The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
|
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001030011 |
| ||||||||||||||
Name of Issuer | |||||||||||||||
NEW ENGLAND LIFE INSURANCE CO | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
MASSACHUSETTS | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
NEW ENGLAND LIFE INSURANCE CO | |||
Street Address 1 | Street Address 2 | ||
New England Life Insurance Company | 501 Boylston Street | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
Boston | MASSACHUSETTS | 02116-3700 | (617) 578-2000 |
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0000937834 |
| ||||||||||||||
Name of Issuer | |||||||||||||||
METROPOLITAN LIFE INSURANCE CO | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
NEW YORK | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
METROPOLITAN LIFE INSURANCE CO | |||
Street Address 1 | Street Address 2 | ||
200 Park Avenue | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
New York | NEW YORK | 10166-0188 | (212) 578-2211 |
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001099219 |
| ||||||||||||||
Name of Issuer | |||||||||||||||
METLIFE INC | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
METLIFE INC | |||
Street Address 1 | Street Address 2 | ||
200 Park Avenue | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
New York | NEW YORK | 10166-0188 | (212) 578-2211 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Vietri | Michael | J. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Vietri is a director of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Wheeler | William | J. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Wheeler is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Farrell | Michael | K. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Farrell is a director and executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Leland | Alan | C. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Leland is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Lunman | Gene | L. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Lunman is a director of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Toppeta | William | J. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Toppeta is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Kandarian | Steven | A. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Kandarian is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Rosenthal | Jonathan | L. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Rosenthal is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Mullaney | William | J. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Mullaney is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Cammarata | William | D. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Cammarata is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Carlson | Peter | M. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Carlson is a director and executive officer of New England Life Insurance Company, and an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Kelly, Jr. | Alfred | F. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Kelly is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Kinney | Catherine | R. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Kinney is a director of Metlife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Carr | Gwenn | L. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Carr is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Breneman | Brian | |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Breneman is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Morris | Maria | R. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Morris is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Katz | Todd | B. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Katz is a director of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Ragusa | Louis | J. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Ragusa is a director of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Richmond | Catherine | M. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Richmond is a director of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Sollman, Jr. | Robert | E. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Sollman is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Goulart | Steven | J. |
Street Address 1 | Street Address 2 | |
c/o New England Life Insurance Company | 501 Boylston Street | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02116-3700 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Goulart is an executive officer of New England Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Kitts | James | M. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Kilts is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Burwell | Sylvia | Matthews |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Burwell is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Price | Hugh | B. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Price is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Sicchitano | Kenton | J. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Sicchitano is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Hubbard | R. | Glenn |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Hubbard is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Henrikson | C. | Robert |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Henrikson is an executive officer and director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Grise | Cheryl | W. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Grise is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Castro-Wright | Eduardo | |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Castro-Wright is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Satcher | David | |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Satcher is a director MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Wang | Lulu | C. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Wang is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Keane | John | M. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Keane is a director of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Henkel | Kathleen | A. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Ms. Henkel is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.Last Name | First Name | Middle Name |
---|---|---|
Latrenta | Nicholas | D. |
Street Address 1 | Street Address 2 | |
c/o Metropolitan Life Insurance Company | 200 Park Avenue | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10166-0188 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Mr. Latrenta is an executive officer of MetLife, Inc. and Metropolitan Life Insurance Company.4. Industry Group
|
|
|
5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
---|---|---|---|---|
No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
X | Decline to Disclose | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) | Rule 505 | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(i) | X | Rule 506 | ||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(ii) | Securities Act Section 4(5) | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(iii) | Investment Company Act Section 3(c) | |||||||||||||||||||||||||||||||||||
|
7. Type of Filing
New Notice | Date of First Sale | 2009-01-01 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
|
9. Type(s) of Securities Offered (select all that apply)
Equity | Pooled Investment Fund Interests | ||
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | X | Other (describe) | |
Deferred compensation obligations. |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
| ||||||
|
| ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
City | State/Province/Country | ZIP/Postal Code | |||||
|
|
13. Offering and Sales Amounts
Total Offering Amount | USD |
| ||||
Total Amount Sold | $3,580,370 | USD | ||||
Total Remaining to be Sold | USD |
|
Clarification of Response (if Necessary):
14. Investors
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
| ||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $0 | USD |
| ||
Finders' Fees | $0 | USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
|
Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
---|---|---|---|---|
New England Life Insurance Company | /s/ Isaac Torres | Isaac Torres | Secretary | 2011-01-24 |
Metropolitan Life Insurance Company | /s/ Isaac Torres | Isaac Torres | Assistant Secretary | 2011-01-24 |
MetLife Inc | /s/ Christine M. DeBiase | Christine M. DeBiase | Assistant Secretary | 2011-01-24 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.