File No. 333-218728
WASHINGTON, D.C. 20549
As soon as practicable after this Registration Statement becomes effective.
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
1. Facing Sheet of the Registration Statement
2. Part C to the Registration Statement (including Signature page)
3. Exhibit (16) to Item 16 to the Registration Statement
This Pre-Effective Amendment is being filed solely to file Powers of Attorney, dated July 13, 2017 as Exhibit (16) to Item 16 to this Registration Statement on Form N-14 (the "Registration Statement").
Part A and Part B are incorporated by reference to Part A and Part B, respectively, of the Registration Statement on Form N-14 of Jackson Variable Series Trust (the "Registrant") under the Securities Act of 1933, as amended, filed with the Securities and Exchange Commission (the "SEC") on June 14, 2017, amended on June 19, 2017 and June 26, 2017 (File No. 333-218728).
Item 16. Exhibits | |
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(1) | | | Amended and Restated Agreement and Declaration of Trust of Registrant dated April 27, 2015.11 | |
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(2) | | | Amended and Restated By-Laws of Registrant dated March 8, 2017.15 | |
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(3) | | | Not Applicable | |
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(4) | | | Plan of Reorganization; filed as Appendix A to the Proxy Statement and Prospectus set forth as Part A of this Registration Statement on Form N-14. | |
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(5) | | | Provisions of instruments defining the rights of holders of the securities being registered are contained in the Registrant's Amended and Restated Declaration of Trust and By-laws (Exhibits (1) and (2)). | |
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(6) | (a) | | Jackson National Asset Management, LLC ("JNAM") | |
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| | (i) | Investment Advisory and Management Agreement between JNAM and Registrant dated April 27, 2015.11 | |
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| | (ii) | Amendment effective September 28, 2015 to the Advisory and Management Agreement between JNAM and Registrant dated April 27, 2015.13 | |
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| | (iii) | Amendment effective April 25, 2016 to the Advisory and Management Agreement between JNAM and Registrant dated April 27, 2015.14 | |
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(7) | (a) | (i) | Amended and Restated Distribution Agreement between Registrant and Jackson National Life Distributors LLC ("JNLD"), effective September 10, 2012.5 | |
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| | (ii) | Amendment, effective April 29, 2013, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.6 | |
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| | (iii) | Amendment, effective September 16, 2013, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.7 | |
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| | (iv) | Amendment, effective December 31, 2013, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012. 9 | |
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| | (v) | Amendment, effective April 28, 2014, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.9 | |
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| | (vi) | Amendment, effective September 15, 2014, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.10 | |
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| | (vii) | Amendment, effective April 27, 2015, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.11 | |
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| | (viii) | Amendment, effective September 28, 2015, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.13 | |
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| | (ix) | Amendment, effective April 25, 2016, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.14 | |
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| | (x) | Amendment, effective October 1, 2016, to Amended and Restated Distribution Agreement between Registrant and JNLD dated September 10, 2012.15 | |
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(8) | | | Not Applicable. | |
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(9) | (a) | (i) | Master Global Custody Agreement between Curian Series Trust, an affiliated company of the Registrant, and JPMorgan Chase Bank, N.A. ("JPMorgan Chase") dated March 24, 2011.1 | |
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| | (ii) | Mutual Fund Rider, dated March 24, 2011, to the Global Custody Agreement between Curian Series Trust, an affiliated company of the Registrant, and JPMorgan Chase dated March 24, 2011.1 | |
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| | (iii) | Addendum, dated November 30, 2011, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.2 | |
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| | (iv) | Amendment, effective March 1, 2012, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.4 | |
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| | (v) | Amendment, effective September 10, 2012, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.5 | |
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| | (vi) | Amendment, effective December 14, 2012, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.6 | |
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| | (vii) | Amendment, effective April 29, 2013, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.6 | |
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| | (viii) | Amendment, effective September 16, 2013, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.7 | |
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| | (ix) | Amendment, effective April 28, 2014, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.9 | |
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| | (x) | Amendment, effective September 15, 2014, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.10 | |
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| | (xi) | Amendment, effective April 27, 2015, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.11 | |
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| | (xii) | Amendment, effective June 19, 2015, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.13 | |
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| | (xiii) | Amendment, effective July 1, 2015, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.13 | |
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| | (xiv) | Amendment, effective September 28, 2015, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.13 | |
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| | (xv) | Amendment, effective April 20, 2016, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.14 | |
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| | (xvi) | Amendment, effective April 25, 2016, to Master Global Custody Agreement between Registrant and JPMorgan Chase dated March 24, 2011.14 | |
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(10) | (a) | (i) | Distribution Plan, effective September 10, 2012.5 | |
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| | (ii) | Amendment to Distribution Plan, dated September 11, 2012.6 | |
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| | (iii) | Amendment to Distribution Plan, effective April 29, 2013.6 | |
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| | (iv) | Amendment to Distribution Plan, effective September 16, 2013.7 | |
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| | (v) | Amendment to Distribution Plan, effective April 28, 2014.9 | |
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| | (vi) | Amendment to Distribution Plan, effective September 15, 2014.10 | |
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| | (vii) | Amendment to Distribution Plan, effective April 27, 2015.11 | |
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| | (viii) | Amendment to Distribution Plan, effective September 28, 2015.13 | |
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| | (ix) | Amendment to Distribution Plan, effective April 25, 2016.14 | |
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| | (x) | Amendment to Distribution Plan, effective October 1, 2016.15 | |
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(11) | | | Opinion and Consent of Counsel regarding legality of shares being registered, incorporated by reference to Registrant's Registration Statement filed on Form N-14.16 | |
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(12) | | | Opinion and Consent of Counsel regarding tax matters and consequences to members discussed in the Prospectus/Proxy Statement, to be filed by amendment. | |
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(13) | (a) | (i) | Administration Agreement between Registrant and JNAM dated April 27, 2015.11 | |
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| | (ii) | Amendment effective September 28, 2015 to the Administration Agreement between Registrant and JNAM dated April 27, 2015.13 | |
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| | (iii) | Amendment effective October 1, 2015 to the Administration Agreement between Registrant and JNAM dated April 27, 2015.13 | |
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| | (iv) | Amendment effective April 25, 2016 to the Administration Agreement between Registrant and JNAM dated April 27, 2015.14 | |
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| | (v) | Amendment effective September 14, 2016 to the Administration Agreement between Registrant and JNAM dated April 27, 2015.15 | |
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| (b) | (i) | Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.2 | |
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| | (ii) | Amendment, effective March 1, 2012, to the Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.4 | |
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| | (iii) | Amendment, effective September 10, 2012, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.5 | |
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| | (iv) | Amendment, effective April 29, 2013, to the Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.6 | |
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| | (v) | Amendment, effective August 28, 2013, to the Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.8 | |
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| | (vi) | Amendment, effective September 16, 2013, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.7 | |
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| | (vii) | Amendment, effective April 28, 2014, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.9 | |
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| | (viii) | Amendment, effective August 21, 2014, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.10 | |
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| | (ix) | Amendment, effective September 15, 2014, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.10 | |
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| | (x) | Amendment, effective April 27, 2015, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.11 | |
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| | (xi) | Amendment, effective September 28, 2015, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.13 | |
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| | (xii) | Amendment, effective April 25, 2016, to Transfer Agency Agreement between Registrant and JNAM dated November 29, 2011.14 | |
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| (c) | | Anti-Money Laundering Agreement between Registrant and Jackson National Life, dated January 1, 2012.2 | |
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| (d) | (i) | Master InterFund Lending Agreement, dated as April 27, 2015, by and among the series listed of the Registrant, JNL Series Trust, JNL Investors Series Trust, JNL Variable Fund LLC, JNL Strategic Income Fund LLC, JNAM, Curian Series Trust, and Curian Capital, LLC.11 | |
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| | (ii) | Amendment, effective February 2, 2016, to Master Interfund Lending Agreement dated April 27, 2015.14 | |
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| (e) | | Initial Capital Agreement, dated November 30, 2011, between Registrant and Jackson National Life.2 | |
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| (f) | (i) | Amended and Restated Contract Owner Information Agreement, pursuant to Rule 22c-2 between Registrant and Jackson National Life Insurance Company and its Separate Accounts, dated April 1, 2016.14 | |
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| (g) | (i) | Amended and Restated Contract Owner Information Agreement, pursuant to Rule 22c-2 between Registrant and Jackson National Life Insurance Company of New York and its Separate Accounts, dated April 1, 2016.14 | |
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(14) | | | Consent of Auditors, incorporated by reference to Registrant's Registration Statement filed on Form N-14.16 | |
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(15) | | | None. | |
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(16) | | | Powers of Attorney, dated July 13, 2017, attached hereto. | |
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(17) | | | Form of Voting Instructions and Proxy Card, incorporated by reference to Registrant's Registration Statement filed on Form N-14.16 | |
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1 | Incorporated by reference to Registrant's Pre-Effective Amendment No. 1 to its registration statement on Form N-1A (333-177369; 811-22613) ("Registration Statement") filed with the Securities and Exchange Commission ("SEC") on October 19, 2011. | |
2 | Incorporated by reference to Registrant's Pre-Effective Amendment No. 2 to its Registration Statement on Form N-1A filed with the SEC on January 26, 2012. | |
3 | Incorporated by reference to Registrant's Post-Effective Amendment No. 2 to its Registration Statement on Form N-1A filed with the SEC on March 1, 2012. | |
4 | Incorporated by reference to Registrant's Post-Effective Amendment No. 4 to its Registration Statement on Form N-1A filed with the SEC on April 26, 2012. | |
5 | Incorporated by reference to Registrant's Post-Effective Amendment No. 9 to its Registration Statement on Form N-1A filed with the SEC on August 24, 2012. | |
6 | Incorporated by reference to Registrant's Post-Effective Amendment No. 13 to its Registration Statement on Form N-1A filed with the SEC on April 25, 2013. | |
7 | Incorporated by reference to Registrant's Post-Effective Amendment No. 17 to its Registration Statement on Form N-1A filed with the SEC on September 13, 2013. | |
8 | Incorporated by reference to Registrant's Post-Effective Amendment No. 21 to its Registration Statement on Form N-1A filed with the SEC on March 14, 2014. | |
9 | Incorporated by reference to Registrant's Post-Effective Amendment No. 22 to its Registration Statement on Form N-1A filed with the SEC on April 25, 2014. | |
10 | Incorporated by reference to Registrant's Post-Effective Amendment No. 24 to its Registration Statement on Form N-1A filed with the SEC on January 16, 2015. | |
11 | Incorporated by reference to Registrant's Post-Effective Amendment No. 26 to its Registration Statement on Form N-1A filed with the SEC on April 24, 2015. | |
12 | Incorporated by reference to Registrant's Post-Effective Amendment No. 28 to its Registration Statement on Form N-1A filed with the SEC on June 9, 2015. | |
13 | Incorporated by reference to Registrant's Post-Effective Amendment No. 31 to its Registration Statement on Form N-1A filed with the SEC on September 25, 2015. | |
14 | Incorporated by reference to Registrant's Post-Effective Amendment No. 33 to its Registration Statement on Form N-1A filed with the SEC on April 22, 2016. | |
15 | Incorporated by reference to Registrant's Post-Effective Amendment No. 35 to its Registration Statement on Form N-1A filed with the SEC on April 21, 2017. | |
16 | Incorporated by reference to Registrant's Registration Statement filed on Form N-14 filed with the SEC on June 26, 2017. | |
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(1) The undersigned Registrant agrees that prior to any public reoffering of the securities registered through the use of a prospectus which is a part of this Registration Statement by any person or party who is deemed to be an underwriter within the meaning of Rule 145(c) under the Securities Act of 1933, as amended (the "1933 Act"), the reoffering prospectus will contain the information called for by the applicable registration form for reofferings by persons who may be deemed underwriters, in addition to the information called for by the other items of the applicable form.
(2) The undersigned Registrant agrees that every prospectus that is filed under paragraph (1) above will be filed as a part of an amendment to the Registration Statement and will not be used until the amendment is effective, and that, in determining any liability under the 1933 Act, each post-effective amendment shall be deemed to be a new registration statement for the securities offered therein, and the offering of the securities at that time shall be deemed to be the initial bona fide offering of them.
(3) The Registrant agrees to file an executed copy of the opinion of counsel supporting the tax consequences of the proposed reorganization as an amendment to this Registration Statement within a reasonable time after receipt of such opinion.