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 |
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0000005108 |
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Name of Issuer | |||||||||||||||
AMERICAN GENERAL LIFE INSURANCE CO | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
TEXAS | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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AMERICAN GENERAL LIFE INSURANCE CO | |||
Street Address 1 | Street Address 2 | ||
2727-A ALLEN PARKWAY | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
HOUSTON | TEXAS | 77019 | 7135221111 |
3. Related Persons
Last Name | First Name | Middle Name |
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Wintrob | Jay | Steven |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director, Chairman, President and Chief Executive OfficerLast Name | First Name | Middle Name |
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Beuerlein | Robert | Michael |
Street Address 1 | Street Address 2 | |
2727-A Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director, Senior Vice President and Chief and Appointed ActuaryLast Name | First Name | Middle Name |
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Carlson | Jeffrey | Howard |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director and Executive Vice PresidentLast Name | First Name | Middle Name |
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Cummings | Don | Wayne |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director and Senior Vice PresidentLast Name | First Name | Middle Name |
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Fortin | Mary | Jane Bartolotta |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director, Executive Vice President and Chief Financial OfficerLast Name | First Name | Middle Name |
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Jennings | Kyle | Lynn |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
DirectorLast Name | First Name | Middle Name |
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Festervand | Terry | Box |
Street Address 1 | Street Address 2 | |
2929 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior Vice President and TreasurerLast Name | First Name | Middle Name |
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Olson | Curtis | Warren |
Street Address 1 | Street Address 2 | |
3600 Route 66 | ||
City | State/Province/Country | ZIP/PostalCode |
Neptune | NEW JERSEY | 07753 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
President - Benefit SolutionsLast Name | First Name | Middle Name |
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Deremo | John | B |
Street Address 1 | Street Address 2 | |
2919 Allen Parkway | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77019 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Vice President4. 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 | |||
X | Over $100,000,000 | Over $100,000,000 | ||
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) | X | Investment Company Act Section 3(c) | ||||||||||||||||||||||||||||||||||
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7. Type of Filing
X | New Notice | Date of First Sale | 2010-03-12 | First Sale Yet to Occur | |||||
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 | 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) | |
Premier Variable Universal Life Insurance Form 02056 and Form 11FJVUL798, Separate Account 101. |
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):
This product was issued by American General Life Insurance Company of Delaware which merged with and into American General Life Insurance Company effective December 31, 2012.11. Minimum Investment
Minimum investment accepted from any outside investor | $250,000 | USD |
12. Sales Compensation
Recipient |
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M Holdings Securities | None | ||||||
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M Holdings Securities | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1125 NW Couch Street | Suite 900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Portland | OREGON | 97209 | |||||
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Recipient |
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Coker & Palmer, Inc. | None | ||||||
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Coker & Palmer, Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1667 Lelia Drive | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Jackson | MISSISSIPPI | 39216 | |||||
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Recipient |
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Lincoln Financial Advisors | None | ||||||
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Lincoln Financial Advisors | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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400 W Metro Financial Center | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Rochester | NEW YORK | 14623 | |||||
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Recipient |
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MAG Financial Inc. | None | ||||||
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MAG Financial Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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One Commerce Square | 2005 Market Street, 7th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Philadelphia | PENNSYLVANIA | 19103 | |||||
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Recipient |
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Manor House Capital LLC | None | ||||||
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Manor House Capital LLC | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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One Commerce Square | 2005 Market Street, 7th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Philadelphia | PENNSYLVANIA | 19103 | |||||
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Recipient |
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Marsh Financial Services | None | ||||||
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Marsh Financial Services | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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212 Carnegie Center | 3rd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Princeton | NEW JERSEY | 08540 | |||||
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Recipient |
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MML Investors Services, Inc. | None | ||||||
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MML Investors Services, Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1295 State Street, C225 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Springfield | MASSACHUSETTS | 01111 | |||||
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Recipient |
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NFP Securities, Inc. | None | ||||||
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NFP Securities, Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1250 S Capital of Texas Hwy | Bldg 2, Suite 600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Austin | TEXAS | 78746 | |||||
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Recipient |
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Northwestern Mutual Inv Svcs LLC | None | ||||||
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Northwestern Mutual Inv Svcs LLC | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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611 E Wisconsin Avenue | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53202 | |||||
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Recipient |
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Pro Equities | None | ||||||
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Pro Equities | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2801 Highway 280 S 1-4PE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Birmingham | ALABAMA | 35223 | |||||
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Recipient |
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Ogilvie Security Advisors | None | ||||||
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Ogilvie Security Advisors | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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71 South Wacker Drive | Suite 3025 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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Recipient |
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Stern Capital LLC | None | ||||||
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Stern Capital LLC | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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708 Third Avenue | Suite 1610 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10017 | |||||
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Recipient |
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Mid Atlantic Capital Corporation | None | ||||||
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Mid Atlantic Capital Corporation | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1251 Waterfront Place | Suite 510 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Pittsburgh | PENNSYLVANIA | 15222 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $305,451,214 | 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 | $680,732 | USD |
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Finders' Fees | $0 | USD |
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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 |
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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: |
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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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AMERICAN GENERAL LIFE INSURANCE CO | JENNIFER P. POWELL | Jennifer P. Powell | Associate General Counsel | 2013-02-28 |
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.