Instruction.
In the case of group contracts, each participant
certificate should
be counted as an individual contract.
|
For each security that has a contract identification
number
assigned
pursuant to rule 313 of Regulation S-T (17 CFR
232.313),
provide
the following information as of the end of the
reporting
period: |
Contact security Record:
1 |
a. Full name of the security: | FSA Advisor |
b. Contract identification number: | C000111587 |
c. Total assets attributable to the security: | 1,444,924.56 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 6,850.00 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
2 |
a. Full name of the security: | Polaris Advantage II NY (NG) |
b. Contract identification number: | C000111565 |
c. Total assets attributable to the security: | 7,174,961.37 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 847,120.78 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
3 |
a. Full name of the security: | Polaris Advantage II NY (NG) |
b. Contract identification number: | C000111564 |
c. Total assets attributable to the security: | 7,174,961.37 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 847,120.79 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
4 |
a. Full name of the security: | Polaris Advantage NY |
b. Contract identification number: | C000111569 |
c. Total assets attributable to the security: | 5,374,845.18 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 395,613.92 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
5 |
a. Full name of the security: | Polaris Advantage NY |
b. Contract identification number: | C000111551 |
c. Total assets attributable to the security: | 5,374,845.18 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 395,613.93 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
6 |
a. Full name of the security: | Polaris Choice III NY (G) |
b. Contract identification number: | C000111575 |
c. Total assets attributable to the security: | 32,485,612.53 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 2,655,035.20 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 173,513.75 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 2 |
Contact security Record:
7 |
a. Full name of the security: | Polaris Choice III NY (NG) |
b. Contract identification number: | C000111561 |
c. Total assets attributable to the security: | 32,485,612.53 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 2,655,035.21 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 173,513.75 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 2 |
Contact security Record:
8 |
a. Full name of the security: | Polaris Choice IV NY |
b. Contract identification number: | C000111547 |
c. Total assets attributable to the security: | 298,425,801.72 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 22,786,864.33 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 1,510,113.62 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 11 |
Contact security Record:
9 |
a. Full name of the security: | Polaris Choice NY |
b. Contract identification number: | C000111574 |
c. Total assets attributable to the security: | 15,256,134.93 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 715,340.76 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
10 |
a. Full name of the security: | Polaris II A-Class Platinum Series NY (G) |
b. Contract identification number: | C000111583 |
c. Total assets attributable to the security: | 7,429,442.71 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 41,228.01 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 691,351.34 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 98,168.87 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
11 |
a. Full name of the security: | Polaris II A-Class Platinum Series NY (NG) |
b. Contract identification number: | C000111571 |
c. Total assets attributable to the security: | 7,429,442.71 |
d. Number of contracts sold during the reporting
period:
| 1 |
e. Gross premiums received during the reporting
period:
| 41,228.01 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 82,456.02 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 1 |
h. Amount of contract value redeemed during the
reporting period
| 691,351.35 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 98,168.87 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 1 |
Contact security Record:
12 |
a. Full name of the security: | Polaris II NY (G) |
b. Contract identification number: | C000111582 |
c. Total assets attributable to the security: | 18,338,784.25 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 3,560,555.50 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 302,462.12 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 2 |
Contact security Record:
13 |
a. Full name of the security: | Polaris II NY (NG) |
b. Contract identification number: | C000111559 |
c. Total assets attributable to the security: | 18,338,784.25 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 3,560,555.51 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 302,462.13 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 3 |
Contact security Record:
14 |
a. Full name of the security: | Polaris II NY Rewards (NG) |
b. Contract identification number: | C000111558 |
c. Total assets attributable to the security: | 18,338,784.25 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 3,376,401.05 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 1,443,869.38 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 4 |
Contact security Record:
15 |
a. Full name of the security: | Polaris II NY Rewards (G) |
b. Contract identification number: | C000111581 |
c. Total assets attributable to the security: | 18,338,784.25 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 3,376,401.05 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 1,443,869.37 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 4 |
Contact security Record:
16 |
a. Full name of the security: | Polaris NY Rewards (G) |
b. Contract identification number: | C000111580 |
c. Total assets attributable to the security: | 73,421,504.91 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 3,175.00 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 7,683,034.44 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 2,569,491.00 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 17 |
Contact security Record:
17 |
a. Full name of the security: | Polaris Select Investor NY |
b. Contract identification number: | C000147989 |
c. Total assets attributable to the security: | 8,124,668.73 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 3,040,187.98 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 1,079,865.27 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 4 |
Contact security Record:
18 |
a. Full name of the security: | WM Diversified Strategies III NY |
b. Contract identification number: | C000111591 |
c. Total assets attributable to the security: | 4,589,737.29 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 469,136.58 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 208,170.41 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 1 |
Contact security Record:
19 |
a. Full name of the security: | ICAP II NY |
b. Contract identification number: | C000217283 |
c. Total assets attributable to the security: | 2,017,396.63 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 86,935.27 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 0 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 0 |
Contact security Record:
20 |
a. Full name of the security: | Vista Capital Advantage NY |
b. Contract identification number: | C000217284 |
c. Total assets attributable to the security: | 2,436,322.23 |
d. Number of contracts sold during the reporting
period:
| 0 |
e. Gross premiums received during the reporting
period:
| 0 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 0 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 0 |
h. Amount of contract value redeemed during the
reporting period
| 491,802.03 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 159,520.67 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 1 |
Contact security Record:
21 |
a. Full name of the security: | Polaris Preferred Solution NY Rewards & Early Access (NG) |
b. Contract identification number: | C000111553 |
c. Total assets attributable to the security: | 65,555,721.04 |
d. Number of contracts sold during the reporting
period:
| 12 |
e. Gross premiums received during the reporting
period:
| 425,009.07 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 323,513.26 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 2 |
h. Amount of contract value redeemed during the
reporting period
| 6,819,120.91 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 620,356.49 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 2 |
Contact security Record:
22 |
a. Full name of the security: | Polaris Platinum III NY with Early Access |
b. Contract identification number: | C000111545 |
c. Total assets attributable to the security: | 2,431,912,987.51 |
d. Number of contracts sold during the reporting
period:
| 659 |
e. Gross premiums received during the reporting
period:
| 24,804,261.66 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 8,866,288.07 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 73 |
h. Amount of contract value redeemed during the
reporting period
| 189,917,851.31 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 18,193,325.66 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 108 |
Contact security Record:
23 |
a. Full name of the security: | Polaris Retirement Protector NY |
b. Contract identification number: | C000111567 |
c. Total assets attributable to the security: | 257,302,626.23 |
d. Number of contracts sold during the reporting
period:
| 8 |
e. Gross premiums received during the reporting
period:
| 1,673,508.29 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 1,127,208.29 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 3 |
h. Amount of contract value redeemed during the
reporting period
| 22,118,983.07 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 2,103,045.29 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 15 |
Contact security Record:
24 |
a. Full name of the security: | Polaris Platinum O-Series NY FLEX |
b. Contract identification number: | C000111549 |
c. Total assets attributable to the security: | 40,040,251.97 |
d. Number of contracts sold during the reporting
period:
| 25 |
e. Gross premiums received during the reporting
period:
| 2,381,040.49 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 601,040.49 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 5 |
h. Amount of contract value redeemed during the
reporting period
| 1,533,345.43 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 136,045.72 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 1 |
Contact security Record:
25 |
a. Full name of the security: | Polaris Preferred Solution NY FLEX |
b. Contract identification number: | C000134223 |
c. Total assets attributable to the security: | 65,555,721.04 |
d. Number of contracts sold during the reporting
period:
| 13 |
e. Gross premiums received during the reporting
period:
| 425,009.07 |
f. Gross premiums received pursuant to section 1035
exchanges:
| 323,513.26 |
g. Number of contracts affected in connection with
premiums paid in pursuant to section 1035 exchanges:
| 3 |
h. Amount of contract value redeemed during the
reporting period
| 6,819,120.91 |
i. Amount of contract value redeemed pursuant to
section 1035 exchanges:
| 620,356.50 |
j. Number of contracts affected in connection with
contract value redeemed pursuant to section 1035 exchanges:
| 3 |