NSAR-U 1 d132459dnsaru.htm HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT FIVE Hartford Life Insurance Company Separate Account Five

FORM N-SAR

SEMI-ANNUAL REPORT

FOR REGISTERED INVESTMENT COMPANIES

 

Report for six month period ending:

                        or fiscal year ending:

      

       /     /     (a)

12/31/2015 (b)

   
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 “[/]” after the item number should be completed only if the answer has changed from the previous filing on this form:
1.    A.    Registrant Name:                Hartford Life Insurance Company Separate Account Five
   B.    File Number:                811-08772
   C.    Telephone Number:                860-547-3224
2.    A.    Street:                PO Box 2999
   B.    City: Hartford    C.    State: CT                                     D.    Zip Code: 06104    Zip Ext: 2999
   E.    Foreign Country:                Foreign Postal Code:   
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)?

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

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

[If answer is “Y” (Yes) complete only items 111 through 133.]

            (Y/N)  Y            

 

For period ending 12/31/2015        

 

File number 811- 08772

      

If filing more than one

 

Page 47, “X”:             ¨

     

UNIT INVESTMENT TRUSTS

 

111.   A.   [/]    Depositor Name:                                 
  B.   [/]    File Number (If any):                             
  C.   [/]    City:                         State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                             Foreign Postal Code:                                     
111.   A.   [/]    Depositor Name:                                 
  B.   [/]    File Number (If any):                                 
  C.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            
112.   A.   [/]    Sponsor Name:                                 
  B.   [/]    File Number (If any):                                 
  C.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            
112.   A.   [/]    Sponsor Name:                                 
  B.   [/]    File Number (If any):                                 
  C.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            

 

For period ending 12/31/2015        

 

File number 811- 08772

      

If filing more than one

 

Page 48, “X”:             ¨

     

 

113.   A.   [/]    Trustee Name:                                 
  B.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            
113.   A.   [/]    Trustee Name:                                 
  B.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            
114.   A.   [/]    Principal Underwriter Name:                                                          
  B.   [/]    File Number:                                 
  C.   [/]    City:                      State:              Zip Code:              Zip Ext:             
    [/]    Foreign Country:                            Foreign Postal Code:                            
114.   A.   [/]    Principal Underwriter Name:                                 
  B.   [/]    File Number:                                 
  C.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                            Foreign Postal Code:                            
115.   A.   [/]    Independent Public Accountant Name:                                         
  B.   [/]    City:                         State:              Zip Code:             Zip Ext:             
    [/]    Foreign Country:                             Foreign Postal Code:                                     
115.   A.   [/]    Independent Public Accountant Name:                                         
  B.   [/]    City:                          State:             Zip Code:                 Zip Ext:                     
    [/]    Foreign Country:                             Foreign Postal Code:                                     

 

For period ending 12/31/2015        

 

File number 811- 08772

      

If filing more than one

 

Page 49, “X”:             ¨

     

 

116.    Family of investment companies information:
   A.    [/]    Is Registrant part of a family of investment companies?(Y/N)             
   B.    [/]    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.    [/]    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.    [/]    Variable annuity contracts?(Y/N):             
   C.    [/]    Scheduled premium variable life contracts:             
   D.    [/]    Flexible premium variable life contracts:             
   E.    [/]    Other types of insurance products registered under the Securities Acts of 1933?(Y/N)             

118.

       [/]    State the number of series existing at the end of the period that had securities registered under the Securities Act of 1933               
119.       [/]    State the number of new series for which registration statements under the Securities Act of 1933 became effective during the period                                                                                           
120.       [/]   

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.       [/]    State the number of series for which a current prospectus was in existence at the end of the period                     
122.       [/]    State the number of existing series for which additional units were registered under the Securities Act of 1933 during the period                                                          

 

For period ending 12/31/2015        

 

File number 811- 08772

      

If filing more than one

 

Page 50, “X”:             ¨

     

 

123.       [/]    State the total value of the additional units considered in answering item 122 ($000’s omitted)                    
124.       [/]   

State the total value of units 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.       [/]   

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)                    

126.          Of the amounts 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)                    
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 of

Series
Investing

   

Total Assets

($000’s
omitted)

   

Total Income

Distributions

($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 intermed. & 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       $231,195    $3,563
K.    Other securities         
L.    Total assets of all series of registrant       $231,195    $3,563

 

For period ending 12/31/2015        

 

File number 811- 08772

      

If filing more than one

 

Page 51, “X”:             ¨

     

 

128.       [/]   

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)                                      

129.       [/]    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)  N                                         
130.       [/]    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) N                                
131.          Total expenses incurred by all series of Registrant during the current reporting period ($000’s omitted) $0
132.       [/]    List the “811” (Investment Company Act of 1940) registration number for all Series of Registrant that are being included in this filing:

 

811-08772    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-

 

133.          If the Registrant has divested itself of securities in accordance with Section 13(c) of the Investment Company Act of 1940 following the filing of its last report on Form N-SAR and before filing of the current report, disclose the following information for each such divested security: No
           

A. Name of the issuer;

 

B. Exchange ticker symbol;

 

C. CUSIP number;

 

D. Total number of shares or, for debt securities, principal amount divested;

 

E. Date(s) that the securities were divested;

 

F. If the Registrant holds any securities of the issuer on the date of filing, the exchange ticker symbol; CUSIP number; and the total number of shares or, for debt securities, principal amount held on the date of filing; and

 

G. Name of the statue that added the provision of Section 13(c) in accordance with which the securities were divested.

 

This item 133 shall terminate one year after the first date on which all statutory provisions that underlie Section 13(c) of the Investment Company Act of 1940 have terminated.

 

This report is signed on behalf of the registrant.

 

City of: Newark    State of: New Jersey    Date: February 26, 2016

 

The Prudential Insurance Company of America, as agent for Hartford Life Insurance Company

BY:

    /S/ Kevin Chaillet    WITNESS:    /S/ Mary Werth-Russo
  

Kevin Chaillet

Vice President

Financial Reporting

      

Mary Werth-Russo

Vice President

Separate Accounts