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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Entity Type | |||||||||||||||
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0000733076 |
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Name of Issuer | ||||||||||||||||||
BRIGHTHOUSE LIFE INSURANCE Co | ||||||||||||||||||
Jurisdiction of Incorporation/Organization | ||||||||||||||||||
DELAWARE | ||||||||||||||||||
Year of Incorporation/Organization | ||||||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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BRIGHTHOUSE LIFE INSURANCE Co | |||
Street Address 1 | Street Address 2 | ||
11225 NORTH COMMUNITY HOUSE ROAD | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
CHARLOTTE | NORTH CAROLINA | 28277 | 980-365-7100 |
3. Related Persons
Last Name | First Name | Middle Name |
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Steigerwalt | Eric | T. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Rosenbaum | David | A. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Spehar | Edward | A. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Lambert | Myles | J. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Rosenthal | John | L. |
Street Address 1 | Street Address 2 | |
334 Madison Avenue | ||
City | State/Province/Country | ZIP/PostalCode |
Morristown | NEW JERSEY | 07960 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Toscano | Kristine | H. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Figaro-Sterling | Gianna | H. |
Street Address 1 | Street Address 2 | |
11225 North Community House Road | ||
City | State/Province/Country | ZIP/PostalCode |
Charlotte | NORTH CAROLINA | 28277 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
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 | |||
X | Decline to Disclose | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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7. Type of Filing
New Notice | Date of First Sale | 1998-12-01 | 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 | 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) | |
COLI Corporate Variable Life Insurance Policies supported by Brighthouse Separate Account CPPVUL1 (Book 131 & Book 792) |
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 | $2,000,000 | USD |
12. Sales Compensation
Recipient |
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James Van Epps | 844958 | ||||||
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Innovation Partners, LLC | 146344 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5950 Fairview Rd | Suite 140 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Charlotte | NORTH CAROLINA | 28210 | |||||
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Recipient |
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Kirk L. Penland | 3203257 | ||||||
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KESTRA Investment Services, LLC | 42046 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5707 Southwest Parkway | Bldg 2, Ste 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Austin | TEXAS | 78735 | |||||
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Recipient |
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Thomas J. Hummer | 253046 | ||||||
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Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4808 Deerlake Drive East | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Jacksonville | FLORIDA | 32246 | |||||
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Recipient |
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Stanley F. Eckert | 2842396 | ||||||
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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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Samir H. Sheth | 2511571 | ||||||
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FAS Corp. | 43536 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4747 West 135th Street, Suite 100 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Leawood | KANSAS | 66224 | |||||
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Recipient |
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Steven W. Broadbent | 3135332 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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130 Springside Drive, Suite 300 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Akron | OHIO | 44333 | |||||
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Recipient |
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Michael D. Shannon | 1314743 | ||||||
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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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Samir H. Sheth | 2511571 | ||||||
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Northwestern Mutual Investment Services | 2881 | ||||||
Street Address 1 | Street Address 2 | ||||||
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720 E. Wisconsin Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | MICHIGAN | 53202 | |||||
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Recipient |
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Kirk Penland | 3203257 | ||||||
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USF Securities, L.P. | 37942 | ||||||
Street Address 1 | Street Address 2 | ||||||
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11 Greenway Plaza | Suite 2900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Houston | TEXAS | 77046 | |||||
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Recipient |
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William Zelenik | 1154239 | ||||||
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Tower Square Securities, Inc. | 833 | ||||||
Street Address 1 | Street Address 2 | ||||||
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One City Place | 18th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Hartford | CONNECTICUT | 06103-3415 | |||||
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Recipient |
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Chris Parker | 2739646 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201-7906 | |||||
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Recipient |
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Craig Cayford | 2073600 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201-7906 | |||||
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Recipient |
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Steve Broadbent | 3135332 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201-7906 | |||||
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Recipient |
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Brenda Imes | 1255331 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201-7906 | |||||
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Recipient |
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John Argue | 2472387 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TENNESSEE | 75201-7906 | |||||
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Recipient |
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Various Agents | None | ||||||
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FPCM Securities | 38283 | ||||||
Street Address 1 | Street Address 2 | ||||||
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140 Broadway | 18th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10005 | |||||
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Recipient |
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Carlos Huerta | 3042039 | ||||||
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Clark Securities Inc. | 43803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2100 Ross Avenue | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201-7906 | |||||
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Recipient |
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Carlos A. Huerta | 3042039 | ||||||
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State Farm VP Management Corp. | 43036 | ||||||
Street Address 1 | Street Address 2 | ||||||
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One State Farm Plaza | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Bloomington | ILLINOIS | 61710 | |||||
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Recipient |
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Andrew Arigo | 2949837 | ||||||
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Newport Group Securities, Inc. | 29722 | ||||||
Street Address 1 | Street Address 2 | ||||||
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300 Primera Boulevard | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Lake Mary | FLORIDA | 32746 | |||||
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Recipient |
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Chris Nyland | 1613008 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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130 Springside Drive | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Akron | OHIO | 44333 | |||||
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Recipient |
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Andy Hart | 2605726 | ||||||
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Valmark Securities, Inc. | 31243 | ||||||
Street Address 1 | Street Address 2 | ||||||
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130 Springside Drive | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Akron | OHIO | 44333 | |||||
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Recipient |
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Kirk Penland | 3203257 | ||||||
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Multi-Financial Securities, Corp. | 10299 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5299 DTC Boulevard | # 800 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Greenwood Village | COLORADO | 80111 | |||||
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Recipient |
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Kevin Ballou | 1895717 | ||||||
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Clark-Bardes Securities, Inc. | 29094 | ||||||
Street Address 1 | Street Address 2 | ||||||
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20250 Century Boulevard | 4th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Germantown | MARYLAND | 20874 | |||||
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Recipient |
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Andrew Arigo | 2949837 | ||||||
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Ascensus Broker Dealer, LLC | 36478 | ||||||
Street Address 1 | Street Address 2 | ||||||
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95 Wells Avenue | Suite 160 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Newton | MASSACHUSETTS | 02459 | |||||
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Recipient |
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Michael Shannon | 1314743 | ||||||
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Ascensus Broker Dealer, LLC | 36478 | ||||||
Street Address 1 | Street Address 2 | ||||||
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95 Wells Avenue | Suite 160 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Newton | MASSACHUSETTS | 02549 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $611,218,773 | 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 | $5,740,574 | 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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BRIGHTHOUSE LIFE INSURANCE Co | /s/ Jason Frain | Jason Frain | Vice President | 2024-09-27 |
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.