0001104659-14-012117.txt : 20140221 0001104659-14-012117.hdr.sgml : 20140221 20140221102213 ACCESSION NUMBER: 0001104659-14-012117 CONFORMED SUBMISSION TYPE: NSAR-U PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140221 DATE AS OF CHANGE: 20140221 EFFECTIVENESS DATE: 20140221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Metropolitan Life Separate Account UL CENTRAL INDEX KEY: 0000858997 IRS NUMBER: 135581829 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-U SEC ACT: 1940 Act SEC FILE NUMBER: 811-06025 FILM NUMBER: 14632097 BUSINESS ADDRESS: STREET 1: METROPOLITAN LIFE INSURANCE COMPANY STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2125788717 MAIL ADDRESS: STREET 1: METROPOLITAN LIFE INSURANCE COMPANY STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: METROPOLITAN LIFE SEPARATE ACCOUNT UL DATE OF NAME CHANGE: 19920703 NSAR-U 1 a14-3200_11nsaru.htm NSAR-U

 

FORM N-SAR

SEMI-ANNUAL REPORT FOR

REGISTERED INVESTMENT COMPANIES

Report for six month period ending:

 

Or fiscal year ending:                   12/31/13

 

Is this a transition report?: (Y/N)   N

 

Is this an amendment to a previous filing? (Y/N)   N

 

Those items or sub-items with a box “x” after the item number should be completed only if the answer has changed from the previous filing of this form.

 

1.

A.

Registrant Name:  METROPOLITAN LIFE SEPARATE ACCOUNT UL

 

B.

File Number:  811-6025

 

C.

Telephone Number:  (617) 578-3031

C/O METROPOLITAN LIFE INSURANCE COMPANY

 

 

 

 

 

 

2.

A.

Street:  200 PARK AVENUE

 

 

 

 

B.

City:  NEW YORK

C.  State:  NY

D.  Zip Code: 10166

Zip Ext:

 

E.

Foreign Country:  N/A

 

 

 

 

3.

Is this the first filing on this form by Registrant? (Y/N)

N

 

 

 

 

 

4.

Is this the last filing on this form by Registrant? (Y/N)

N

 

 

 

 

 

5.

Is Registrant a small business investment company (SBIC)? (Y/N)

 

 

 

[If answer is “Y” (Yes), complete only Items 89 through 110.]

N

 

 

 

 

 

6.

Is Registrant a unit investment trust (UIT)? (Y/N)

 

 

 

[If answer is “Y” (Yes) complete only Items 111 through 132.]

Y

 

 

 

 

 

7.

A.

Is Registrant a series or multiple portfolio company? (Y/N)

 

 

 

 

[If answer is “N” (No), go to Item B.]

 

 

 

 

 

 

 

B.

How many separate series or portfolios did Registrant have at the end of the period?

 

 

 

01



 

For period ending:

12/31/13

 

  If filing more than one

File Number

811-6025

 

  Page 47, “X” box:           o

 

UNIT INVESTMENT TRUSTS

 

111.

A.

x

Depositor Name:

 

B.

x

File Number (if any)

 

 

 

C.

x

City:  

State

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

111.

A.

x

Depositor Name:

 

B.

x

File Number (if any):

 

 

 

 

C.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

 

 

 

112.

A.

x

Sponsor Name:

 

B.

x

File Number (if any):

 

 

 

 

C.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

 

 

 

112.

A.

x

Sponsor Name:

 

B.

x

File Number (if any):

 

 

 

 

C.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

47



 

For period ending:

12/31/13

 

  If filing more than one

File Number

811-6025

 

  Page 48, “X” box:           o

 

113.

A.

x

Trustee Name:

 

B.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

 

 

 

113.

A.

x

Trustee Name:

 

B.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

114.

A.

x

Principal Underwriter Name:

 

B.

x

File Number:

 

 

 

 

C.

x

City:  New York

State: NY

Zip Code: 10036

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

114.

A.

x

Principal Underwriter Name:

 

B.

x

File Number:

 

 

 

 

C.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

115.

A.

x

Independent Public Accountant Name:

 

B.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

 

 

 

 

 

 

115.

A.

x

Independent Public Accountant Name:

 

B.

x

City:  

State:

Zip Code:

Zip Ext.:

 

 

x

Foreign Country:

 

Foreign Postal Code:

 

 

48



 

 

For period ending

12/31/13

 

  If filing more than one

File Number

811-6025

 

  Page 49, “X” box:           o

 

116.

Family of investment companies information:

 

 

 

 

 

 

 

A.

x

Is Registrant part of a family of investment companies? (Y/N)

 

 

 

 

 

 

 

B.

x

Identify the family in 10 letters

 

 

 

 

(NOTE: In filing this form, use this identification consistently for all investment companies in family. This designation is for purposes of this form only.)

 

 

 

 

 

 

117.

A.

x

Is Registrant a separate account of an insurance company? (Y/N)

 

 

 

 

 

 

 

 

 

If answer is “Y” (Yes), are any of the following types of contracts funded by the Registrant?:

 

 

 

 

 

 

 

B.

x

Variable annuity contracts? (Y/N)

 

 

 

 

 

 

 

C.

x

Scheduled premium variable life contracts? (Y/N)

 

 

 

 

 

 

 

D.

x

Flexible premium variable life contracts? (Y/N)

 

 

 

 

 

 

 

E.

x

Other types of insurance products registered under the Securities Act of 1933? (Y/N)

 

 

 

 

 

 

118:

x

State the number of series existing at the end of the period that had securities registered under the Securities Act of 1933

 

 

 

 

 

119.

x

State the number of new series for which registration statements under the Securities Act of 1933 became effective during the period

 

 

 

 

 

120.

x

State the total value of the portfolio securities on the date of deposit for the new series included in Item 119 ($000’s omitted)

$

 

 

 

 

121.

x

State the number of series for which a current prospectus was in existence at the end of the period

 

 

 

 

 

122.

x

State the number of existing series for which additional units were registered under the Securities Act of 1933 during the current period

 

 

49



 

For period ending

12/31/13

 

  If filing more than one

File Number

811-6025

 

  Page 50, “X” box:           o

 

123.

x

State the total value of the additional units considered in answering Item 122 ($000’s omitted)

$300,151

 

 

 

 

124.

x

State the total value of units of prior series that were placed in the portfolios of subsequent series during the current period (the value of these units is to be measured on the date they were placed in the subsequent series) ($000’s omitted)

$

 

 

 

 

125.

x

State the total dollar amount of sales loads collected (before reallowances to other brokers or dealers) by Registrant’s principal underwriter and any underwriter which is an affiliated person of the principal underwriter during the current period solely from the sale of units of all series of Registrant ($000’s omitted)

$13,638

 

 

 

 

126.

 

Of the amount shown in Item 125, state the total dollar amount of sales loads collected from secondary market operations in Registrant’s units (include the sales loads, if any, collected on units of a prior series placed in the portfolio of a subsequent series.) ($000’s omitted)

$0

 

 

 

 

127.

 

List opposite the appropriate description below the number of series whose portfolios are invested primarily (based upon a percentage of NAV) in each type of security shown, the aggregate total assets at market value as of a date at or near the end of the current period of each such group of series and the total income distributions made by each such group of series during the current period (excluding distributions of realized gains, if any):

 

 

 

 

 

 

Number

 

Total Assets

 

Total Income

 

 

 

 

 

of Series

 

($000’s

 

Distributions

 

 

 

 

 

Investing

 

omitted)

 

(000’s omitted)

 

 

 

 

 

 

 

 

 

 

 

A.

 

U.S. Treasury direct issue

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

B.

 

U.S. Government agency

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

C.

 

State and municipal tax-free

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

D.

 

Public utility debt

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

E.

 

Brokers or dealers debt or debt of brokers’ or dealers’ parent

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

F.

 

All other corporate intermediate & long-term debt

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

G.

 

All other corporate short-term debt

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

H.

 

Equity securities of brokers or dealers or parents of brokers or dealers

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

I.

 

Investment company equity securities

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

J.

 

All other equity securities

 

1

 

$

4,274,493

 

$

107,643

 

 

 

 

 

 

 

 

 

 

 

K.

 

Other securities

 

 

 

$

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

L.

 

Total assets of all series of registrant

 

1

 

$

4,274,493

 

$

107,643

 

 

50



 

 

For period ending

12/31/13

 

  If filing more than one

File Number

811-6025

 

  Page 50, “X” box:           o

 

128.

x

Is the timely payment of principal and interest on any of the portfolio securities held by any of Registrant’s series at the end of the current period insured or guaranteed by an entity other than the issuer? (Y/N)

 

 

 

[If answer is “N” (No), go to Item 131.]

 

 

 

 

 

129.

x

Is the issuer of any instrument covered in Item 128 delinquent or in default as to payment of principal or interest at the end of the current period? (Y/N)

 

 

 

[If answer is “N” (No), go to Item 131.]

 

 

 

 

 

130.

x

In computations of NAV or offering price per unit, is any part of the value attributed to instruments identified in Item 129 derived from insurance or guarantees? (Y/N)

 

 

 

 

 

131.

 

Total expenses incurred by all series of Registrant during the current reporting period ($000’s omitted)

$253,764

 

 

 

 

132.

x

List the “811” (Investment Company Act of 1940) registration number for all Series of Registrant that are being included in this filing:

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

 

 

 

 

811-

811-

811-

811-

811-

 

51



 

Signature Page

 

The following form of signature shall follow items 79, 85, 88, 104, 110 or 132 as appropriate.

 

This report is signed on behalf of the registrant (or depositor or trustee).

City of Boston

The Commonwealth of Massachusetts

Date: February 21, 2014

 

Name of Registrant, Depositor, or Trustee:

Metropolitan Life Separate Account UL of Metropolitan Life Insurance Company

 

 

By:

/s/ Robert L. Staffier, Jr.

 

By (Name and Title)

 

Robert L. Staffier, Jr.

 

Vice President and Actuary

 

Metropolitan Life Insurance Company

 

 

 

By:

/s/ Christopher A. Kremer

 

Witness (Name and Title)

 

Christopher A. Kremer

 

Assistant Vice President and Actuary