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 |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
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0001157174 |
Insurance Company Separate Account | ||||||||||||||
Name of Issuer | |||||||||||||||
COLI VUL-7 SERIES ACCOUNT | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
COLORADO | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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COLI VUL-7 SERIES ACCOUNT | |||
Street Address 1 | Street Address 2 | ||
8515 EAST ORCHARD ROAD | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
GREENWOOD VILLAGE | COLORADO | 80111 | 303-737-3000 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Great-West Life & Annuity | Insurance Company | |
Street Address 1 | Street Address 2 | |
8515 E. Orchard Road | ||
City | State/Province/Country | ZIP/PostalCode |
Greenwood Village | COLORADO | 80111 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
The issuer is an insurance company separate account established and maintained by Great-West Life & Annuity Insurance Company pursuant to applicable state law to fund variable life insurance contracts.4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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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 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |||
Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
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7. Type of Filing
New Notice | Date of First Sale | 2002-05-30 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
Equity | X | 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) | |
Variable life insurance contract |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
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Phillip L. Currie, Jr. | 1942867 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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600 36th Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Newport Beach | CALIFORNIA | 92663 | |||||
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Recipient |
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Andrew P. Arigo | 2949837 | ||||||
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Newport Group Securities, Inc. | 29722 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
300 Primera Blvd. | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Lake Mary | FLORIDA | 32746 | |||||
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Recipient |
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Brian A. Donofry | 2820997 | ||||||
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Kestra Investment Services, LLC | 42046 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2600 Kelly Road | Suite 210 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Warrington | PENNSYLVANIA | 18976 | |||||
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Recipient |
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Adam C. Monson | 6037491 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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600 36th St. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Newport Beach | CALIFORNIA | 92663 | |||||
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Recipient |
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Corby N. Dall | 2060321 | ||||||
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Triad Advisors, Inc. | 25803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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8706 South 700 East | Suite 104 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Sandy | UTAH | 84070 | |||||
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Recipient |
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John M. Argue | 2472387 | ||||||
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FAS Corp. | 43536 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4747 W 135th St. | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Leawood | KANSAS | 66224 | |||||
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Recipient |
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Michael E. Nolan | 1157483 | ||||||
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Lincoln Financial Advisors Corporation | 3978 | ||||||
Street Address 1 | Street Address 2 | ||||||
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6720-B Rockledge Drive | Suite 140 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Bethesda | MARYLAND | 20817 | |||||
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Recipient |
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Samir H. Sheth | 2511571 | ||||||
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FAS Corp. | 43536 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4747 W 135th St. | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Leawood | KANSAS | 66224 | |||||
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Recipient |
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Thomas A. Cook | 5577551 | ||||||
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Capacuity Securities, Inc. | 15384 | ||||||
Street Address 1 | Street Address 2 | ||||||
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300 International Parkway | #350 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Lake Mary | FLORIDA | 32746 | |||||
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Recipient |
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Alan C. Bolotin | 2382982 | ||||||
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MML Investors Services, LLC | 10409 | ||||||
Street Address 1 | Street Address 2 | ||||||
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301 Edgewater Place | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Wakefield | MASSACHUSETTS | 01880 | |||||
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Recipient |
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Bo Y. Lee | 3268231 | ||||||
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Kestra Investment Services, LLC | 42046 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2600 Kelly Rd. | Suite 210 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Warrington | PENNSYLVANIA | 18976 | |||||
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Recipient |
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Fred Hill | 3035352 | ||||||
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Executive Services Securities, LLC | 25299 | ||||||
Street Address 1 | Street Address 2 | ||||||
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3445 Peachtree Road NE | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30326 | |||||
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Recipient |
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Rhonda L. Miller | 2817273 | ||||||
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M Holdings Securities, Inc. | 43285 | ||||||
Street Address 1 | Street Address 2 | ||||||
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3333 Michelson Drive | Suite 820B | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Irvine | CALIFORNIA | 92612 | |||||
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Recipient |
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Sean P. Devlin | 2782108 | ||||||
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Newport Group Securities, Inc. | 29722 | ||||||
Street Address 1 | Street Address 2 | ||||||
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300 Primera Blvd. | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Lake Mary | FLORIDA | 32746 | |||||
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Recipient |
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Shirley A. H. McMillan | 2745761 | ||||||
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M Holdings Securities, Inc. | 43285 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1125 NW Couch St. | Suite 900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Portland | OREGON | 97209 | |||||
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Recipient |
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Suzette M. Clark | 3153620 | ||||||
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Lockton Financial Advisors, LLC | 137476 | ||||||
Street Address 1 | Street Address 2 | ||||||
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444 W 47th St. | Suite 900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Kansas City | MISSOURI | 64112 | |||||
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Recipient |
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Brayden D. Dall | 5582011 | ||||||
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Triad Advisors, LLC | 25803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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8706 South 700 East | Suite 104 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Sandy | UTAH | 84070 | |||||
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Recipient |
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David H. Fisher | 1438120 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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3263 River Highlands Way | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dublin | OHIO | 43017 | |||||
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Recipient |
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David S. Hauptman | 2749100 | ||||||
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M Holdings Securities, Inc. | 43285 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1125 NW Couch St | Suite 900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Portland | OREGON | 97209 | |||||
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Recipient |
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Edward C. Houghton, IV | 735581 | ||||||
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M Holdings Securities, Inc. | 43285 | ||||||
Street Address 1 | Street Address 2 | ||||||
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210 N. Campbell | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Paso | TEXAS | 79901 | |||||
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Recipient |
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Gordon T. Chisholm | 2938261 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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150 South Wacker Drive | Suite 2400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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Recipient |
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James M. Foyt | 3152720 | ||||||
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Northwestern Mutual Investment Services, LLC | 2881 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2031 11th Avenue South | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Birmingham | ALABAMA | 35205 | |||||
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Recipient |
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Jeffery P. Peterson | 1333145 | ||||||
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Northwestern Mutual Investment Services, LLC | 2881 | ||||||
Street Address 1 | Street Address 2 | ||||||
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600 Montgomery Street | Suite 1600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94111 | |||||
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Recipient |
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Jeffrey J. Cullen | 4408760 | ||||||
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LPL Financial, LLC | 6413 | ||||||
Street Address 1 | Street Address 2 | ||||||
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25434 Prairiewood Lane | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Shorewood | ILLINOIS | 60404 | |||||
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Recipient |
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Jeffrey M. Gratton | 3193171 | ||||||
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Cetera Advisor Networks, LLV | 13572 | ||||||
Street Address 1 | Street Address 2 | ||||||
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201 Lake Street | Suite 240 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Wayzata | MINNESOTA | 55391 | |||||
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Recipient |
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Jon P. Willhite | 1350985 | ||||||
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UBS Financial Services, Inc. | 8174 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1780 Hughes Landing Blvd. | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
The Woodlands | TEXAS | 77380 | |||||
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Recipient |
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Jonathan A. Resin | 2308703 | ||||||
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RBC Capital Markets, LLC | 31194 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2361 Rosecrans Ave | Suite 460 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Segundo | CALIFORNIA | 90145 | |||||
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Recipient |
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Kenneth J. DePaola | 6312756 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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150 South Wacker Drive | Suite 2400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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Recipient |
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Phillip A. Pickett | 4739154 | ||||||
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Northwestern Mutual Investment Services, LLC | 2881 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2031 11th Avenue South | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Birmingham | ALABAMA | 35205 | |||||
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Recipient |
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Phillip S. Hammit | 2409244 | ||||||
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RBC Capital Markets, LLC | 31194 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2361 Rosecrans Ave. | Suite 460 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Segundo | CALIFORNIA | 90145 | |||||
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Recipient |
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Richard C. Callister | 3185802 | ||||||
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FAS Corp. | 43536 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4747 W 135th St. | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Leawood | KANSAS | 66224 | |||||
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Recipient |
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Robert L. Vaughan | 5054097 | ||||||
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UBS Financial Services, Inc. | 8174 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1780 Hughes Landing Blvd. | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
The Woodlands | TEXAS | 77380 | |||||
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Recipient |
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Russell H. Vandevelde, IV | 2030209 | ||||||
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Northwestern Mutual Investment Services, LLC | 2881 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2031 11th Avenue South | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Brimingham | ALABAMA | 35205 | |||||
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Recipient |
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Whitney Randolph | 5032676 | ||||||
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UBS Financial Services, Inc. | 8174 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4400 Post Oak Parkway | 20th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Houston | TEXAS | 77027 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $1,629,409,055 | USD | ||||
Total Remaining to be Sold | USD |
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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: |
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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 |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Sales comp paid by Ins Co. out of its own resources. The Co. periodically deducts insurance & other contract charges from amounts allocated to the separate account-issuer in accordance with the terms of the applicable variable life insurance contract.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 |
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Clarification of Response (if Necessary):
No gross premiums rec'd under VUL contracts have been or are proposed to be used for pymts to promoter. Ins Co periodically deducts Ins and other contract charges from amts allocated to separate acct issuer under the terms of the applicable VUL contracts.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: |
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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 |
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COLI VUL-7 SERIES ACCOUNT | /s/ Mary C. Maiers | Mary C. Maiers | VP, Investment Accounting & Global Middle Office | 2020-02-07 |
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.