Filed as part of the Registration Statement on Form N-4 on December 14, 2012, File No. 333-136597, Accession Number 0001193125-12-502964, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312512502964/d438041dex998cc1.htm |
|
|
|
|
|
|
(2) |
Second Amendment to Administrative Services Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8dd2.htm |
|
|
| |
|
(ee) |
Form of AIM Variable Insurance Funds Participation Agreement; Filed as part of the Registration Statement on Form N-4 on December 4, 2008, File No. 333-136597, Accession Number 0000892569-08-001559. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000089256908001559/a50106exv99w8xjy.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Filed as part of the Registration Statement on Form N-6 on April 23, 2012, File No. 333-150092, Accession Number 000950123-12-006370. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012312006370/a59859bexv99wx8yxllyx1y.htm |
|
|
| |
|
(ff) |
Form of Invesco Aim Distributors, Inc. Distribution Services Agreement; Filed as part of the Registration Statement on Form N-4 on December 4, 2008, File No. 333-136597, Accession Number 0000892569-08-001559. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000089256908001559/a50106exv99w8xky.htm | |
|
|
| |
|
|
(1) |
First Amendment to Distribution Services Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8mm1.htm |
|
|
| |
|
(gg) |
Form of Invesco Aim Advisors, Inc. Administrative Services Agreement; Filed as part of the Registration Statement on Form N-4 on December 4, 2008, File No. 333-136597, Accession Number 0000892569-08-001559. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000089256908001559/a50106exv99w8xly.htm | |
|
|
| |
|
(hh) |
Participation Agreement with Neuberger Berman; Filed as part of the Registration Statement on Form N-6 on April 15, 2013, File No. 333-150092, Accession Number 0000950123-13-002258. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012313002258/a30165bexv99w8xrry.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Included in Registration Statement on Form N-6, File No. 333-150092, Accession No. 0001193125-15-304337 filed on August 27, 2015 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515304337/d42005dex998rr1.htm |
|
|
| |
|
(ii) |
Administrative Services Agreement with Neuberger Berman; Filed as part of the Registration Statement on Form N-6 on April 15, 2013, File No. 333-150092, Accession Number 0000950123-13-002258. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000095012313002258/a30165bexv99w8xssy.htm |
|
(jj) |
Participation Agreement with Oppenheimer; Filed as part of the Registration Statement on Form N-6 via EDGAR on May 30, 2013, File No. 333-150092, Accession Number 0001193125-13-240977. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312513240977/d533211dex998tt.htm | |
|
|
| |
|
|
(1) |
First Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998tt1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Participation Agreement; Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-15-346508 filed October 19, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312515346508/d62081dex998y2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8tt3.htm |
|
|
| |
|
(kk) |
Revenue Sharing Agreement with Oppenheimer; Filed as part of the Registration Statement on Form N-6 via EDGAR on May 30, 2013, File No. 333-150092, Accession Number 0001193125-13-240977. This amendment can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312513240977/d533211dex998uu.htm | |
|
|
| |
|
(ll) |
Exhibit B to the Pacific Select Fund Participation Agreement; Included in Registrants Form N-4, File No. 333-160772, Accession No. 0001193125-14-310473 filed August 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514310473/d767546dex998qq.htm | |
|
|
| |
|
(mm) |
Distribution and Marketing Support Agreement (Amended and Restated) with BlackRock Variable Series Fund, LLC.; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001193125-15-132725 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132725/d833409dex998ww.htm | |
|
|
| |
|
(nn) |
Distribution and Administrative Services Agreement (Amended and Restated) with Neuberger Berman; Included in Registration Statement on Form N-6, File No. 333-150092, Accession No. 0001193125-15-304337 filed on August 27, 2015 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515304337/d42005dex998xx.htm | |
|
|
| |
|
(oo) |
Revenue Sharing Agreement with Oppenheimer (Amended and Restated); Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-15-346508 filed October 19, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312515346508/d62081dex998bbb.htm | |
|
|
| |
|
(pp) |
Fund Participation and Service Agreement with American Funds; Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-13-399333 filed on October 15, 2013, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312513399333/d608998dex998mm.htm |
|
|
(1) |
First Amendment to Fund Participation and Service Agreement; Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-14-143850 filed on April 15, 2014, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312514143850/d655763dex998mm1.htm |
|
|
| |
|
|
(2) |
Second Amendment to Fund Participation and Service Agreement.; included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-15-128820 filed on April 14, 2015 and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312515128820/d831895dex998mm2.htm |
|
|
| |
|
|
(3) |
Third Amendment to Fund Participation and Service Agreement; Included in Registrants Form N-4, File No. 333-136597, Accession No. 0001193125-15-346508 filed October 19, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/935823/000119312515346508/d62081dex998mm3.htm |
|
|
|
|
|
|
(4) |
Fourth Amendment to Fund Participation and Service Agreement; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8pp4.htm |
|
|
| |
|
(qq) |
Distribution Sub-Agreement with BlackRock Variable Series Funds, Inc.; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8aaa.htm | |
|
|
| |
|
(rr) |
Administrative Services Agreement with Invesco Advisers, Inc.; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8bbb.htm | |
|
|
| |
|
(ss) |
Financial Support Agreement with Invesco Distributors, Inc.; Included in Registrants Form N-6, File No. 333-150092, Accession No. 0001104659-17-024492 filed April 19, 2017, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465917024492/a16-17361_1ex99d8ccc.htm | |
|
|
| |
|
(tt) |
Services Agreement with PIMCO (Administrative Class); Included as part of the Registration Statement on Form N-6, File No. 333-61135, filed on April 18, 2019, Accession No. 0001104659-19-022304, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919022304/a19-6073_1ex99d8qqq.htm | |
|
|
| |
|
(uu) |
Selling Agreement with PIMCO (Administrative Class); Included as part of the Registration Statement on Form N-6, File No. 333-61135, filed on April 18, 2019, Accession No. 0001104659-19-022304, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919022304/a19-6073_1ex99d8ppp.htm | |
|
|
| |
|
(vv) |
M Fund Inc. Participation Agreement with Pacific Life Insurance Company; Filed as part of Pre-Effective Amendment No. 1 to the Registration Statement on Form N-6 filed via EDGAR on May 1, 2003, File No. 333- 102902, Accession Number 0001017062-03-001040. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000101706203001040/dex998b.txt |
|
|
(1) |
First Amendment to Participation Agreement; Included in Registrants Form N-6, File No. 333-172851, Accession No. 0001193125-15-132710 filed April 16, 2015, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000119312515132710/d833403dex998ww1.htm |
| |
|
|
|
| ||
|
(ww) |
Participation Agreement with DFA Investment Dimensions Group Inc.; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d8ww.htm |
| ||
|
|
| |||
|
(xx) |
Business Agreement with American Funds; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8xx.htm |
| ||
|
|
| |||
|
|
(1) |
First Amendment to Business Agreement; Included as part of the Registration Statement on Form N-6, File No. 333-231309, filed on July 31, 2019, Accession No. 0001104659-19-042835, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919042835/a19-13237_1ex99d8xx1.htm |
| |
|
|
| |||
|
(yy) |
Participation Agreement with Vanguard Variable Insurance Fund | |||
|
|
| |||
(9) |
Inapplicable |
|
| ||
|
|
|
| ||
(10) |
Inapplicable |
|
| ||
|
|
| |||
(11) |
Opinion and consent of legal officer of Pacific Life as to legality of policies being registered; Filed as part of the Registration Statement on Form N-6 on May 9, 2019, File No. 333-231309, Accession Number 0001104659-19-028108, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465919028108/a19-9294_1ex99d11.htm |
| |||
|
|
| |||
(12) |
Inapplicable |
| |||
|
|
| |||
(13) |
Consent of Independent Registered Public Accounting Firm and Consent of Independent Auditors; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d13.htm |
| |||
|
|
| |||
(14) |
Inapplicable |
| |||
|
|
| |||
(15) |
Inapplicable |
| |||
|
|
| |||
(16) |
Memorandum describing Pacific Life Insurance Companys issuance, transfer and redemption procedures for the Policies pursuant to Rule 6e-3(T)(b)(12)(iii) ; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d16.htm |
| |||
|
|
| |||
(17) |
Power of Attorney; Included in Registrants Form N-6, File No. 333-231309, Accession No. 0001104659-20-047475 filed April 16, 2020, and incorporated by reference herein. This exhibit can be found at http://www.sec.gov/Archives/edgar/data/832908/000110465920047475/a20-9361_1ex99d17.htm |
| |||
Item 27. Directors and Officers of Pacific Life
Name and Address |
|
Positions and Offices with Pacific Life |
James T. Morris |
|
Director, Chairman, President and Chief Executive Officer |
Adrian S. Griggs |
|
Director, Executive Vice President and Chief Operating Officer |
Darryl D. Button |
|
Director, Executive Vice President and Chief Financial Officer |
Sharon A. Cheever |
|
Director, Senior Vice President and General Counsel |
Dawn M. Trautman |
|
Executive Vice President |
Edward R. Byrd |
|
Senior Vice President and Chief Accounting Officer |
Jane M. Guon |
|
Vice President and Secretary |
Craig W. Leslie |
|
Vice President and Treasurer |
The address for each of the persons listed above is as follows:
700 Newport Center Drive
Newport Beach, California 92660
Item 28. Persons Controlled by or Under Common Control with Pacific Life or Pacific Select Exec Separate Account
The following is an explanation of the organization chart of Pacific Lifes subsidiaries:
Pacific Life is a Nebraska Stock Life Insurance Company wholly-owned by Pacific LifeCorp (a Delaware Stock Holding Company), which is, in turn, 100% owned by Pacific Mutual Holding Company (a Nebraska Mutual Insurance Holding Company).
PACIFIC LIFE, SUBSIDIARIES & AFFILIATED ENTERPRISES LEGAL STRUCTURE
|
|
Jurisdiction of |
|
Percentage of |
|
Pacific Mutual Holding Company |
|
Nebraska |
|
|
|
Pacific LifeCorp |
|
Delaware |
|
100 |
|
Pacific Life Insurance Company |
|
Nebraska |
|
100 |
|
Pacific Life & Annuity Company |
|
Arizona |
|
100 |
|
Pacific Life Purchasing LLC |
|
Delaware |
|
100 |
|
Pacific Select Distributors, LLC |
|
Delaware |
|
100 |
|
Pacific Asset Holding LLC |
|
Delaware |
|
100 |
|
Pacific TriGuard Partners LLC |
|
Delaware |
|
100 |
|
Grayhawk Golf Holdings, LLC |
|
Delaware |
|
95 |
|
Grayhawk Golf L.L.C. |
|
Arizona |
|
100 |
|
Las Vegas Golf I, LLC |
|
Delaware |
|
100 |
|
Angel Park Golf, LLC |
|
Nevada |
|
100 |
|
PL/KBS Fund Member, LLC |
|
Delaware |
|
100 |
|
Wildflower Member, LLC |
|
Delaware |
|
100 |
|
Epoch-Wildflower, LLC |
|
Florida |
|
99 |
|
PL Regatta Member, LLC |
|
Delaware |
|
100 |
|
Regatta Apartments Investors, LLC |
|
Delaware |
|
90 |
|
PL Vintage Park Member, LLC |
|
Delaware |
|
100 |
|
Vintage Park Apartments GP, LLC |
|
Delaware |
|
90 |
|
PL Broadstone Avena Member, LLC |
|
Delaware |
|
100 |
|
Broadstone Avena Investors, LLC |
|
Delaware |
|
90 |
|
GW Member LLC |
|
Delaware |
|
100 |
|
GW Apartments LLC |
|
Delaware |
|
90 |
|
PL Sierra Member, LLC |
|
Delaware |
|
100 |
|
Sierra at Fall Creek Apartments Investors, LLC |
|
Delaware |
|
90 |
|
PL TOR Member LLC |
|
Delaware |
|
100 |
|
2803 Riverside Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Denver Member, LLC |
|
Delaware |
|
100 |
|
1776 Curtis, LLC |
|
Delaware |
|
70 |
|
PL Timberlake Member, LLC |
|
Delaware |
|
100 |
|
80 South Gibson Road Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Van Buren Member, LLC |
|
Delaware |
|
100 |
|
1035 Van Buren Holdings, L.L.C. |
|
Delaware |
|
43 |
|
PL Lakemont Member, LLC |
|
Delaware |
|
100 |
|
Overlook at Lakemont Venture LLC |
|
Delaware |
|
88 |
|
PL Teravista Member, LLC |
|
Delaware |
|
100 |
|
401 Teravista Apartment Investors, LLC |
|
Delaware |
|
90 |
|
700 Main Street LLC |
|
Delaware |
|
100 |
|
PL Brier Creek Member, LLC |
|
Delaware |
|
100 |
|
Brier Creek Investors JV LLC |
|
Delaware |
|
90 |
|
PL One Jefferson Member, LLC |
|
Delaware |
|
100 |
|
One Jefferson Venture LLC |
|
Delaware |
|
90 |
|
PL Savannah Member, LLC |
|
Delaware |
|
100 |
|
Savannah at Park Place Apartments LLC |
|
Delaware |
|
90 |
|
PL Redland Member, LLC |
|
Delaware |
|
100 |
|
Redland Road Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Spectrum Member, LLC |
|
Delaware |
|
100 |
|
9242 West Russell Road Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Mortgage Fund, LLC |
|
Delaware |
|
100 |
|
PL Andate Member, LLC |
|
Delaware |
|
100 |
|
Andante Venture LLC |
|
Delaware |
|
90 |
|
PL Beardslee Member, LLC |
|
Delaware |
|
100 |
|
Village at Beardslee Investor, LLC |
|
Delaware |
|
90 |
|
PL Monterone Member, LLC |
|
Delaware |
|
100 |
|
Monterone Apartment Investor, LLC |
|
Delaware |
|
90 |
|
PL Reno Member, LLC |
|
Delaware |
|
100 |
|
NPLC BV Manager LLC |
|
Delaware |
|
81 |
|
PL Wabash Member, LLC |
|
Delaware |
|
100 |
|
THC 1333 S. Wabash LLC |
|
Delaware |
|
90 |
|
PL Alara Member, LLC |
|
Delaware |
|
100 |
|
Greenwood Village Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Kierland Member, LLC |
|
Delaware |
|
100 |
|
T&L Apartment Investor, LLC |
|
Delaware |
|
90 |
|
PL Wardman Member, LLC |
|
Delaware |
|
100 |
|
Wardman Hotel Owner, L.L.C. |
|
Delaware |
|
66.6668 |
|
PL Peoria Member, LLC |
|
Delaware |
|
100 |
|
205 Peoria Street Owner, LLC |
|
Delaware |
|
90 |
|
PL Elk Meadows Member, LLC |
|
Delaware |
|
100 |
|
Elk Meadows JV LLC |
|
Delaware |
|
60 |
|
PL Stonebriar Member, LLC |
|
Delaware |
|
100 |
|
Stonebriar Apartment Investor, LLC |
|
Delaware |
|
90 |
|
PL Deer Run Member, LLC |
|
Delaware |
|
100 |
|
Deer Run JV LLC |
|
Delaware |
|
60 |
|
PL Tessera Member, LLC |
|
Delaware |
|
100 |
|
Tessera Venture LLC |
|
Delaware |
|
90 |
|
PL Vantage Member, LLC |
|
Delaware |
|
100 |
|
Vantage Post Oak Apartments, LLC |
|
Delaware |
|
90 |
|
PL Fairfax Gateway Member, LLC |
|
Delaware |
|
100 |
|
Fairfield Fairfax Gateway LLC |
|
Delaware |
|
90 |
|
PL 922 Washington Owner, LLC |
|
Delaware |
|
100 |
|
PL Hana Place Member, LLC |
|
Delaware |
|
100 |
|
Hana Place JV LLC |
|
Delaware |
|
60 |
|
PL LasCo Owner, LLC |
|
Delaware |
|
100 |
|
PL Wilshire Member, LLC |
|
Delaware |
|
100 |
|
Wilshire Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Cedarwest Member, LLC |
|
Delaware |
|
100 |
|
Cedarwest JV LLC |
|
Delaware |
|
60 |
|
PL Tupelo Member, LLC |
|
Delaware |
|
100 |
|
Tupelo Alley Apartment Investors, LLC |
|
Delaware |
|
90 |
|
PL Aster Member, LLC |
|
Dealware |
|
100 |
|
Alston Manor Investors JV LLC |
|
Delaware |
|
90 |
|
PL Anthology Member, LLC # |
|
Delaware |
|
100 |
|
PL Trelago Member, LLC # |
|
Delaware |
|
100 |
|
PL 803 Division Street Member, LLC # |
|
Delaware |
|
100 |
|
PL Little Italy Member, LLC # |
|
Delaware |
|
100 |
|
Confederation Life Insurance and Annuity Company |
|
Georgia |
|
100 |
|
Pacific Global Asset Management LLC |
|
Delaware |
|
100 |
|
Cadence Capital Management LLC |
|
Delaware |
|
100 |
|
Cadence Global Equity GP LLC# |
|
Delaware |
|
100 |
|
Pacific Asset Management LLC |
|
Delaware |
|
100 |
|
PAM Bank Loan GP LLC# |
|
Delaware |
|
100 |
|
PAM CLO Opportunities GP LLC# |
|
Delaware |
|
100 |
|
Pacific Global Advisors LLC |
|
Delaware |
|
100 |
|
Pacific Private Fund Advisors LLC |
|
Delaware |
|
100 |
|
Pacific Absolute Return Strategies GP LLC # |
|
Delaware |
|
100 |
|
Pacific Co-Invest Credit I GP LLC # |
|
Delaware |
|
100 |
|
Pacific Co-Invest Opportunities I GP LLC # |
|
Delaware |
|
100 |
|
Pacific Multi-Strategy GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Credit II GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Credit III GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Credit IV GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Equity I GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Equity Opportunities II GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Equity Opportunities III GP LLC # |
|
Delaware |
|
100 |
|
Pacific Private Feeder III GP, LLC # |
|
Delaware |
|
100 |
|
Pacific Private Equity Opportunities IV GP LLC # |
|
Delaware |
|
100 |
|
Pacific Life Fund Advisors LLC |
|
Delaware |
|
100 |
|
Pacific Life Trade Receivable GP LLC # |
|
Delaware |
|
100 |
|
Pacific Alliance Reinsurance Company of Vermont |
|
Vermont |
|
100 |
|
Pacific Services Canada Limited |
|
Canada |
|
100 |
|
Pacific Life Reinsurance Company II Limited |
|
Barbados |
|
100 |
|
Pacific Baleine Reinsurance Company |
|
Vermont |
|
100 |
|
Pacific Private Equity Incentive Allocation LLC |
|
Delaware |
|
100 |
|
Swell Investing Holding LLC |
|
Delaware |
|
100 |
|
Swell Investing LLC |
|
Delaware |
|
100 |
|
Pacific Life Aviation Holdings LLC |
|
Delaware |
|
100 |
|
Aviation Capital Group Holdings, Inc. |
|
Delaware |
|
100 |
|
Pacific Life & Annuity Services, Inc. |
|
Colorado |
|
100 |
|
Bella Sera Holdings, LLC |
|
Delaware |
|
100 |
|
Pacific Life Re Holdings LLC |
|
Delaware |
|
100 |
|
Pacific Life Re Global Limited |
|
Bermuda |
|
100 |
|
Pacific Life Re International Limited |
|
Bermuda |
|
100 |
|
Pacific Life Re (Australia) Pty Limited |
|
Australia |
|
100 |
|
Pacific Life Holdings Bermuda Limited |
|
Bermuda |
|
100 |
|
Pacific Life Services Bermuda Limited |
|
Bermuda |
|
100 |
|
Pacific Life Re Holdings Limited |
|
England |
|
100 |
|
Pacific Life Re Services Limited |
|
England |
|
100 |
|
Pacific Life Re Limited |
|
England |
|
100 |
|
UnderwriteMe Limited |
|
England |
|
100 |
|
UnderwriteMe Technology Solutions Limited |
|
England |
|
100 |
|
UnderwriteMe Australia Pty Limited |
|
Australia |
|
100 |
|
Pacific Annuity Reinsurance Company |
|
Arizona |
|
100 |
|
# = Abbreviated structure
Item 29. Indemnification
(a) The Distribution Agreement between Pacific Life Insurance Company, Pacific Life & Annuity Company (collectively referred to as Pacific Life) and Pacific Select Distributors, LLC (PSD) provides substantially as follows:
Pacific Life shall indemnify and hold harmless PSD and PSDs officers, directors, agents, controlling persons, employees, subsidiaries and affiliates for all attorneys fees, litigation expenses, costs, losses, claims, judgments, settlements, fines, penalties, damages, and liabilities incurred as the direct or indirect result of: (i) negligent, dishonest, fraudulent, unlawful, or criminal acts, statements, or omissions by Pacific Life or its employees, agents, officers, or directors; (ii) Pacific Lifes breach of this Agreement; (iii) Pacific Lifes failure to comply with any statute, rule, or regulation; (iv) a claim or dispute between Pacific Life and a Broker/Dealer (including its Representatives) and/or a Contract owner. Pacific Life shall not be required to indemnify or hold harmless PSD for expenses, losses, claims, damages, or liabilities that result from PSDs misfeasance, bad faith, negligence, willful misconduct or wrongful act.
PSD shall indemnify and hold harmless Pacific Life and Pacific Lifes officers, directors, agents, controlling persons, employees, subsidiaries and affiliates for all attorneys fees, litigation expenses, costs, losses, claims, judgments, settlements, fines, penalties, damages and liabilities incurred as the direct or indirect result of: (i) PSDs breach of this Agreement; and/or (ii) PSDs failure to comply with any statute, rule, or regulation. PSD shall not be required to indemnify or hold harmless Pacific Life for expenses, losses, claims, damages, or liabilities that have resulted from Pacific Lifes willful misfeasance, bad faith, negligence, willful misconduct or wrongful act.
(b) The Form of Selling Agreement between Pacific Life, Pacific Select Distributors, LLC (PSD) and Various Broker-Dealers provides substantially as follows:
Pacific Life and PSD agree to indemnify and hold harmless Selling Broker-Dealer and General Agent, their officers, directors, agents and employees, against any and all losses, claims, damages or liabilities to which they may become subject under the 1933 Act, the 1934 Act, or other federal or state statutory law or regulation, at common law or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon any untrue statement or alleged untrue statement of a material fact or any omission or alleged omission to state a material fact required to be stated or necessary to make the statements made not misleading in the registration statement for the Contracts or for the shares of Pacific Select Fund (the Fund) filed pursuant to the 1933 Act, or any prospectus included as a part thereof, as from time to time amended and supplemented, or in any advertisement or sales literature approved in writing by Pacific Life and PSD pursuant to Section IV.E. of this Agreement.
Selling Broker-Dealer and General Agent agree to indemnify and hold harmless Pacific Life, the Fund and PSD, their officers, directors, agents and employees, against any and all losses, claims, damages or liabilities to which they may become subject under the 1933 Act, the 1934 Act or other federal or state statutory law or regulation, at common law or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon: (a) any oral or written misrepresentation by Selling Broker- Dealer or General Agent or their officers, directors, employees or agents unless such misrepresentation is contained in the registration statement for the Contracts or Fund shares, any prospectus included as a part thereof, as from time to time amended and supplemented, or any advertisement or sales literature approved in writing by Pacific Life and PSD pursuant to Section IV.E. of this Agreement, (b) the failure of Selling Broker-Dealer or General Agent or their officers, directors, employees or agents to comply with any applicable
provisions of this Agreement or (c) claims by Sub-agents or employees of General Agent or Selling Broker- Dealer for payments of compensation or remuneration of any type. Selling Broker-Dealer and General Agent will reimburse Pacific Life or PSD or any director, officer, agent or employee of either entity for any legal or other expenses reasonably incurred by Pacific Life, PSD, or such officer, director, agent or employee in connection with investigating or defending any such loss, claims, damages, liability or action. This indemnity agreement will be in addition to any liability which Broker-Dealer may otherwise have.
(c) Insofar as indemnification for liabilities arising under the Securities Act of 1933 (Act) may be permitted to directors, officers or persons controlling the Registrant pursuant to the foregoing provisions, the Registrant has been informed 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.
Item 30. Principal Underwriters
(a) |
PSD also acts as principal underwriter for Pacific Life Insurance Company, on its own behalf and on behalf of its Separate Account I, Separate Account A, Separate Account B, Pacific Select Variable Annuity Separate Account, Pacific Corinthian Variable Separate Account, Pacific Select Exec Separate Account, Pacific COLI Separate Account, Pacific COLI Separate Account II, Pacific COLI Separate Account III, Pacific COLI Separate Account IV, Pacific COLI Separate Account V, Pacific COLI Separate Account VI, Pacific COLI Separate Account X, Pacific COLI Separate Account XI, Pacific Select Separate Account, and Pacific Life & Annuity Company, on its own behalf and on behalf of its Separate Account A, Pacific Select Exec Separate Account, and Separate Account I. |
(b) |
For information regarding PSD, reference is made to Form B-D, SEC File No. 8-15264, which is herein incorporated by reference. |
(c) |
PSD retains no compensation or net discounts or commissions from the Registrant. |
Item 31. Location of Accounts and Records
The accounts, books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the rules under that section will be maintained by Pacific Life at 700 Newport Center Drive, Newport Beach, California 92660.
Item 32. Management Services
Not applicable
Item 33. Fee Representation
REPRESENTATION PURSUANT TO SECTION 26(f) OF THE INVESTMENT COMPANY ACT OF 1940: Pacific Life Insurance Company and Registrant represent that the fees and charges to be deducted under the Variable Life Insurance Policy described in the prospectus contained in this registration statement are, in the aggregate, reasonable in relation to the services rendered, the expenses expected to be incurred, and the risks assumed in connection with the Contract.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it has duly caused this Post-Effective Amendment No. 3 to the Registration Statement on Form N-6 to be signed on its behalf by the undersigned, duly authorized, in the City of Newport Beach, and State of California on the day of May 14, 2020.
|
PACIFIC SELECT EXEC SEPARATE ACCOUNT | |
|
(Registrant) | |
|
|
|
|
By: |
PACIFIC LIFE INSURANCE COMPANY |
|
|
|
|
By: |
|
|
|
James T. Morris* |
|
|
Director, Chairman, Chief Executive Officer and President |
|
|
|
|
By: |
PACIFIC LIFE INSURANCE COMPANY |
|
|
(Depositor) |
|
|
|
|
By: |
|
|
|
James T. Morris* |
|
|
Director, Chairman, Chief Executive Officer and President |
Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 3 to the Registration Statement has been signed below by the following persons in the capacities and on the dates indicated:
Signature |
|
Title |
|
Date | |
|
|
|
|
| |
|
|
Director, Chairman, Chief Executive Officer and President |
|
May 14, 2020 | |
James T. Morris* |
|
|
| ||
|
|
|
|
| |
|
|
Director, Executive Vice President and Chief Operating Officer |
|
May 14, 2020 | |
Adrian S. Griggs* |
|
|
| ||
|
|
|
|
| |
|
|
Director, Executive Vice President and Chief Financial Officer |
|
May 14, 2020 | |
Darryl D. Button* |
|
|
| ||
|
|
|
|
| |
|
|
Director, Senior Vice President and General Counsel |
|
May 14, 2020 | |
Sharon A. Cheever* |
|
|
| ||
|
|
|
|
| |
|
|
Vice President and Secretary |
|
May 14, 2020 | |
Jane M. Guon* |
|
|
| ||
|
|
|
|
| |
|
|
Executive Vice President |
|
May 14, 2020 | |
Dawn M. Trautman* |
|
|
| ||
|
|
|
|
| |
|
|
Senior Vice President and Chief Accounting Officer |
|
May 14, 2020 | |
Edward R. Byrd* |
|
|
| ||
|
|
|
|
| |
|
|
Vice President and Treasurer |
|
May 14, 2020 | |
Craig W. Leslie* |
|
|
| ||
|
|
|
|
| |
*By: |
/s/ BRANDON J. CAGE |
|
|
|
May 14, 2020 |
|
Brandon J. Cage |
|
|
|
|
|
as attorney-in-fact |
|
|
|
|
(Powers of Attorney are contained in Post-Effective Amendment No. 2 of the Registration Statement filed on Form N-6 for Pacific Select Exec Separate Account, File No. 333-231309, Accession No. 0001104659-20-047475 filed on April 16, 2020, as Exhibit 17). |
Among
VANGUARD VARIABLE INSURANCE FUND
and
THE VANGUARD GROUP, INC.
and
VANGUARD MARKETING CORPORATION
and
PACIFIC LIFE INSURANCE COMPANY
THIS AGREEMENT, made and entered into as of the 10th day of September 2019, by and among VANGUARD VARIABLE INSURANCE FUND (hereinafter the Fund), a Delaware business trust, THE VANGUARD GROUP, INC. (hereinafter the Sponsor), a Pennsylvania corporation, VANGUARD MARKETING CORPORATION (hereinafter the Distributor), a Pennsylvania corporation, and PACIFIC LIFE INSURANCE COMPANY, a Nebraska corporation (hereinafter the Company), on its own behalf and on behalf of each segregated asset account of the Company named in Schedule A hereto as may be amended from time to time (each such account hereinafter referred to as the Account).
WHEREAS, the Fund was organized to act as the investment vehicle for variable life insurance policies and variable annuity contracts to be offered by separate accounts of insurance companies which have entered into participation agreements with the Fund and the Sponsor (hereinafter Participating Insurance Companies); and
WHEREAS, the beneficial interest in the Fund is divided into several series of shares, each designated a Portfolio, and representing the interest in a particular managed portfolio of securities and other assets; and
WHEREAS, the Fund is registered as an open-end management investment company under the Investment Company Act of 1940, as amended (the 1940 Act) and its shares are registered under the Securities Act of 1933, as amended (the 1933 Act); and
WHEREAS, the assets of each Portfolio of the Fund are managed by several entities (the Advisers), each of which is duly registered as an investment adviser under the federal Investment Advisers Act of 1940 and any applicable state securities laws; and
WHEREAS, the Company has established or will establish one or more Accounts to fund certain variable life insurance policies and/or variable annuity contracts (the Variable Insurance Products), which Accounts and Variable Insurance Products are registered under the 1940 Act and the 1933 Act, respectively; and
FAS/PACIFIC LIFE INSURANCE COMPANY
PARTICIPATION AGREEMENT (REGISTERED) 0457478
WHEREAS, each Account is a duly organized, validly existing segregated asset account, established by resolution of the Board of Directors of the Company, on the date shown for each Account on Schedule A hereto, to set aside and invest assets attributable to the Variable Insurance Products; and
WHEREAS, the Distributor is a wholly-owned subsidiary of the Sponsor, is registered as a broker dealer with the Securities and Exchange Commission (SEC) under the Securities Exchange Act of 1934, as amended (the 1934 Act) and is a member in good standing of the Financial Industry Regulatory Authority, Inc. (FINRA); and
WHEREAS, to the extent permitted by applicable insurance laws and regulations, the Company intends to purchase shares of the Portfolios on behalf of each Account to fund the Variable Insurance Products and the Sponsor is authorized to sell such shares to the Accounts at net asset value;
WHEREAS, the Company and the Sponsor have entered into a Defined Contribution Clearance & Settlement Agreement of even date herewith (the DCC&S Agreement) which sets forth the operational provisions governing the purchase and redemption of shares of the Fund by the Accounts and related matters;
NOW, THEREFORE, in consideration of their mutual promises, the Company, the Fund, the Sponsor and the Distributor agree as follows:
ARTICLE I. Sale of Fund Shares
1.1 The Sponsor and the Distributor agree to sell to the Company those shares of the Portfolios of the Fund listed on Schedule B which each Account orders, in accordance with the applicable provisions of the DCC&S Agreement.
1.2 The Fund, subject to the provisions of Article IX of this Agreement, agrees to make its shares available indefinitely for purchase at the applicable net asset value per share by the Company and its Accounts on those days on which the Fund calculates its net asset value pursuant to the rules of the SEC and the Fund shall use its best efforts to calculate such net asset value on each day which the NYSE is open for trading. Notwithstanding the foregoing, the Board of Trustees of the Fund (hereinafter the Board) may refuse to sell shares of any Portfolio to any person including, but not limited to, the Company, or suspend or terminate the offering of shares of any Portfolio if such action is required by law or by regulatory authorities having jurisdiction or is, in the sole discretion of the Board, acting in good faith and in light of their fiduciary duties under federal and any applicable state laws, necessary in the best interests of the shareholders of such Portfolio. Further, it is acknowledged and agreed that the availability of shares of the Fund shall be subject to the Funds then current prospectus and statement of additional information, federal and state securities laws and applicable rules and regulations of the SEC and the FINRA.
1.3 The Fund and the Sponsor agree that shares of the Fund will be sold only to Participating Insurance Companies and their separate accounts. No shares of any Portfolio will be sold to the general public.
1.4 The Fund and the Sponsor will not sell Fund shares to any Participating Insurance Company or its separate account unless an agreement containing a provision substantially the same as Section 2.4 of Article II of this Agreement is in effect to govern such sales.
1.5 The Fund agrees to redeem for cash, on the Companys request, any full or fractional shares of the Fund held by an Account, in accordance with the applicable provisions of the DCC&S Agreement. The Fund reserves the right to suspend redemption privileges or pay redemptions in kind, as disclosed in the Funds prospectus or statement of additional information. The Fund agrees to treat the Company like any other shareholder in similar circumstances in making these determinations.
1.6 The Company agrees to purchase and redeem the shares of each Portfolio offered by the then current prospectus of the Fund and in accordance with the provisions of such prospectus and the accompanying statement of additional information.
1.7 Issuance and transfer of a Funds shares will be by book entry only. Stock certificates will not be issued to the Company or any Account. Shares ordered from the Fund will be recorded in an appropriate title for each Account or the appropriate subaccount of each Account. The Fund shall furnish to the Company the CUSIP number assigned to each Portfolio of the Fund identified in Schedule B hereto.
1.8 The Company hereby elects to receive all income, dividends and capital gain distributions as are payable on the Portfolio shares in additional shares of that Portfolio. The Company reserves the right to revoke this election and to receive all such income dividends and capital gain distributions in cash. The Fund shall notify the Company of the number of shares so issued as payment of dividends and distributions.
ARTICLE II. Representations and Warranties
2.1 The Company represents and warrants that it is an insurance company duly organized and in good standing under applicable law; that it has legally and validly established each Account prior to any issuance or sale thereof as a segregated asset account under applicable laws of the Nebraska Insurance Code; that it has and will maintain the capacity to issue all Variable Insurance Products that may be sold; and that it is properly licensed, qualified and in good standing to sell the Variable Insurance Products in all fifty states (except New York) and the District of Columbia.
2.2 The Company represents and warrants that the Variable Insurance Products are registered under the 1933 Act.
2.3 The Company represents and warrants it has registered each Account as a unit investment trust in accordance with the provisions of the 1940 Act to serve as segregated investment accounts for the Variable Insurance Products.
2.4 The Fund represents and warrants that Fund shares sold pursuant to this Agreement shall be registered under the 1933 Act, duly authorized for issuance and sold in compliance with all applicable federal and state securities laws and that the Fund is and shall remain registered under the 1940 Act. The Fund shall amend the registration statement for its shares under the 1933 Act and the 1940 Act from time to time as required in order to effect the continuous offering of its shares. The Fund shall register and qualify the shares for sale in accordance with the laws of the various states only if and to the extent deemed advisable by the Fund, the Distributor, or the Sponsor.
2.5 The Fund represents that it is qualified as a Regulated Investment Company under Subchapter M of the Internal Revenue Code of 1986, as amended (the Code), and that it will make every effort to maintain qualification (under Subchapter M or any successor or similar provision) and (ii) it will notify the Company immediately upon having a reasonable basis for believing that it ceased to so qualify or that it might not so qualify in the future. The Fund acknowledges that any failure to qualify as a Regulated Investment Company will eliminate the ability of the subaccounts to avail themselves of the look through
provisions of Section 817(h) of the Code, and that as a result the Variable Insurance Products will almost certainly fail to qualify as endowment or life insurance contracts under Section 817(h) of the Code.
2.6 The Company represents that the Variable Insurance Products will be treated as endowment or life insurance contracts under applicable provisions of the Code and that it will make every effort to maintain such treatment and that it will notify the Fund and the Sponsor immediately upon having a reasonable basis for believing that the Variable Insurance Products have ceased to be so treated or that they might not be so treated in the future.
2.7 The Fund currently does not intend to make any payments to finance distribution expenses pursuant to Rule 12b-1 under the 1940 Act or otherwise.
2.8 The Fund makes no representation as to whether any aspect of its operations (including, but not limited to, fees and expenses and investment policies) complies with the insurance laws or regulations of the various states except that the Fund represents that the Funds investment policies, fees and expenses are and shall at all times remain in compliance with the laws of the State of Nebraska and the Fund and the Sponsor represent that their respective operations are and shall at all times remain in material compliance with the laws of the State of Nebraska to the extent required to perform this Agreement.
2.9 The Distributor represents and warrants that it is a member in good standing of FINRA and is registered as a broker-dealer with the SEC. The Distributor further represents that it will sell and distribute the Fund shares in accordance with the laws of the State of and all applicable state and federal securities laws, including without limitation the 1933 Act, the 1934 Act, and the 1940 Act.
2.10 The Fund represents that it is lawfully organized and validly existing under the laws of the State of Delaware and that it does and will comply in all material respects with the 1940 Act and any applicable regulations thereunder.
2.11 The Sponsor represents and warrants that the Advisers to the Fund are, and the Sponsor shall use its best effort to cause the Advisers to remain, duly registered in all material respects under all applicable federal and state securities laws and to perform their obligations for the Fund in compliance in all material respects with any applicable state and federal securities laws.
2.12 The Fund and the Sponsor represent and warrant that all of their trustees, directors, officers, employees, investment advisers, and other individuals/entities dealing with the money and/or securities of the Fund are and shall continue to be at all times covered by a blanket fidelity bond or similar coverage for the benefit of the Fund in an amount not less than the minimum coverage required currently by Rule 17g-1 under the 1940 Act or other applicable laws or regulations as may be promulgated from time to time. The aforesaid bond shall include coverage for larceny and embezzlement and shall be issued by a reputable bonding company.
2.13 With respect to the Variable Insurance Products, which are registered under the 1933 Act, the Company represents and warrants that:
(a) Pacific Select Distributors, Inc. is the principal underwriter for each such Account and any subaccounts thereof and is a registered broker-dealer with the SEC under the 1934 Act;
(b) the shares of the Portfolios of the Fund are and will continue to be the only investment securities held by the corresponding subaccounts;
(c) the number of Portfolios of the Fund available for investment by the Accounts will not constitute a majority of the total number of mutual funds or portfolio selections available for investment by the Accounts in any Variable Insurance Product that is a variable annuity; and
(d) with regard to each Portfolio, the Company, if permitted by law, on behalf of the corresponding subaccount, will:
(i) vote such shares held by it in the same proportion as the vote of all other holders of such shares; and
(ii) refrain from substituting shares of another security for such shares unless the SEC has approved such substitution in the manner provided in Section 26 of the 1940 Act.
2.14 The Fund represents that it will comply with all provisions of the 1940 Act requiring voting by shareholders, and in particular the Fund will either provide for annual meetings or comply with Section 16(c) of the 1940 Act (although the Fund is not one of the trusts described in Section 16(c) of that Act) as well as with Sections 16(a) and, if and when applicable, 16(b). Further, the Fund will act in accordance with the SECs interpretation of the requirements of Section 16(a) with respect to periodic elections of trustees and with whatever rules the SEC may promulgate with respect thereto.
ARTICLE III. Offering Documents and Reports
3.1 The Fund, the Sponsor or their designee shall provide the Company (at the Sponsors expense) with as many copies of the Funds current prospectus (and supplements thereto) as the Company may reasonably request. The Company shall provide a copy of the Funds prospectus to each Variable Insurance Product owner (except for cases in which the Funds prospectus need not be provided to a Variable Insurance Product owner, such as annual updates to existing Variable Insurance Product owners who have not allocated money to the Fund). If requested by the Company in lieu thereof, the Fund or the Sponsor shall provide such documentation (including a final print ready PDF copy of the new prospectus (and supplements thereto) as set in type at the Funds or the Sponsors expense) and other assistance as is reasonably necessary in order for the Company once each year (or more frequently if the prospectus for the Fund is amended) to have the prospectus for the Variable Insurance Products and the Funds prospectus printed together in one document (the expense for such printing to be allocated between the Fund and the Company according to their respective share of the total printing cost, with the Funds share corresponding to the costs for printing the Funds prospectus).
3.2 The Funds prospectus shall state that the statement of additional information for the Fund is available from the Sponsor (or in the Funds discretion, the prospectus shall state that the statement of additional information is available from the Fund) and the Sponsor (or the Fund), at its expense, shall print and provide such statement free of charge to the Company and to any owner of a Variable Insurance Product or prospective owner who requests such statement.
3.3 The Fund, at its own expense, shall provide the Company with copies of its reports to shareholders, other communications to shareholders, and, if required by applicable law, proxy material, in such quantity as the Company shall reasonably require for distributing to Variable Insurance Product owners. The Fund shall provide to the Company the prospectuses and annual reports referenced in this Agreement within fifteen (15) days prior to the Companys obligation to mail, and the Company agrees to provide the Fund with advance notice of such date. If the documents are not delivered to the Company within ten (10) days of the Companys obligation to mail, the Fund shall reimburse the Company for any extraordinary out-of-pocket costs (including, but not limited to, overtime for printing and mailing).
ARTICLE IV. Sales Material and Information
4.1 The Company shall furnish, or shall cause to be furnished, to the Fund or its designee, each piece of sales literature or other promotional material in which the Fund, its Advisers or the Sponsor is named, at least ten Business Days prior to its use. The Company may use such material in fewer than ten Business Days if it receives the written consent of the Fund or its designee. No such material shall be used if the Fund or its designee reasonably objects to such use within ten Business Days after receipt of such material. In connection with the identification of the Portfolios in any such material, the use of the Sponsors name or identification of the Portfolios shall be given no greater prominence than any other mutual fund or portfolio selection offered in a Variable Insurance Product that is a variable annuity.
4.2 The Company shall not give any information or make any representations or statements on behalf of the Fund or concerning the Fund in connection with the sale of the Variable Insurance Products other than the information or representations contained in the registration statement or prospectus for the Fund shares, as such registration statement and prospectus may be amended or supplemented from time to time, or in reports or proxy statements for the Fund, or in sales literature or other promotional material approved by the Fund or its designee or by the Sponsor, except with the permission of the Fund or the Sponsor or the designee of either.
4.3 The Fund, Sponsor, Distributor or their designee shall furnish, or shall cause to be furnished, to the Company or its designee, each piece of sales literature or other promotional material in which the Company or an Account is named at least ten Business Days prior to its use. No such material shall be used if the Company or its designee reasonably objects to such use within ten Business Days after receipt of such material.
4.4 The Fund, the Distributor and the Sponsor shall not give any information or make any representations on behalf of the Company or concerning the Company, each Account, or the Variable Insurance Products other than the information or representations contained in a prospectus for the Variable Insurance Products, as such prospectus may be amended or supplemented from time to time, or in published reports for each Account which are in the public domain or approved by the Company for distribution to Variable Insurance Product owners, or in sales literature or other promotional material approved by the Company or its designee, except with the permission of the Company.
4.5 The Fund will provide to the Company at least one complete copy of all registration statements, prospectuses, statements of additional information, reports, proxy statements, sales literature and other promotional materials, applications for exemptions, requests for no-action letters, and all amendments to any of the above, that relate to the Fund or its shares, prior to or contemporaneously with the filing of each document with the SEC or other regulatory authorities.
4.6 The Company will provide to the Fund at least one complete copy of all prospectuses, reports, solicitations for voting instructions, sales literature and other promotional materials, applications for exemption, requests for no-action letters, and all amendments to any of the above, that relate to the Variable Insurance Products or each Account, prior to or contemporaneously with the filing of such document with the SEC or other regulatory authorities.
4.7 The Company and the Fund shall also each promptly inform the other of the results of any examination by the SEC (or other regulatory authorities) that relates to the Variable Insurance Products, the Fund or its shares, and the party that was the subject of the examination shall provide the other party with a copy of relevant portions of any deficiency letter or other correspondence or written report regarding any such examination.
4.8 The Fund and the Sponsor will provide the Company with as much notice as is reasonably practicable of any proxy solicitation for any Portfolio, and of any material change in the Funds registration statement, particularly any change resulting in a change to the prospectus for any Account. The Fund and the Sponsor will cooperate with the Company so as to enable the Company to solicit voting instructions from owners of Variable Insurance Products, to the extent a solicitation is required by applicable law, or to make changes to its prospectus in an orderly manner.
4.9 For purposes of this Article IV, the phrase sales literature and other promotional material includes, but is not limited to, sales literature (i.e., any written communication distributed or made generally available to customers, including brochures, circulars, research reports, market letters, form letters, seminar texts, reprints or excerpts of any other advertisement, sales literature, or published articles), educational or training materials or other communications distributed or made generally available to some or all agents or employees, and prospectuses, shareholder reports, and proxy materials.
4.10 Certain Transactions and Restrictions.
(a) The Company agrees that it will provide, not later than five Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, name of investment professional associated with the Variable Insurance Product owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (i) limiting or reducing abusive trading in shares issued by the Fund or (ii) collecting purchase or redemption fees (if any).
(b) The Company agrees that it will execute written instructions from the Sponsor on behalf of the Fund, including instructions to restrict or prohibit purchases or exchanges of Fund shares in specific accounts or by or on behalf of specific Variable Insurance Product owners identified by the Fund as having engaged in transactions in Fund shares that violate policies established by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding securities issued by the Fund. Any such instructions by the Sponsor shall include the Taxpayer Identification Number or equivalent identifying number of the Variable Insurance Product owner(s) to which the instructions relate and the specific restriction(s) to be executed. The Company agrees that it will execute any such instructions as soon as reasonably practicable, but not later than five Business Days after receipt of the instructions by the Company.
ARTICLE V. Fees and Expenses
5.1 The Fund and Sponsor shall pay no fee or other compensation to the Company under this Agreement. Nothing herein shall prevent the parties hereto from otherwise agreeing to perform, and arranging for appropriate compensation for, other services relating to the Fund and or to the Accounts.
5.2 All expenses incident to performance by the Fund under this Agreement shall be paid by the Fund. The Fund shall see to it that all its shares are registered and authorized for issuance in accordance with applicable federal law and, if and to the extent deemed advisable by the Fund, in accordance with applicable state laws prior to their sale. The Fund shall bear the fees and expenses for the cost of registration and qualification of the Funds shares, preparation and filing of the Funds prospectus and registration statement, proxy materials and reports, setting the prospectus in type, setting in type and printing the proxy materials and reports to shareholders (including the costs of printing a prospectus that
constitutes an annual report), the preparation of all statements and notices required by any federal or state law, all taxes on the issuance or transfer of the Funds shares.
5.3 The Fund shall bear the expenses of printing, and the Company shall bear the expenses of distributing (including, without limitation, postage), the Funds prospectus and reports to existing owners of Variable Insurance Products issued by the Company that allocate contract value to any Portfolio.
ARTICLE VI. Diversification
6.1 The Fund will at all times invest money from the Variable Insurance Products in such a manner as to ensure that the Variable Insurance Products will be treated as variable contracts under the Code and the regulations issued thereunder. Without limiting the scope of the foregoing, the Fund and the Sponsor represent and warrant that each Portfolio of the Fund will meet the diversification requirements of Section 817(h) of the Code and Treasury Regulation 1.817-5, relating to the diversification requirements for endowment or life insurance contracts and any amendments or other modifications to such Section or Regulations, as if those requirements applied directly to each such Portfolio. In the event of a breach of this Article VI by the Fund, it will take all reasonable steps (a) to notify Company of such breach and (b) to adequately diversify, each Portfolio of the Fund so as to achieve compliance within the grace period afforded by Regulation 817-5.
6.2 The Fund and the Sponsor represent that each Portfolio will elect to be qualified as a Regulated Investment Company under Subchapter M of the Code and they will maintain such qualification (under Subchapter M or any successor or similar provision).
ARTICLE VII. Indemnification
7.1 Indemnification by the Company
(a) The Company agrees to indemnify and hold harmless the Fund and each trustee of the Board and officers and each person, if any, who controls the Fund within the meaning of Section 15 of the 1933 Act, the Sponsor and the Distributor (collectively, the Indemnified Parties for purposes of this Section 7.1) against any and all losses, claims, damages, liabilities (including amounts paid in settlement with the written consent of the Company) or litigation (including legal and other expenses) to which the Indemnified Parties may become subject under any statute, regulation, at common law or otherwise, insofar as such losses, claims, damages, liabilities or expenses (or actions in respect thereof) or settlements are related to the sale or acquisition of the Funds shares or the Variable Insurance Products and:
(i) arise out of or are based upon any untrue statements or alleged untrue statements of any material fact contained in the registration statement or prospectus for the Variable Insurance Products or contained in the contract or policy or sales literature for the Variable Insurance Products (or any amendment or supplement to any of the foregoing), or arise out of or are based upon the omission or the alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, provided that this agreement to indemnify shall not apply as to any Indemnified Party if such statement or omission or such alleged statement or omission was made in reliance upon and in conformity with information furnished to the Company by or on behalf of the Fund for use in the registration statement or prospectus for the Variable Insurance Products or in the contract or policy sales literature (or any amendment or supplement) or otherwise for use in connection with the sale of the Variable Insurance Products or the Fund shares; or
(ii) arise out of or as a result of statements or representations (other than statements or representations contained in the registration statement, prospectus or sales literature of the
Fund not supplied by the Company, or persons under its control) or unlawful conduct of the Company or persons under its control, with respect to the sale or distribution of the Variable Insurance Products or Fund shares; or
(iii) arise out of any untrue statement or alleged untrue statement of a material fact contained in a registration statement, prospectus, or sales literature of the Fund (or any amendment or supplement thereto), or the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, if such statement or omission was made in reliance upon information furnished to the Fund by or on behalf of the Company; or
(iv) result from any failure by the Company to provide the services and furnish the materials under the terms of this Agreement; or
(v) arise out of or result from any material breach of any representation and/or warranty made by the Company in this Agreement or arise out of or result from any material breach of this Agreement by the Company;
as limited by and in accordance with the provisions of Section 7.1(b) and 7.1(c) hereof.
(b) The Company shall not be liable under this indemnification provision with respect to any losses, claims, damages, liabilities or litigation to which an Indemnified Party would otherwise be subject by reason of such Indemnified Partys willful misfeasance, bad faith, or gross negligence in the performance of such Indemnified Partys duties or by reason of such Indemnified Partys reckless disregard of obligations and duties under this Agreement or to the Fund, whichever is applicable.
(c) The Company shall not be liable under this indemnification provision with respect to any claim made against an Indemnified Party unless such Indemnified Party shall have notified the Company in writing within a reasonable time after the summons or other first legal process giving information of the nature of the claim shall have been served upon such Indemnified Party (or after such Indemnified Party shall have received notice of such service on a designated agent), but failure to notify the Company of any such claim shall not relieve the Company from any liability which it may have to the Indemnified Party against whom such action is brought otherwise than on account of this indemnification provision. In case any such action is brought against the Indemnified Parties, the Company shall be entitled to participate, at its own expense, in the defense of such action. The Company also shall be entitled to assume the defense thereof, with counsel satisfactory to the party named in the action. After notice from the Company to such a party of the Companys election to assume the defense thereof, the Indemnified Party shall bear the fees and expenses of any additional counsel retained by it, and the Company will not be liable to such party under this agreement for any legal or other expenses subsequently incurred by such party independently in connection with the defense thereof other than reasonable costs of investigation.
(d) The Indemnified Parties will promptly notify the Company of the commencement of any litigation or proceedings against them in connection with the issuance or sale of the Fund shares or the Variable Insurance Products or the operation of the Fund.
7.2 Indemnification by the Sponsor
(a) The Sponsor agrees to indemnify and hold harmless the Company and each of its directors and officers and each person, if any, who controls the Company within the meaning of Section 15 of the 1933Act (collectively, the Indemnified Parties for purposes of this Section 7.2) against any and all losses, claims, damages, liabilities (including amounts paid in settlement with the written consent of the Sponsor) or litigation (including legal and other expenses) to which the Indemnified Parties may become
subject under any statute, at common law or otherwise, insofar as such losses, claims, damages, liabilities or expenses (or actions in respect thereof) or settlements are related to the sale or acquisition of the Funds shares or the Variable Insurance Products and:
(i) arise out of or are based upon any untrue statement or alleged untrue statement of any material fact contained in the registration statement or prospectus or sales literature of the Fund (or any amendment or supplement to any of the foregoing), or arise out of or are based upon the omission or the alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, provided that this agreement to indemnify shall not apply as to any Indemnified Party if such statement or omission or such alleged statement or omission was made in reliance upon and in conformity with information furnished to the Sponsor or Fund by or on behalf of the Company for use in the registration statement or prospectus for the Fund or in sales literature (or any amendment or supplement thereto) or otherwise for use in connection with the sale of the Variable Insurance Products or Fund shares; or
(ii) arise out of or as a result of statements or representations (other than statements or representations contained in the registration statement, prospectus or sales literature for the Variable Insurance Products not supplied by the Sponsor or persons under its control) or unlawful conduct of the Fund, the Advisers or persons under their control, with respect to the sale or distribution of the Variable Insurance Products or Fund shares; or
(iii) arise out of any untrue statement or alleged untrue statement of a material fact contained in a registration statement, prospectus or sales literature covering the Variable Insurance Products (or any amendment or supplement thereto), or the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statement or statements therein not misleading, if such statement or omission was made in reliance upon information furnished to the Company by or on behalf of the Fund; or
(iv) result from any failure by the Sponsor or the Fund to provide the services and furnish the materials under the terms of this Agreement (including a failure to comply with the diversification requirements specified in Article VI of this Agreement); or
(v) arise out of or result from any material breach of any representation and/or warranty made by the Sponsor or the Fund in this Agreement or arise out of or result from any other material breach of this Agreement by the Sponsor or the Fund;
as limited by and in accordance with the provisions of Sections 7.2(b) and 7.2(c) hereof.
(b) The Sponsor shall not be liable under this indemnification provision with respect to any losses, claims, damages, liabilities or litigation to which an Indemnified Party would otherwise be subject by reason of such Indemnified Partys willful misfeasance, bad faith, or gross negligence in the performance of such Indemnified Partys duties or by reason of such Indemnified Partys reckless disregard of obligations and duties under this Agreement or to the Company or the Accounts, whichever is applicable.
(c) The Sponsor shall not be liable under this indemnification provision with respect to any claim made against an Indemnified Party unless such Indemnified Party shall have notified the Sponsor in writing within a reasonable time after the summons or other first legal process giving information of the nature of the claim shall have been served upon such Indemnified Party (or after such Indemnified Party shall have received notice of any such service on any designated agent), but failure to notify the Sponsor of any such claim shall not relieve the Sponsor from any liability which it may have to
the Indemnified Party against whom such action is brought otherwise than on account of this indemnification provision. In any case any such action is brought against the Indemnified Parties, the Sponsor will be entitled to participate, at its own expense, in the defense thereof. The Sponsor also shall be entitled to assume the defense thereof, with counsel satisfactory to the party named in the action. After notice from the Sponsor to such party of the Sponsors election to assume the defense thereof, the Indemnified Party shall bear the fees and expenses of any additional counsel retained by it, and the Sponsor will not be liable to such party under this Agreement for any legal or other expenses subsequently incurred by each party independently in connection with the defense thereof other than reasonable costs of investigation.
(d) The Company agrees promptly to notify the Sponsor of the commencement of any litigation or proceedings against it or any of its officers or directors in connection with the issuance or sale of the Variable Insurance Products or the operation of each Account.
7.3 Indemnification by the Fund
(a) The Fund agrees to indemnify and hold harmless the Company, and each of its directors and officers and each person, if any, who controls the Company within the meaning of Section 15 of the 1933 Act (collectively, the Indemnified Parties for purposes of this Section 7.3) against any and all losses, claims, damages, liabilities (including amounts paid in settlement with the written consent of the Fund) or litigation (including legal and other expenses) to which the Indemnified Parties may become subject under any statute, at common law or otherwise, insofar as such losses, claims damages, liabilities or expenses (or action in respect thereof) or settlements resulting from the gross negligence, bad faith or willful misconduct of the Board or any member thereof, are related to the operations of the Fund and:
(i) arise as a result of any failure by the Fund to provide the services and furnish the materials under the terms of this Agreement (including a failure to comply with the diversification requirements specified in Article VI of this Agreement); or
(ii) arise out of or result from any material breach of any representation and/or warranty made by the Fund in this Agreement or arise out of or result from any other material breach of this Agreement by the Fund;
as limited by and in accordance with the provisions of Sections 7.3(b) and 7.3(c) hereof.
(b) The Fund shall not be liable under this indemnification provision with respect to any losses, claims, damages, liabilities or litigation to which an Indemnified Party would otherwise be subject by reason of such Indemnified Partys willful misfeasance, bad faith, or gross negligence in the performance of such Indemnified Partys duties or by reason of such Indemnified Partys reckless disregard of obligations and duties under this Agreement or to the Company, the Fund, the Sponsor or each Account, whichever is applicable.
(c) The Fund shall not be liable under this indemnification provision with respect to any claim made against an Indemnified Party unless such Indemnified Party shall have notified the Fund in writing within a reasonable time after the summons or other first legal process giving information of the nature of the claim shall have been served upon such Indemnified Party (or after such Indemnified Party shall have received notice of such service on any designated agent), but failure to notify the Fund of any such claim shall not relieve the Fund from any liability which it may have to the Indemnified Party against whom such action is brought otherwise than on account of this indemnification provision. In case any such action is brought against the Indemnified Parties, the Fund will be entitled to participate, at its own expense, in the defense thereof. The Fund also shall be entitled to assume the defense thereof, with counsel
satisfactory to the party named in the action. After notice from the Fund to such party or the Funds election to assume the defense thereof, the Indemnified Party shall bear the fees and expenses of any additional counsel retained by it, and the Fund will not be liable to such party independently in connection with the defense thereof other than reasonable costs of litigation.
(d) The Company and the Sponsor agree promptly to notify the Fund of the commencement of any litigation or proceedings against it or any of its respective officers or directors in connection with this Agreement, the issuance or sale of the Variable Insurance Products, with respect to the operation of an Account, or the sale or acquisition of shares of the Fund.
7.4 Indemnification by the Distributor
(a) The Distributor agrees to indemnify and hold harmless the Company and each of its directors and officers and each person, if any, who controls the Company within the meaning of Section 15 of the 1933 Act (collectively, the Indemnified Parties for purposes of this Section 7.4) against any and all losses, claims, damages, liabilities (including amounts paid in settlement with the written consent of the Sponsor) or litigation (including legal and other expenses) to which the Indemnified Parties may become subject under any statute, at common law or otherwise, insofar as such losses, claims, damages, liabilities or expenses (or actions in respect thereof) or settlements are related to the sale or acquisition of the Funds shares or the Variable Insurance Products and:
(i) arise out of or are based upon any untrue statement or alleged untrue statement of any material fact contained in the registration statement or prospectus or sales literature of the Fund (or any amendment or supplement to any of the foregoing), or arise out of or are based upon the omission or the alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, provided that this agreement to indemnify shall not apply as to any Indemnified Party if such statement or omission or such alleged statement or omission was made in reliance upon and in conformity with information furnished to the Distributor or the Fund by or on behalf of the Company for use in the registration statement or prospectus for the Fund or in sales literature (or any amendment or supplement thereto) or otherwise for use in connection with the sale of the Variable Insurance Products or Fund shares; or
(ii) arise out of or as a result of statements or representations (other than statements or representations contained in the registration statement, prospectus or sales literature for the Variable Insurance Products not supplied by the Distributor or persons under its control) or unlawful conduct of the Fund, the Advisers or persons under their control, with respect to the sale or distribution of the Variable Insurance Products or Fund shares; or
(iii) arise out of any untrue statement or alleged untrue statement of a material fact contained in a registration statement, prospectus or sales literature covering the Variable Insurance Products (or any amendment or supplement thereto), or the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statement or statements therein not misleading, if such statement or omission was made in reliance upon information furnished to the Company by or on behalf of the Fund; or
(iv) result from any failure by the Distributor or the Fund to provide the services and furnish the materials under the terms of this Agreement; or
(v) arise out of or result from any material breach of any representation and/or warranty made by the Distributor or the Fund in this Agreement or arise out of or result from any other material breach of this Agreement by the Distributor of the Fund;
as limited by and in accordance with the provisions of Sections 7.4(b) and 7.4(c) hereof.
(b) The Distributor shall not be liable under this indemnification provision with respect to any losses, claims, damages, liabilities or litigation to which an Indemnified Party would otherwise be subject by reason of such Indemnified Partys willful misfeasance, bad faith, or gross negligence in the performance of such Indemnified Partys duties or by reason of such Indemnified Partys reckless disregard of obligations and duties under this Agreement or to the Company or the Accounts, whichever is applicable.
(c) The Distributor shall not be liable under this indemnification provision with respect to any claim made against an Indemnified Party unless such Indemnified Party shall have notified the Distributor in writing within a reasonable time after the summons or other first legal process giving information of the nature of the claim shall have been served upon such Indemnified Party (or after such Indemnified Party shall have received notice of any such service on any designated agent), but failure to notify the Distributor of any such claim shall not relieve the Distributor from any liability which it may have to the Indemnified Party against whom such action is brought otherwise than on account of this indemnification provision. In any case any such action is brought against the Indemnified Parties, the Distributor will be entitled to participate, at its own expense, in the defense thereof. The Sponsor also shall be entitled to assume the defense thereof, with counsel satisfactory to the party named in the action. After notice from the Distributor to such party of the Distributors election to assume the defense thereof, the Indemnified Party shall bear the fees and expenses of any additional counsel retained by it, and the Distributor will not be liable to such party under this Agreement for any legal or other expenses subsequently incurred by each party independently in connection with the defense thereof other than reasonable costs of investigation.
(d) The Company agrees promptly to notify the Distributor of the commencement of any litigation or proceedings against it or any of its officers or directors in connection with the issuance or sale of the Variable Insurance Products or the operation of each account.
ARTICLE VIII. Applicable Law
8.1 This Agreement shall be construed and the provisions hereof interpreted under and in accordance with the laws of the Commonwealth of Pennsylvania.
8.2 This Agreement shall be subject to the provisions of the 1933, 1934 and 1940 Acts, and the rules and regulations and rulings thereunder, including such exemptions from those statutes, rules and regulations as the SEC may grant, and the terms hereof shall be interpreted and construed in accordance therewith.
ARTICLE IX. Termination
9.1 This Agreement shall continue in full force and effect until the first to occur of:
(a) termination by any party for any reason by sixty (60) days advance written notice delivered to the other parties; or
(b) termination by the Company by written notice to the Fund and the Sponsor with respect to any Portfolio based upon the Companys determination that shares of such Portfolio are not reasonably available to meet the requirements of the Variable Insurance Products; or
(c) termination by the Company by written notice to the Fund and the Sponsor with respect to any Portfolio in the event any of the Portfolios shares are not registered, issued or sold in accordance with applicable state and/or federal law or such law precludes the use of such shares as the underlying investment media of the Variable Insurance Products issued or to be issued by the Company; or
(d) termination by the Company by written notice to the Fund and the Sponsor with respect to any Portfolio in the event that such Portfolio ceases to qualify as a Regulated Investment Company under Subchapter M of the Code or under any successor or similar provision, or if the Company reasonably believes that the Fund may fail to so qualify (in the event of such termination, the Company shall withdraw all assets allocable to the separate accounts from the Portfolio and shall reinvest such assets in a different investment medium, including, but not limited to, another Portfolio of the Fund); or
(e) termination by the Company by written notice to the Fund and the Sponsor with respect to any Portfolio in the event that such Portfolio fails to meet the diversification requirements as specified in Article VI hereof (in the event of such termination, the Company shall withdraw all assets allocable to the separate accounts from the Portfolio and shall reinvest such assets in a different investment medium, including, but not limited to, another Portfolio of the Fund); or
(f) termination by the Fund, the Sponsor, or the Distributor by written notice to the Company, if any of the Fund, the Sponsor, or the Distributor shall determine, in its sole judgment exercised in good faith, that the Company and/or its affiliated companies has suffered a material adverse change in its business, operations, or financial condition since the date of this Agreement or is the subject of material adverse publicity; or
(g) termination by the Company by written notice to the Fund and the Sponsor, if the Company shall determine, in its sole judgment exercised in good faith, that either the Fund, the Sponsor, or the Distributor has suffered a material adverse change in its business, operations or financial condition since the date of this Agreement or is the subject of material adverse publicity.
9.2 Notwithstanding any termination of this Agreement, the Fund and the Sponsor shall, at the option of the Company, continue to make available shares of the Fund pursuant to the terms and conditions of this Agreement, for all Variable Insurance Products in effect on the effective date of termination of this Agreement (hereinafter referred to as Existing Contracts). Specifically, without limitation, the owners of the Existing Contracts shall be permitted to reallocate investments in the Fund, redeem investments in the Fund and/or invest in the Fund upon the making of additional purchase payments under the Existing Contracts.
9.3 The Company shall not redeem Fund shares attributable to the Variable Insurance Products (as opposed to Fund shares attributable to the Companys assets held in the Accounts) except (a) as necessary to implement Variable Insurance Products owner initiated or approved transactions, or (b) as required by state and/or federal laws or regulations or judicial or other legal precedent of general application (hereinafter referred to as a Legally Required Redemption). Upon request, the Company will promptly furnish to the Fund and the Sponsor the opinion of counsel for the Company (which counsel shall be reasonably satisfactory to the Fund and the Sponsor) to the effect that any redemption pursuant to clause (b) above is a Legally Required Redemption. Furthermore, except in cases where permitted under the terms of the Variable Insurance Products, the Company shall not prevent owners of Variable Insurance Products from allocating payments to a Portfolio that was otherwise available under the Variable Insurance Products without first giving the Fund or the Sponsor 90 days notice of its intention to do so.
ARTICLE X. Notices
Any notice shall be sufficiently given when sent by registered or certified mail, overnight courier or facsimile to the other party at the address of such party set forth below or at such other address as such party may from time to time specify in writing to the other party.
If to the Fund: |
Vanguard Variable Insurance Fund |
|
P.O. Box 2600 |
|
Valley Forge, PA 19482 |
|
Attn: Heidi Stam |
|
|
If to the Sponsor: |
The Vanguard Group, Inc. |
|
P.O. Box 2600 |
|
Valley Forge, PA 19482 |
|
Attn: Heidi Stam |
|
|
If to the Distributor: |
Vanguard Marketing Corporation |
|
P.O. Box 2600 |
|
Valley Forge, PA 19482 |
|
Attn: Heidi Stam |
|
|
If to the Company: |
Pacific Life Insurance Company |
|
Law Department |
|
700 Newport Center Drive |
|
Newport Beach, CA 92660 |
|
Attention: General Counsel |
|
Fax No.: (949) 219-3706 |
ARTICLE XI. Miscellaneous
11.1 It is understood and stipulated that neither the shareholders of any Portfolio nor the officers or trustees of the Fund shall be personally liable hereunder.
11.2 Subject to the requirements of the legal process and regulatory authority, each party hereto shall treat as confidential the names and addresses of the owners of the Variable Insurance Products and all information reasonably identified as confidential in writing by any other party hereto and, except as permitted by this Agreement, shall not (unless it has obtained the express written consent of the affected party) disclose, disseminate or utilize such names and addresses and other confidential information until such time as it may come into the public domain.
11.3 The captions in this Agreement are included for convenience of reference only and in no way define or delineate any of the provisions hereof or otherwise affect their construction or effect.
11.4 Unless the context of this Agreement clearly requires otherwise, (a) references to the plural include the singular, the singular the plural, the part the whole, (b) references to any gender include all genders, (c) including has the inclusive meaning frequently identified with the phrase but not limited to, and (d) references to hereunder and herein relate to this Agreement. The section headings in this Agreement are for reference and convenience only and shall not be considered in the interpretation of this Agreement.
11.5 This Agreement and any attachment, exhibit, or schedule hereunder may be executed in two or more counterparts, each of which taken together shall be deemed an original and all of which together shall constitute one and the same instrument. Any of the foregoing shall become binding when any two or more counterparts thereof, individually or taken together, bear the signatures of both all hereto. For purposes hereof, a facsimile copy of any of the foregoing, including the signature pages hereto, shall be deemed an original.
11.6 If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby.
11.7 Each party hereto shall cooperate with each party and all appropriate governmental authorities (including without limitation the SEC, the FINRA and state insurance regulators) and shall permit such authorities reasonable access to its books and records in connection with any investigation or inquiry relating to this Agreement or the transactions contemplated hereby.
11.8 The rights, remedies and obligations contained in this Agreement are cumulative and are in addition to any and all rights, remedies and obligations, at law or in equity, which the parties hereto are entitled to under state and federal laws.
11.9 This Agreement or any of the rights and obligations hereunder may not be assigned by any party without the prior written consent of all parties hereto.
11.10 The Company shall furnish, or cause to be furnished, to the Fund or its designee upon request copies of the following reports:
(a) the Companys Annual Financial Statement on Statutory Basis as soon as practical and in any event within 90 days after the end of each fiscal year; and
(b) any registration statement, prospectus or other materials distributed in connection with the sale of the Variable Insurance Products to the extent such registration statement, prospectus or other materials reference the Fund.
11.11 This Agreement, including any Schedule hereto, may be amended or modified only by written instrument, executed by duly authorized officers of the parties.
IN WITNESS WHEREOF, each of the parties hereto has caused this Agreement to be executed in its name and on its behalf by its duly authorized representative as of the date specified above.
VANGUARD VARIABLE INSURANCE FUND |
THE VANGUARD GROUP, INC. | ||||
|
| ||||
By: |
/s/ Michael Drayo |
|
By: |
/s/ Matthew J. Thomas | |
|
|
| |||
Name: Michael Drayo |
Name: Matthew J. Thomas | ||||
|
| ||||
Title: Assistant Secretary |
Title: FAS Department Head | ||||
|
| ||||
VANGUARD MARKETING CORPORATION |
PACIFIC LIFE INSURANCE COMPANY | ||||
|
| ||||
By: |
/s/ Matthew J. Thomas |
|
By: |
/s/ Jose T. Miscolta | |
|
|
| |||
Name: Matthey J. Thomas |
Name: Jose T. Miscolta | ||||
|
| ||||
Title: FAS Department Head |
Title: Assistant Vice President | ||||
|
| ||||
|
| ||||
|
Attest: |
/s/ Brandon J. Cage | |||
|
By: Brandon J. Cage, Assistant Secretary | ||||
SCHEDULE A
SEPARATE ACCOUNTS AND ASSOCIATED CONTRACTS
Name of Separate Account |
Contracts Funded by Separate Account |
Name of Separate Account |
|
Date Established |
|
Contracts Funded by Separate Account |
Pacific Select Exec Separate Account of PL |
|
May 12, 1988 |
|
Pacific Select VUL 2 |
SCHEDULE B
PORTFOLIOS
(Updated and effective as of September 10, 2019)
The following Portfolios of the Vanguard Variable Insurance Fund shall be made available as investments underlying the Variable Insurance Products, subject to the limitations set forth in Section 2.13(c) hereof:
Equity Income Portfolio
International Portfolio
Total Bond Market Index Portfolio
Short-Term Investment-Grade Portfolio
Capital Growth Portfolio
Diversified Value Portfolio
Total Stock Market Index Portfolio
Mid-Cap Index Portfolio
Real Estate Index Portfolio
This Schedule B to the Participation Agreement dated by and between the parties identified below is updated and effective as of September 10, 2020, and replaces all prior versions of this schedule.
This Schedule B may be executed in two or more counterparts, each of which shall be deemed an original and all of which together shall constitute one and the same instrument. This Schedule B shall become binding when any two or more counterparts thereof, individually or taken together, bear the signatures of all parties hereto. For the purposes hereof, a facsimile copy of this Schedule B, including the signature pages hereto, shall be deemed an original.
VANGUARD VARIABLE INSURANCE FUND |
THE VANGUARD GROUP, INC. | ||||
|
| ||||
By: |
/s/ Michael Drayo |
|
By: |
/s/ Matthew J. Thomas | |
|
|
| |||
Name: Michael Drayo |
Name: Matthew J. Thomas | ||||
|
| ||||
Title: Assistant Secretary |
Title: FAS Department Head | ||||
|
| ||||
VANGUARD MARKETING CORPORATION |
PACIFIC LIFE INSURANCE COMPANY | ||||
|
| ||||
By: |
/s/ Matthew J. Thomas |
|
By: |
/s/ Jose T. Miscolta | |
|
|
| |||
Name: Matthey J. Thomas |
Name: Jose T. Miscolta | ||||
|
| ||||
Title: FAS Department Head |
Title: Assistant Vice President | ||||
|
| ||||
|
Attest: |
/s/ Brandon J. Cage | |||
|
By: Brandon J. Cage, Assistant Secretary | ||||